Government Accountability Office (GAO) –

Open Recommendations

Agency Title & GAO 

Report #

Date 

Published Open Recommendation

ETA H-2A and H-2B 

Visa Programs: 

Increased 

Protections Needed 

for Foreign 

Workers

GAO-15-154

3/6/15

To help protect workers from being hired by 

employers who have been debarred from 

program participation, the Secretary of Labor 

should direct the Assistant Secretary, 

Employment and Training Administration, to use 

all employer-related information it collects on 

debarred employers to screen new applications.

WHD H-2A and H-2B 

Visa Programs: 

Increased 

Protections Needed 

for Foreign 

Workers

GAO-15-154

3/6/15

To ensure that H-2B workers are adequately 

protected and that DOL's investigative resources 

are appropriately focused, the Secretary of Labor 

should direct the Administrator, Wage and Hour 

Division, to review its enforcement efforts and 

conduct a national investigations-based 

evaluation of H-2B employers.

WHD, 

OIG, 

and 

ETA

H-2A and H-2B 

Visa Programs: 

Increased 

Protections Needed 

for Foreign 

Workers

GAO-15-154

3/6/15

To determine to what extent, if any, the 2-year 

statute of limitations on debarment limits its use 

as a remedy for employers who violate program 

requirements: (1) the Secretary of Labor should 

direct the Assistant Secretary, Employment and 

Training Administration, and the Administrator, 

Wage and Hour Division, to collect data on the 

nature of the cases where debarment would have 

been recommended but was not because the 2-

year statute of limitations had expired, and based 

on that data determine whether to pursue a 

legislative proposal to extend the statute of 

limitations; and (2) the Department of Labor 

Inspector General should direct the Assistant 

Inspector General, Office of Labor Racketeering 

and Fraud Investigations to provide the Assistant 

Secretary, Employment and Training 

Administration, and the Administrator, Wage and 

Hour Division, data on the number of referrals 

for debarment that the Inspector General's Office 

sent to the department after the 2-year statute of 

limitations had expired.
Government Accountability Office (GAO) –

Open Recommendations

Agency Title & GAO 

Report #

Date 

Published Open Recommendation

ETA H-2A and H-2B 

Visa Programs: 

Increased 

Protections Needed 

for Foreign 

Workers

GAO-15-154

3/6/15

To help protect workers from being hired by 

employers who have been debarred from 

program participation, the Director of U.S. 

Citizenship and Immigration Services and the 

Secretary of Labor should finalize and 

implement their agreement to share data, 

including those on debarred employers.

ETA Job Corps: 

Assessment of 

Internal Guidance 

Could Improve 

Communications 

with Contractors

GAO-15-93 1/22/15

To enhance communication with contractors 

about Job Corps program changes, the Secretary 

of Labor should direct the Assistant Secretary for 

Employment and Training to review the 

sufficiency of ETA's guidance for internal 

notices--including Program Instruction Notices, 

Policy and Requirements Handbook Change 

Notices, and Information Notices--to ensure that 

contractors are provided with adequate 

notification of program changes before they are 

expected to be implemented, and an adequate 

level of information to assist them in carrying out 

their responsibilities.

ETA WORKFORCE 

INVESTMENT 

ACT:

Strategies Needed 

to Improve Certain 

Training Outcome 

Data

GAO-14-137

3/5/14

To provide policymakers and program managers 

with better quality information to assess the 

value of training provided by WIA's Adult and 

Dislocated Worker Programs, the Secretary of 

Labor should identify and share with states 

strategies for collecting and reporting data on 

training-related employment that could either 

increase access to employment information or 

reduce the subjectivity of determining when 

training is related to employment.

ETA WORKFORCE 

INVESTMENT 

ACT:

DOL Should Do 

More to Improve 

the Quality of 

Participant Data

GAO-14-4

12/20/13 To improve the consistency and completeness of 

national data on participants in the WIA Adult 

and Dislocated Worker Programs, the Secretary 

of Labor should take additional steps to improve 

the uniformity of participant data reported by 

states. The Secretary of Labor should promote a 

formal, continuous process for improving the 

quality of data on participants in the WIA Adult 

and Dislocated Worker Programs through such 

measures as the following: (a) consistently 
Government Accountability Office (GAO) –

Open Recommendations

Agency Title & GAO 

Report #

Date 

Published Open Recommendation

sharing the results of all oversight activities with 

states and local areas, including findings from 

validation of participant data; (b) reviewing the 

methods used for data validation, such as its 

scope and error rate threshold, to identify 

opportunities to increase efficiencies and 

accountability in the process. This could include 

implementing, if appropriate, recommendations 

from the Regions' review of data validation 

procedures; (c) evaluating data validation efforts 

to determine their effects on data quality, 

particularly on systemic errors, and providing 

targeted guidance and assistance to states and 

local areas to address such errors; (d) regularly 

monitoring Social Policy Research Associates' 

corrections and analyses of state WIA participant 

data, sharing this information with states, and 

coordinating with states to ensure that any 

corrections are appropriate and accurate; and (e) 

collecting and disseminating promising practices 

to states and local areas on data collection and 

reporting on a regular basis.

ETA Actions Needed to 

Improve the 

Transparency and 

Reliability of 

Labor's Data on the 

H-2A Program

GAO-13-144R

7/2/13

The Secretary of Labor should direct the 

Assistant Secretary for Employment and 

Training to enhance the validity of the data 

reported in the data files on multi-employer 

applications by collecting separate data on where 

workers will be employed and where they will be 

housed, and by providing additional guidance on 

how to report requested worker positions.

ETA Actions Needed to 

Improve the 

Transparency and 

Reliability of 

Labor's Data on the 

H-2A Program

GAO-13-144R

7/2/13

The Secretary of Labor should direct the 

Assistant Secretary for Employment and 

Training to improve the reliability of the data on 

H-2A applications filed on behalf of multiple 

employers in the new H-2A module of the 

iCERT system by assessing the feasibility of 

adding data edit checks to the module that would 

flag inconsistencies in the data. For example, one 

check could compare the total number of H-2A 

positions requested on a multi-employer 
Government Accountability Office (GAO) –

Open Recommendations

Agency Title & GAO 

Report #

Date 

Published Open Recommendation

application to the sum of the number of positions 

listed on the application for each employer listed 

and flag applications for further review if the 

numbers do not match.

ETA EMPLOYMENT 

AND TRAINING:

Labor's Green Jobs 

Efforts Highlight 

Challenges of 

Targeted Training

Programs for 

Emerging Industries

GAO-13-555

7/19/13

To enhance Labor's ability to implement training 

programs in emerging industries, the Secretary of 

Labor should identify lessons learned from 

implementing the green jobs training programs. 

This could include: (1) Identifying challenges 

and promising strategies associated with training 

workers for emerging industries--through both 

targeted grant programs and existing programs--

and considering ways to improve such efforts in 

the future. For example, taking a more measured 

or multi-phased approach could allow the time 

necessary to better determine demand for an 

emerging industry and establish the partnerships 

needed to properly align training with available 

jobs. (2) Taking steps to ensure training 

programs adequately document outcome 

variables, particularly for targeted programs 

where tracking training relatedness is of 

particular interest

OWCP RETURNED 

PEACE CORPS 

VOLUNTEERS:

Labor and Peace 

Corps Need Joint 

Approach to 

Monitor Access to 

and Quality of 

Health Care 

Benefits

GAO-13-27

11/19/12

The Secretary of Labor and the Director of the 

Peace Corps should jointly develop and 

implement an approach for working together to 

use available information to monitor the access 

to and quality of FECA benefits provided to 

returned volunteers.
Government Accountability Office (GAO) –

Open Recommendations
Agency Title Date of

Notification

Letter

Current Status Anticipated/Tentative Publication

Date

ASAM Enterprise Risk Management (ERM) practice in the

federal government

9/28/2015 Statement of Facts

received

Draft ‐end of Aug/early Sept

ASAM Independent Government Cost Estimates for

Service Contracts

2/2/2016 Follow‐up meeting Draft ‐ Oct/Nov

ASAM Federal Managers Survey 3/3/2016 Additional information

sent to GAO

Draft ‐ Jan/Feb

ASAM Agencies’ Telework Internal Controls 3/11/2016 Interview with OASAM Draft ‐ Jan/Feb

ASAM Religious Freedom Restoration Act Exemptions 4/15/2016 Additional Information

requested by GAO

Draft ‐ Feb/March

ASAM GSA Telecommunications Program 4/21/2016 Follow‐up meeting Draft ‐ March/April

ASAM Federal Government Efforts to Reduce the Use of

Social Security Numbers & Incentives for Federal

Real Property Disposal

5/12/2016 Both studies were

combined for the

entrance conference

Draft ‐ March/April

ASAM Conversions of Employees from Noncareer to

Career Positions at Executive Branch Agencies &

Political Conversion Jobs

5/31/2016 Both studies were

combined for the

entrance conference

Draft ‐ Nov/Dec

ASAM Data Center Optimization Progress 7/26/2016 GAO seeking additional

information

Draft ‐ Nov/Dec

ASAM Review of Data Center Consolidation Planning and

Progress

7/29/2016 Notification Letter &

GAO seekingDocumentation

Draft ‐ April/May

ASAM Review of Federal Digital Service Improvement

Programs (18F, the Office of Management and

Budget’s U.S. Digital Service team, and the

Presidential Innovation Fellows program)

10/26/2015 Technical Comments

submitted to GAO

Final ‐ Oct/Nov

ASP Gig Economy Workers’ Access to Federal

Employment and Training Resources

4/4/2016 Additional information

sent to GAO

Draft ‐ April/May

Open GAO Studies ‐ 30.60.90 Day Final Report Expected
Agency Title Date of

Notification

Letter

Current Status Anticipated/Tentative Publication

Date

Open GAO Studies ‐ 30.60.90 Day Final Report Expected

BLS Alternative Approaches to Increasing American

Samoa Minimum Wage

11/18/2015 Exit Conference Held Draft ‐ Oct 2016

BLS Long‐term Care Workforce 5/6/2015 Draft Response sent to

GAO

Final ‐ Oct/Nov

BLS Contingent Faculty 5/20/2016 Entrance Conference

Held

Draft ‐ Jan/Feb

BLS Working Families and Social Safety Net Programs 6/7/2016 Entrance Conference

Held

GAO anticipates concluding Part 1 of

this study in early 2017

CFO Federal Chief Information Security Officer (CISO)

Authorities

6/22/2015 Draft Report Received

DOL had no comment

Final ‐ Oct/Nov

CFO Agencies' Use of the Do Not Pay (DNP) Initiative 6/15/2015 Exit Conference Held Draft ‐ Aug/Sept

EBSA Eligibility and Vesting Requirements 1/15/2015 Exit Conference Held Draft‐ Aug/Sept

EBSA 401(k) Spend‐down Options 11/12/2014 Draft Report Received Final ‐ Oct/Nov

EBSA Self‐directed Individual Retirement Accounts (IRA) 9/1/2015 Exit Conference Held Draft‐ Oct 2016

EBSA Unclaimed Workplace Retirement Accounts 8/10/2015 Entrance Conference

Held

Draft ‐ Dec 2016

EBSA State of Retirement in America 3/4/2016 Entrance Conference

Held

Draft ‐Apr/May

EBSA Central States Pension Fund Consent Decree 5/2/2016 Entrance Conference

Held

Draft ‐ May/June

EBSA Phased Retirement 6/10/2016 Entrance Conference

Held

Draft ‐ May/June

EBSA Central States Pension Fund Investment Policy 8/1/2016 Entrance Conference

Held

GAO anticipates issuing a final Summer

2017

ETA Federal Disaster Assistance Expenditures 5/18/2015 Follow‐up Questions Draft ‐ Dec/Jan

ETA Federal Manufacturing Programs 4/28/2015 Additional information

sent to GAO

Draft ‐ May/June
Agency Title Date of

Notification

Letter

Current Status Anticipated/Tentative Publication

Date

Open GAO Studies ‐ 30.60.90 Day Final Report Expected

ETA Workforce Innovation and Opportunity Act (WIOA)

Implementation

10/19/2015 Exit Conference

Scheduled

Draft ‐ September 22, 2016

ETA Tiered evidence based grants 10/28/2015 Statement of Facts

sent

Draft ‐ Oct/Nov

ETA Performance Partnerships 11/24/2015 Tentative Exit

Conference

Draft ‐ Nov/Dec

ETA Early Learning and Child Care Programs 5/2/2016 Follow‐up Questions Draft ‐ April/May

ETA National Network for Manufacturing Innovation 6/14/2016 Entrance Conference

Held

Draft ‐ April/May

ETA FY 2014 Inspecctor General Reporting of Agency

Compliance under the Improper Payments

Elimination and Recovery Act

10/28/2015 Draft Report Received Final ‐ Oct/Nov

ETA Head Start Teachers and Unemployment Insurance

Payments

8/27/2015 Statement of Facts

received

Draft ‐ Mid Sept

ILAB Agencies Collecting and Reporting in the Foreign

Assistance Dashboard

8/14/2015 Draft Report Received ‐ 

DOL had no comment

Final ‐ Oct/Nov

ILAB Federal agencies’ trade enforcement expenditures 5/20/2016 Entrance Conference

Held

Draft ‐ Jan/Feb

ODEP Services for Youth with Autism Spectrum Disorder

(ASD) Transitioning to Adulthood

12/18/2015 Additional information

sent to GAO

Draft ‐ Feb/March

OFCCP Anti‐Discrimination in Federal Contracting 1/30/2015 Exit Conference Held Draft ‐Aug 2016

OFCCP Diversity in the Technology Sector 5/17/2016 Additional Information

requested

Draft ‐ Jan/Feb
Agency Title Date of

Notification

Letter

Current Status Anticipated/Tentative Publication

Date

Open GAO Studies ‐ 30.60.90 Day Final Report Expected

OSHA Review of the Department of Veterans Affairs

Oversight of Employee Misconduct Allegations

3/26/2015 No Entrance Required GAO plans to send a courtesy copy of

the final report when it is issued ‐ no

timeline given

OSHA Training for Workers and Employers 3/22/2016 Additional Information

Sent to GAO

Draft ‐ March/April

OSHA Low Dose Radiation 4/22/2016 Questions from GAO Draft ‐ Spring 2017

OSHA Meat and Poultry Worker Safety Part II 5/10/2016 Entrance Conference

Held

Draft ‐ Summer 2017

OSHA High Containment Laboratories: Inactivation and

Attenuation Protocols

11/24/2015 Entrance Conference

Held

Draft ‐ Summer 2017

OWCP The Department of Defense’s Use of the Federal

Employees’ Compensation Act

11/10/2015 Exit Conference Held Draft ‐ Jan/Feb

SOL Freedom of Information Act Litigation Costs 2/2/2016 Draft Report Received Final ‐ Oct/Nov

VETS Department of Veterans Affairs’ (VA) Enhanced‐Use

Leasing (EUL) efforts to provide Housing for

Homeless Veterans

12/3/2015 Follow‐up with GAO DOL and GAO agreed not to have an

exit conference on this study. Arequest was made to GAO for a copy of

the draft report when it is published

VETS Transition Assistance Program (TAP) 3/4/2016 Follow‐up Question Draft ‐ Spring 2017

VETS DOD's Credentialing and Licensing Programs 1/22/2016 Entrance Conference

Held

Draft ‐ Spring 2017
11/15/2016

Agency Title & GAO Report # Date

Published Open Recommendation

EBSA Retirement Security: Better Information on Income

Replacement Rates Needed to Help Workers Plan

for Retirement

GAO‐16‐242, 3/1/16

To help workers make appropriate adjustments to the replacement rates used in calculating their

specific retirement income needs, the Secretary of Labor should include in its retirement planning

tools information about examples of individual circumstances that research has shown to result in

higher or lower income replacement needs (e.g., household characteristics and income level) and

guidance on the direction and magnitude of the changes attributable to such circumstances as well

as those due to particular lifestyle choices.

EBSA Retirement Security: Better Information on Income

Replacement Rates Needed to Help Workers Plan

for Retirement

GAO‐16‐242,

3/1/16

To help workers make appropriate adjustments to the replacement rates used in calculating their

specific retirement income needs, the Secretary of Labor should modify its retirement planning

tools to allow for some user flexibility in adjusting the replacement rate used in calculating

retirement income needs.

EBSA RETIREMENT SECURITY:

Federal Action Could Help State Efforts to Expand

Private Sector Coverage

GAO‐15‐556

9/29/15

To facilitate state efforts to expand coverage in workplace retirement savings programs, the

Secretary of Labor and Secretary of the Treasury should consider their authority and review and

revise, if necessary, existing regulations and guidance causing uncertainty for state efforts. For

example, the Secretary of Labor could direct the Employee Benefits Security Administration's (EBSA)

Assistant Secretary to revise Interpretive Bulletin 99‐1 to clarify whether states can offer payroll

deduction Individual Retirement Accounts (IRAs) and, if so, whether features in relevant enacted

state legislation‐‐such as automatic enrollment and/or a requirement that employers offer a payroll

deduction‐‐would cause these programs to be treated as employee benefit plans.

EBSA 401(K) PLANS:

Clearer Regulations Could Help Plan Sponsors

Choose Investments for Participants

GAO‐15‐578 9/4/15

To encourage plan sponsors to continue efforts to improve plan participation and overall retirement

savings through the use of Qualified Default Investment Alternatives, the Secretary of Labor should

direct the Assistant Secretary for the Employee Benefits Security Administration to assess the

challenges that plan sponsors and stakeholders reported, including the extent to which these

challenges can be addressed, and implement corrective actions through clarifying guidance or

regulations, as appropriate.

EBSA Private Pensions: Participants Need Better

Information When Offered Lump Sums That

Replace Their Lifetime Benefits

GAO‐15‐74 1/27/15

To ensure that federal regulators have better information about lump sum windows and to better

ensure that participants have ready access to key information they need to make a decision when

presented with a lump sum offer, the Department of Labor should require plan sponsors to notify

DOL at the time they implement a lump sum window offer, including the number and category of

participants being extended the offer (e.g., separated vested; retiree) as well as examples of the

materials provided to them.

EBSA Private Pensions: Participants Need Better

Information When Offered Lump Sums That

Replace Their Lifetime Benefits

GAO‐15‐74

1/27/15

To ensure that federal regulators have better information about lump sum windows and to better

ensure that participants have ready access to key information they need to make a decision when

presented with a lump sum offer, the Department of Labor should coordinate with the Internal

Revenue Service and the Pension Benefit Guaranty Corporation (PBGC) to clarify the guidance

regarding the information sponsors should provide to participants when extending lump sum

window offers and place the guidance on the agency's website. Guidance should include clear and

understandable presentations of information, such as the relative value of the lump sum, the role

and level of protections provided by PBGC, and the positive and negative ramifications of accepting

the lump sum. Such guidance could also include promising practices for information materials from

plan sponsors which are particularly effective in facilitating informed participant decision‐making.

EBSA 401(K) Plans: Greater Protections Needed for

Forced Transfers and Inactive Accounts

GAO‐15‐73

11/21/14

To ensure that individuals have access to consolidated online information about their multiple

401(k) plan accounts, the Secretary of Labor should convene a taskforce to consider establishing a

national pension registry. The taskforce could include industry professionals, plan sponsor

representatives, consumer representatives, and relevant federal government stakeholders, such as

representatives from Social Security Administration, Pension Benefit Guaranty Corporation, and

Internal Revenue Service, who could identify areas to be addressed through the regulatory process,

as well as those that may require legislative action.

EBSA 401(K) Plans: Greater Protections Needed for

Forced Transfers and Inactive Accounts

GAO‐15‐73

11/21/14

To prevent forced‐transfer IRA balances from decreasing due to the low returns of the investment

options currently permitted under the Department of Labor's safe harbor regulation, the Secretary

of Labor should expand the investment alternatives available. For example, the forced‐transfer IRA

safe harbor regulations could be revised to include investment options currently under the qualified

default investment alternatives regulation applicable to automatic enrollment, and permit forced‐

transfer IRA providers to change the investments for IRAs already established.

EBSA 401(K) PLANS:

Improvements Can Be Made to Better Protect

Participants in Managed Accounts

GAO‐14‐310 7/29/14

To better protect plan sponsors and participants who use managed account services, the Secretary

of Labor should direct the Assistant Secretary for the Employee Benefits Security Administration

(EBSA) to review provider practices related to additional managed account services offered to

participants in or near retirement, with the aim of determining whether conflicts of interest exist

and, if it determines it is necessary, taking the appropriate action to remedy the issue.

EBSA 401(K) PLANS:

Improvements Can Be Made to Better Protect

Participants in Managed Accounts

GAO‐14‐310

7/29/14

To better protect plan sponsors and participants who use managed account services, the Secretary

of Labor should direct the Assistant Secretary for the EBSA to consider the fiduciary status of

managed account providers when they offer services on an opt‐in basis and, if necessary, make

regulatory changes or provide guidance to address any issues.

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

1
11/15/2016

Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

EBSA 401(K) PLANS:

Improvements Can Be Made to Better Protect

Participants in Managed Accounts

GAO‐14‐310 7/29/14

To help sponsors who offer managed account services or who are considering doing so better

protect their 401(k) plan participants, the Secretary of Labor should direct the Assistant Secretary

for EBSA to require plan sponsors to request from record keepers more than one managed account

provider option, and notify the Department of Labor if record keepers fail to do so.

EBSA 401(K) PLANS:

Improvements Can Be Made to Better Protect

Participants in Managed Accounts

GAO‐14‐310

7/29/14

To help sponsors and participants more effectively assess the performance of managed accounts,

the Secretary of Labor should direct the Assistant Secretary for EBSA to amend participant

disclosure regulations to require that sponsors furnish standardized performance and

benchmarking information to participants. To accomplish this, EBSA could promulgate regulations

that would require sponsors who offer managed account services to provide their participants with

standardized performance and benchmarking information on managed accounts. For example,

sponsors could periodically furnish each managed account participant with the aggregate

performance of participants' managed account portfolios and returns for broad‐based securities

market indexes and applicable customized benchmarks, based on those benchmarks provided for

the plan's designated investment alternatives.

EBSA 401(K) PLANS:

Improvements Can Be Made to Better Protect

Participants in Managed Accounts

GAO‐14‐310

7/29/14

To help sponsors and participants more effectively assess the performance of managed accounts,

the Secretary of Labor should direct the Assistant Secretary for EBSA to amend service provider

disclosure regulations to require that providers furnish standardized performance and

benchmarking information to sponsors. To accomplish this, EBSA could promulgate regulations that

would require service providers to disclose to sponsors standardized performance and

benchmarking information on managed accounts. For example, providers could, prior to selection

and periodically thereafter, as applicable, furnish sponsors with aggregated returns for generalized

conservative, moderate, and aggressive portfolios, actual managed account portfolio returns for

each of the sponsor's participants, and returns for broad‐based securities market indexes and

applicable customized benchmarks, based on those benchmarks provided for the plan's designated

investment alternatives.

EBSA 401(K) PLANS:

Improvements Can Be Made to Better Protect

Participants in Managed Accounts

GAO‐14‐310 7/29/14

To help sponsors who offer managed account services or who are considering doing so better

protect their 401(k) plan participants, the Secretary of Labor should direct the Assistant Secretary

for EBSA to provide guidance to plan sponsors for selecting and overseeing managed account

providers that addresses: (1) the importance of considering multiple providers when choosing a

managed account provider, (2) factors to consider when offering managed accounts as a Qualified

Default Investment Alternative or on an opt‐in basis, and (3) approaches for evaluating the services

of managed account providers.

EBSA PRIVATE PENSIONS:

Targeted Revisions Could Improve Usefulness of

Form 5500 Information

GAO‐14‐441

7/7/14

To ease the burden on preparers and ensure the collection of consistent and reliable data, the

Secretaries of DOL and Treasury, and the Director of PBGC should conduct advance testing‐‐such as

focus groups, in‐person observations and users' perception of forms and questions‐‐as appropriate

and before proposing major changes to the form for public comment, in addition to its other

outreach efforts.   GAO website reads:  To improve the usefulness, reliability, and comparability of

Form 5500 data for all stakeholders while limiting the burden on the filing community, the

Secretaries of DOL and Treasury, and the Director of PBGC should consider implementing the

findings from our panel when modifying plan investment and service provider fee information,

including: (1) revising Schedule H plan asset categories to better match current investment vehicles

and provide more transparency into plan investments; (2) revising the Schedule of Assets

attachments to create a standard searchable format; (3) developing a central repository for EIN and

PN numbers for filers and service providers to improve the comparability of form data across filings;

(4) clarifying Schedule C instructions for direct, eligible indirect, and reportable indirect

compensation so plan fees are reported more consistently and, as we recommended in the past,

better align with the 408(b)(2) fee disclosures; and (5) simplifying and clarify Schedule C service

provider codes to increase reporting consistency.

EBSA PRIVATE PENSIONS:

Clarity of Required Reports and Disclosures Could

Be Improved

GAO‐14‐92

12/17/13

To ease the burden on plan sponsors, enhance compliance, and help ensure that disclosures to

participants are written in a manner that can be understood by the average participant, Labor, IRS,

and PBGC should work together to create and regularly update a comprehensive online tool for plan

sponsors to search for the reports and disclosures they are required to provide based on plan type,

design, and circumstances.

EBSA PRIVATE PENSIONS:

Clarity of Required Reports and Disclosures Could

Be Improved

GAO‐14‐92 12/17/13

To ease the burden on plan sponsors, enhance compliance, and help ensure that disclosures to

participants are written in a manner that can be understood by the average participant, Labor, IRS,

and PBGC should work together to define criteria for complying with the readability provisions in

ERISA and the Internal Revenue Code (IRC), and apply the criteria to agency‐generated model

notices as well as those developed by plan sponsors. As part of these criteria, consider requiring

clear, simple, brief highlights at the beginning of disclosures, reflecting federal plain language

guidelines.

EBSA PRIVATE PENSIONS:

Clarity of Required Reports and Disclosures Could

Be Improved

GAO‐14‐92 12/17/13

To better ensure plan participants have access to information about their rights and benefits, as

currently in force under their plans, Labor should direct plan sponsors to post to any intranet

website maintained by the employer, as soon as determined feasible by Labor, a copy of the most

current summary plan description (SPD) and any summary of material modifications issued

subsequent to that SPD.

2
11/15/2016

Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

EBSA 401(K) PLANS:

Other Countries' Experiences Offer Lessons in

Policies and Oversight of Spend‐down Options

GAO‐14‐9 12/16/13

As DOL and Treasury continue their efforts to determine the actions needed to enhance the

retirement security of 401(k) plan participants, DOL and Treasury should consider the approaches

taken by other countries to formalize access to multiple spend‐down options for U.S. plan

participants that address varying retirement risks and needs. To the extent possible, lessons from

other countries should be used to help DOL and Treasury ensure plan sponsors have information

about their flexibilities and the ability to facilitate access to a mix of appropriate options for 401(k)

plan participants.

EBSA 401(K) PLANS:

Other Countries' Experiences Offer Lessons in

Policies and Oversight of Spend‐down Options

GAO‐14‐9 12/16/13

As DOL considers changes to participant benefit statements and other disclosures, the Secretary of

DOL should consider strategies other countries have employed to help participants make sound

decisions, such as providing timely information at or before retirement about available spend‐down

options and projections of future retirement income.

EBSA 401(K) PLANS:

Other Countries' Experiences Offer Lessons in

Policies and Oversight of Spend‐down Options

GAO‐14‐9

12/16/13

As DOL continues to review regulatory barriers to lifetime income options for 401(k) plan

participants it should consider other countries' approaches to plans offering annuities, such as their

reliance on existing solvency requirements and insurance industry standards to provide assurances

rather than place responsibility on plan sponsors to make an assessment of an annuity provider's

financial stability. As DOL considers the approaches of other countries and continues to work with

the National Association of Insurance Commissioners, which facilitates interactions between

insurance companies and state insurance regulators, DOL may wish to consult with the Federal

Insurance Office, which coordinates federal efforts on prudential aspects of international insurance

matters.

EBSA PRIVATE PENSIONS:

Revised Electronic Disclosure Rules Could Clarify

Use and Better Protect Participant Choice

GAO‐13‐594

11/5/13

The Secretary of Labor and the Secretary of the Treasury should work together to develop clear and

consistent requirements for default electronic delivery of pension‐related disclosures.

EBSA PRIVATE PENSIONS:

Revised Electronic Disclosure Rules Could Clarify

Use and Better Protect Participant Choice

GAO‐13‐594

11/5/13

The Secretary of Labor and the Secretary of the Treasury should consider requiring pension plan

sponsors to provide participants with an opportunity to opt out of all forms of electronic delivery,

including (but not limited to) disclosures sent by default electronic delivery and disclosures posted

on a secure continuous access website.

EBSA PRIVATE PENSIONS:

Revised Electronic Disclosure Rules Could Clarify

Use and Better Protect Participant Choice

GAO‐13‐594

11/5/13

The Secretary of Labor and the Secretary of the Treasury should consider requiring pension plan

sponsors to send a periodic paper notice to participants reminding them of their right to change

their preferred delivery method at any time and the steps they must take to make these changes.

EBSA 401(K) PLANS:

Labor and IRS Could Improve the Rollover Process

for Participants

GAO‐13‐30

4/3/13

To help reduce obstacles and disincentives to keeping retirement savings in the 401(k) plan

environment, the Commissioner of Internal Revenue and Secretary of Labor should review policies

that affect separating employees leaving retirement savings in an employer's plan and, for those

who choose to roll their distributions into another 401(k) plan, the process of plan‐to‐plan rollovers.

As part of such a review, the Commissioner of Internal Revenue and the Secretary of Labor should

review the lack of standardization of sponsor practices related to plan‐to‐plan rollovers and of

policies affecting participants who leave plan savings in a former employer's plan, with the aim of

taking any regulatory action they deem appropriate. Such action could address obstacles like

sponsors refusing to accept rollovers from other plans, and disincentives like plans restricting

participants' control over savings once they separate from the employer, and charging different fees

for inactive participants.

EBSA 401(K) PLANS:

Labor and IRS Could Improve the Rollover Process

for Participants

GAO‐13‐30

4/3/13

To help reduce obstacles and disincentives to keeping retirement savings in the 401(k) plan

environment, the Commissioner of Internal Revenue and Secretary of Labor should review policies

that affect separating employees leaving retirement savings in an employer's plan and, for those

who choose to roll their distributions into another 401(k) plan, the process of plan‐to‐plan rollovers.

As part of such a review, the Commissioner of Internal Revenue and the Secretary of Labor should

work together to communicate to plan sponsors IRS's guidance on the relief from tax

disqualification provided for plans that accept rollovers later determined to have come from a plan

that was not tax qualified. In helping to better disseminate IRS's guidance to plan sponsors, Labor

may also provide feedback to IRS to help ensure that the guidance is clear and understandable, so

that it adequately addresses plan sponsors' concerns about their own plans' qualified status and

helps reduce delays in processing rollovers from other plans.

EBSA 401(K) PLANS:

Labor and IRS Could Improve the Rollover Process

for Participants

GAO‐13‐30

4/3/13

To help reduce obstacles and disincentives to keeping retirement savings in the 401(k) plan

environment, the Commissioner of Internal Revenue and Secretary of Labor should review policies

that affect separating employees leaving retirement savings in an employer's plan and, for those

who choose to roll their distributions into another 401(k) plan, the process of plan‐to‐plan rollovers.

As part of such a review, the Commissioner of Internal Revenue should revise rules that allow plans

and providers to send direct‐rollover distribution checks to individuals rather than to the receiving

entities to which the checks are written.

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Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

EBSA 401(K) PLANS:

Labor and IRS Could Improve the Rollover Process

for Participants

GAO‐13‐30 4/3/13

To help ensure that when plan participants separate from an employer and are deciding what to do

with their retirement plan savings they receive adequate, timely, and balanced information, the

Secretary of Labor should develop a concise written summary explaining a participant's four

distribution options and listing key factors a participant should consider when comparing possible

investments, and require sponsors to provide that summary to a participant upon separation from

an employer. Should Labor conclude that additional statutory authority is needed to take this

action, it should seek that authority from the Congress.

EBSA PRIVATE SECTOR PENSIONS:

Federal Agencies Should Collect Data and

Coordinate Oversight of Multiple Employer Plans

GAO‐12‐665 10/4/12

The Secretary of Labor should instruct the Assistant Secretary of EBSA and the Secretary of the

Treasury should instruct the Commissioner of Internal Revenue to formalize their coordination with

regard to the statutory interpretations reflected in Labor's advisory opinions related to MEPs.

Furthermore, the agencies should coordinate to develop compliance‐related guidance on the

establishment and operation of MEPs under ERISA and the IRC.

EBSA 401(K) PLANS:

Increased Educational Outreach and Broader

Oversight May Help Reduce Plan Fees

GAO‐12‐325 5/23/12

In order to help plan sponsors better understand how fees are charged to their plans and to help

them make well‐informed decisions, the Secretary of Labor should develop and implement

alternative approaches to Labor's plan sponsor outreach and education initiatives that actively

engage sponsors and allow the agency to track sponsor engagement. Such actions could include e‐

mailing sponsors about new regulations, guidance, and tools available on its website, and then

monitoring website traffic and publication downloads to determine whether such initiatives are

reaching their targeted audience.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433 8/9/16

The Secretary of the Department of Labor (DOL) should help encourage plan sponsors to offer

lifetime income options by clarifying the safe harbor from liability for selecting an annuity provider

by providing sufficiently detailed criteria to better enable plan sponsors to comply with the safe

harbor requirements related to assessing a provider's long‐term solvency.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433 8/9/16

The Secretary of the DOL should help encourage plan sponsors to offer lifetime income options by

considering providing legal relief for plan fiduciaries offering an appropriate mix of annuity and

withdrawal options, upon adequately informing participants about the options, before participants

choose to direct their investments into them.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433 8/9/16

To guide fiduciaries as they consider how the account balances of their participants will translate

into financial security in retirement, DOL should modify its Meeting Your Fiduciary Responsibilities

publication or issue new guidance to encourage plan sponsors to use a record keeper that includes

annuities from multiple providers on their record keeping platform.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433

8/9/16

To guide fiduciaries as they consider how the account balances of their participants will translate

into financial security in retirement, DOL should modify its Meeting Your Fiduciary Responsibilities

publication or issue new guidance to encourage plan sponsors to offer participants the option to

partially annuitize their account balance by allowing them the ability to purchase the amount of

guaranteed lifetime income most appropriate for them.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433 8/9/16

To guide fiduciaries as they consider how the account balances of their participants will translate

into financial security in retirement, DOL should modify its Meeting Your Fiduciary Responsibilities

publication or issue new guidance to encourage plan sponsors to consider whether a contract with a

service provider ensures future service provider changes do not cause participants to lose the value

of their lifetime income guarantees.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433 8/9/16

To guide fiduciaries as they consider how the account balances of their participants will translate

into financial security in retirement, DOL should modify its Meeting Your Fiduciary Responsibilities

publication or issue new guidance to encourage plan sponsors to include participant access to

advice on the plan's lifetime income options from an expert in retirement income strategies.

EBSA 401(K) PLANS:

DOL Could Improve Use of Lifetime Income Options

GAO‐16‐433

8/9/16

To guide fiduciaries as they consider how the account balances of their participants will translate

into financial security in retirement, DOL should modify its Meeting Your Fiduciary Responsibilities

publication or issue new guidance to encourage plan sponsors to consider providing RMD‐based

default income‐plan distributions as a default stream of lifetime income based on the RMD

methodology‐beginning, unless they opt‐out, when retirement‐age participants separate from

employment, rather than after age 701⁄2.

ETA H‐2A and H‐2B Visa Programs: Increased

Protections Needed for Foreign Workers

GAO‐15‐154 3/6/15

To help protect workers from being hired by employers who have been debarred from program

participation, the Secretary of Labor should direct the Assistant Secretary, Employment and Training

Administration, to use all employer‐related information it collects on debarred employers to screen

new applications.

ETA H‐2A and H‐2B Visa Programs: Increased

Protections Needed for Foreign Workers

GAO‐15‐154 3/6/15

To ensure that H‐2B workers are adequately protected and that DOL's investigative resources are

appropriately focused, the Secretary of Labor should direct the Administrator, Wage and Hour

Division, to review its enforcement efforts and conduct a national investigations‐based evaluation

of H‐2B employers.

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Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

ETA H‐2A and H‐2B Visa Programs: Increased

Protections Needed for Foreign Workers

GAO‐15‐154

3/6/15

To determine to what extent, if any, the 2‐year statute of limitations on debarment limits its use as

a remedy for employers who violate program requirements: (1) the Secretary of Labor should direct

the Assistant Secretary, Employment and Training Administration, and the Administrator, Wage and

Hour Division, to collect data on the nature of the cases where debarment would have been

recommended but was not because the 2‐year statute of limitations had expired, and based on that

data determine whether to pursue a legislative proposal to extend the statute of limitations; and (2)

the Department of Labor Inspector General should direct the Assistant Inspector General, Office of

Labor Racketeering and Fraud Investigations to provide the Assistant Secretary, Employment and

Training Administration, and the Administrator, Wage and Hour Division, data on the number of

referrals for debarment that the Inspector General's Office sent to the department after the 2‐year

statute of limitations had expired.

ETA H‐2A and H‐2B Visa Programs: Increased

Protections Needed for Foreign Workers

GAO‐15‐154 3/6/15

To help protect workers from being hired by employers who have been debarred from program

participation, the Director of U.S. Citizenship and Immigration Services and the Secretary of Labor

should finalize and implement their agreement to share data, including those on debarred

employers.

ETA Job Corps: Assessment of Internal Guidance Could

Improve Communications with Contractors

GAO‐15‐93

1/22/15

To enhance communication with contractors about Job Corps program changes, the Secretary of

Labor should direct the Assistant Secretary for Employment and Training to review the sufficiency of

ETA's guidance for internal notices‐‐including Program Instruction Notices, Policy and Requirements

Handbook Change Notices, and Information Notices‐‐to ensure that contractors are provided with

adequate notification of program changes before they are expected to be implemented, and an

adequate level of information to assist them in carrying out their responsibilities.

ETA WORKFORCE INVESTMENT ACT:

Strategies Needed to Improve Certain Training

Outcome Data

GAO‐14‐137 3/5/14

To provide policymakers and program managers with better quality information to assess the value

of training provided by WIA's Adult and Dislocated Worker Programs, the Secretary of Labor should

identify and share with states strategies for collecting and reporting data on training‐related

employment that could either increase access to employment information or reduce the subjectivity

of determining when training is related to employment.

ETA WORKFORCE INVESTMENT ACT:

DOL Should Do More to Improve the Quality of

Participant Data

GAO‐14‐4

12/20/13 To improve the consistency and completeness of national data on participants in the WIA Adult and

Dislocated Worker Programs, the Secretary of Labor should take additional steps to improve the

uniformity of participant data reported by states. The Secretary of Labor should promote a formal,

continuous process for improving the quality of data on participants in the WIA Adult and

Dislocated Worker Programs through such measures as the following: (a) consistently sharing the

results of all oversight activities with states and local areas, including findings from validation of

participant data; (b) reviewing the methods used for data validation, such as its scope and error rate

threshold, to identify opportunities to increase efficiencies and accountability in the process. This

could include implementing, if appropriate, recommendations from the Regions' review of data

validation procedures; (c) evaluating data validation efforts to determine their effects on data

quality, particularly on systemic errors, and providing targeted guidance and assistance to states

and local areas to address such errors; (d) regularly monitoring Social Policy Research Associates'

corrections and analyses of state WIA participant data, sharing this information with states, and

coordinating with states to ensure that any corrections are appropriate and accurate; and (e)

collecting and disseminating promising practices to states and local areas on data collection and

reporting on a regular basis.

ETA Actions Needed to Improve the Transparency and

Reliability of Labor's Data on the H‐2A Program

GAO‐13‐144R 7/2/13

The Secretary of Labor should direct the Assistant Secretary for Employment and Training to

enhance the validity of the data reported in the data files on multi‐employer applications by

collecting separate data on where workers will be employed and where they will be housed, and by

providing additional guidance on how to report requested worker positions.

ETA Actions Needed to Improve the Transparency and

Reliability of Labor's Data on the H‐2A Program

GAO‐13‐144R

7/2/13

The Secretary of Labor should direct the Assistant Secretary for Employment and Training to

improve the reliability of the data on H‐2A applications filed on behalf of multiple employers in the

new H‐2A module of the iCERT system by assessing the feasibility of adding data edit checks to the

module that would flag inconsistencies in the data. For example, one check could compare the total

number of H‐2A positions requested on a multi‐employer application to the sum of the number of

positions listed on the application for each employer listed and flag applications for further review if

the numbers do not match.

ETA EMPLOYMENT AND TRAINING:

Labor's Green Jobs Efforts Highlight Challenges of

Targeted Training Programs for Emerging Industries

GAO‐13‐555

7/19/13

To enhance Labor's ability to implement training programs in emerging industries, the Secretary of

Labor should identify lessons learned from implementing the green jobs training programs. This

could include: (1) Identifying challenges and promising strategies associated with training workers

for emerging industries‐‐through both targeted grant programs and existing programs‐‐and

considering ways to improve such efforts in the future. For example, taking a more measured or

multi‐phased approach could allow the time necessary to better determine demand for an emerging

industry and establish the partnerships needed to properly align training with available jobs. (2)

Taking steps to ensure training programs adequately document outcome variables, particularly for

targeted programs where tracking training relatedness is of particular interest

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Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

ETA RETURNED PEACE CORPS VOLUNTEERS:

Labor and Peace Corps Need Joint Approach to

Monitor Access to and Quality of Health Care

Benefits

GAO‐13‐27

11/19/12

The Secretary of Labor and the Director of the Peace Corps should jointly develop and implement an

approach for working together to use available information to monitor the access to and quality of

FECA benefits provided to returned volunteers.

ILAB FREE TRADE AGREEMENTS:

U.S. Partners Are Addressing Labor Commitments,

but More Monitoring and Enforcement Are Needed

GAO‐15‐160 11/13/14

To improve the capacity of the U.S. government to monitor and enforce FTA partners' compliance

with mutually agreed FTA labor provisions, DOL should take steps to better inform stakeholders in

FTA partner countries about its FTA labor submission process.

ILAB FREE TRADE AGREEMENTS:

U.S. Partners Are Addressing Labor Commitments,

but More Monitoring and Enforcement Are Needed

GAO‐15‐160 11/13/14

To improve the capacity of the U.S. government to monitor and enforce FTA partners' compliance

with mutually agreed FTA labor provisions, USTR and DOL, in cooperation with State, should

establish a coordinated strategic approach to monitoring and enforcing FTA labor provisions, to

ensure that they systematically assess the consistency of priority FTA partner countries' laws,

regulations, and practices with trade agreement labor provisions and address any identified

concerns.

ILAB FREE TRADE AGREEMENTS:

U.S. Partners Are Addressing Labor Commitments,

but More Monitoring and Enforcement Are Needed

GAO‐15‐160 11/13/14

To improve the capacity of the U.S. government to monitor and enforce FTA partners' compliance

with mutually agreed FTA labor provisions, DOL should reevaluate and adjust, if necessary, its FTA

labor submission review time frame to ensure that it more accurately reflects the time required to

thoroughly investigate and to report on most labor submissions.

OASP Regulatory Guidance Processes: Selected

Departments Could Strengthen Internal Control and

Dissemination Practices

GAO‐15‐368

4/16/15

To improve agencies' guidance development, review, evaluation, and dissemination processes for

non‐significant guidance, we recommend that the Secretaries of USDA, HHS, DOL, and Education

should improve the usability of selected component websites to ensure that the public can easily

find, access, and comment on online guidance. These improvements could be informed by the web

and customer satisfaction metrics that components have collected on their websites. Some

examples of changes that could facilitate public access to online guidance include (1) improving

website usability by clarifying which links contain guidance; (2) highlighting new or important

guidance; and (3) ensuring that posted guidance is current.

OASAM DATA CENTER CONSOLIDATION:

Agencies Making Progress, but Planned Savings

Goals Need to Be Established

GAO‐16‐323

3/3/16

The Secretaries of the Departments of Agriculture, Commerce, Defense, Education, Energy, Health

and Human Services, Homeland Security, Housing and Urban Development, the Interior, Labor,

State, Transportation, the Treasury, and Veterans Affairs; the Attorney General of the United States;

the Administrators of the Environmental Protection Agency, General Services Administration,

National Aeronautics and Space Administration, and U.S. Agency for International Development; the

Director of the Office of Personnel Management; the Chairman of the Nuclear Regulatory

Commission; and the Commissioner of the Social Security Administration should take action to

improve progress in the data center optimization areas that we reported as not meeting OMB's

established targets, including addressing any identified challenges.

OASAM INFORMATION TECHNOLOGY REFORM:

Billions of Dollars in Savings Have Been Realized,

but Agencies Need to Complete Reinvestment

Plans

GAO‐15‐617

9/15/15

To improve the department's tracking of reinvestments, the Secretary of Labor should direct the CIO

to use existing governance mechanisms and any improvements resulting from the implementation

of FITARA to improve tracking of how savings have been reinvested.

OASAM MANAGING FOR RESULTS:

Greater Transparency Needed in Public Reporting

on the Quality of Performance Information for

Selected Agencies' Priority Goals

GAO‐15‐788

9/10/15

To improve the public reporting about how agencies are ensuring the quality of performance

information used to measure progress towards their priority goals, the Secretaries of Agriculture,

Defense, Homeland Security, Interior, and Labor, and the Administrator of NASA should more fully

address GPRAMA requirements and OMB guidance by working with OMB to describe on

Performance.gov how they are ensuring the quality of performance information used to measure

progress towards their APGs.

OASAM MANAGING FOR RESULTS:

Greater Transparency Needed in Public Reporting

on the Quality of Performance Information for

Selected Agencies' Priority Goals

GAO‐15‐788

9/10/15

To improve the public reporting about how agencies are ensuring the quality of performance

information used to measure progress towards their priority goals, the Secretaries of Agriculture,

Defense, Interior, and Labor, and the Administrator of NASA should more fully address GPRAMA

requirements and OMB guidance by describing in their agencies' annual performance plans and

reports how they are ensuring the quality of performance information used to measure progress

towards their APGs.

OASAM DATA CENTER CONSOLIDATION:

Reporting Can Be Improved to Reflect Substantial

Planned Savings

GAO‐14‐713

9/25/14

The Secretaries of HHS, the Interior, Justice, and Labor, and the Administrators of GSA and NASA

should complete action plans for addressing their challenges in reporting cost savings, as discussed

in this report.

OASAM FEDERAL SOFTWARE LICENSES:

Better Management Needed to Achieve Significant

Savings Government‐Wide

GAO‐14‐413

5/22/14

To ensure the effective management of software licenses, the Secretary of Labor should establish a

comprehensive inventory of software licenses using automated tools for the majority of agency

software license spending and/or enterprise‐wide licenses.

OASAM FEDERAL SOFTWARE LICENSES:

Better Management Needed to Achieve Significant

Savings Government‐Wide

GAO‐14‐413

5/22/14

To ensure the effective management of software licenses, the Secretary of Labor should regularly

track and maintain a comprehensive inventory of software licenses using automated tools and

metrics.

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Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

OASAM FEDERAL SOFTWARE LICENSES:

Better Management Needed to Achieve Significant

Savings Government‐Wide

GAO‐14‐413

5/22/14

To ensure the effective management of software licenses, the Secretary of Labor should analyze

agency‐wide software license data, such as costs, benefits, usage, and trending data, to identify

opportunities to reduce costs and better inform investment decision making.

OASAM FEDERAL SOFTWARE LICENSES:

Better Management Needed to Achieve Significant

Savings Government‐Wide

GAO‐14‐413

5/22/14

To ensure the effective management of software licenses, the Secretary of Labor should provide

software license management training to appropriate agency personnel addressing contract terms

and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration

management.

OASAM COMPUTER MATCHING ACT:

OMB and Selected Agencies Need to Ensure

Consistent Implementation

GAO‐14‐44 2/12/14

To improve the implementation of the act, the Secretary of Labor should develop and implement

policies and procedures for cost‐benefit analyses related to computer matching agreements to

include key elements such as personnel and computer costs, as well as avoidance of future

improper payments and recovery of improper payments and debts.

OASAM COMPUTER MATCHING ACT:

OMB and Selected Agencies Need to Ensure

Consistent Implementation

GAO‐14‐44

2/12/14

To improve the implementation of the act, the Secretary of Labor should ensure the DIB reviews

cost‐benefit analyses to make certain cost savings information for the computer matching program

is included before approving CMAs.

OASAM COMPUTER MATCHING ACT:

OMB and Selected Agencies Need to Ensure

Consistent Implementation

GAO‐14‐44

2/12/14

To improve the implementation of the act, the Secretary of Labor should ensure the DIB performs

annual reviews and submits annual reports on agency computer matching activities, as required by

the act.

OASAM INFORMATION TECHNOLOGY:

Additional OMB and Agency Actions Are Needed to

Achieve Portfolio Savings

GAO‐14‐65

11/6/13

To improve the department's implementation of PortfolioStat, the Secretary of Labor should direct

the CIO to develop a complete commodity IT baseline.

OASAM INFORMATION TECHNOLOGY:

Additional OMB and Agency Actions Are Needed to

Achieve Portfolio Savings

GAO‐14‐65 11/6/13

To improve the department's implementation of PortfolioStat, in future reporting to OMB, the

Secretary of Labor should direct the CIO to fully describe the following PortfolioStat action plan

elements: (1) consolidate commodity IT spending under the agency CIO and (2) establish targets for

commodity IT spending reductions and deadlines for meeting those targets.

OASAM INFORMATION TECHNOLOGY:

Additional OMB and Agency Actions Are Needed to

Achieve Portfolio Savings

GAO‐14‐65

11/6/13

To improve the department's implementation of PortfolioStat, the Secretary of Labor should direct

the CIO to report on the department's progress in consolidating the cloud e‐mail services to a

shared service as part of the OMB integrated data collection quarterly reporting until completed.

OASAM PERSONAL ID VERIFICATION:

Agencies Should Set a Higher Priority on Using the

Capabilities of Standardized Identification Cards

GAO‐11‐751

9/20/11

To meet the HSPD‐12 program's objectives of using the electronic capabilities of PIV cards for access

to federal facilities, networks, and systems, the Secretary of Labor should ensure that the

department's plans for PIV‐enabled physical access at major facilities are implemented in a timely

manner.

OASAM MANAGING FOR RESULTS:

Agencies Need to Fully Identify and Report Major

Management Challenges and Actions to Resolve

them in their Agency Performance Plans

GAO‐16‐510

6/15/16

To improve the public reporting of major management challenges and to ensure performance

information is useful, transparent, and complete, the Secretary of Labor should describe the

Department of Labor's major management challenges and include performance goals, performance

measures, milestones, planned actions, and an agency official responsible for resolving each of its

major management challenges as part of the Department of Labor's agency performance plan.

OASAM INFORMATION TECHNOLOGY:

Agencies Need to Improve Their Application

Inventories to Achieve Additional Savings

GAO‐16‐511

9/29/16

To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the

Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing

and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans

Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space

Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel

Management; Small Business Administration; Social Security Administration; and U.S. Agency for

International Development should direct their Chief Information Officers (CIOs) and other

responsible officials to improve their inventories by taking steps to fully address the practices we

identified as being partially met or not met.

OASAM INFORMATION TECHNOLOGY:

Agencies Need to Improve Their Application

Inventories to Achieve Additional Savings

GAO‐16‐511 9/29/16

To improve federal agencies' efforts to rationalize their portfolio of applications, the Secretaries of

Defense, Homeland Security, the Interior, and Labor; and the Director of the National Science

Foundation should direct the CIOs and other responsible officials to modify existing investment

management processes to address applications more completely. Specifically, the Secretary of

Labor should direct the department's CIO to consider a segmented approach to further rationalize

and identify a function for which it would modify existing processes to collect and review

application‐specific cost, technical, and business value information.

OFCCP EQUAL EMPLOYMENT OPPORTUNITY:

Strengthening Oversight Could Improve Federal

Contractor Nondiscrimination Compliance

GAO‐16‐750

9/22/16

To ensure that federal contractors are complying with equal employment opportunity

requirements, the Secretary of Labor should direct the Director of OFCCP to make changes to the

contractor scheduling list development process so that compliance efforts focus on those

contractors with the greatest risk of not following equal employment opportunity and affirmative

action requirements.

OFCCP EQUAL EMPLOYMENT OPPORTUNITY:

Strengthening Oversight Could Improve Federal

Contractor Nondiscrimination Compliance

GAO‐16‐750

9/22/16

To ensure that federal contractors are complying with equal employment opportunity

requirements, the Secretary of Labor should direct the Director of OFCCP to develop a mechanism

to monitor AAPs from covered federal contractors on a regular basis. Such a mechanism could

include electronically collecting AAPs and contractor certification of annual updates.

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Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

OFCCP EQUAL EMPLOYMENT OPPORTUNITY:

Strengthening Oversight Could Improve Federal

Contractor Nondiscrimination Compliance

GAO‐16‐750

9/22/16

To ensure that federal contractors are complying with equal employment opportunity

requirements, the Secretary of Labor should direct the Director of OFCCP to make changes to the

current scheduling list distribution process so that it addresses changes in human capital and does

not rely exclusively on geographic location.

OFCCP EQUAL EMPLOYMENT OPPORTUNITY:

Strengthening Oversight Could Improve Federal

Contractor Nondiscrimination Compliance

GAO‐16‐750

9/22/16

To ensure that federal contractors are complying with equal employment opportunity

requirements, the Secretary of Labor should direct the Director of OFCCP to provide timely and

uniform training to new staff, as well as provide continuing training opportunities to assist

compliance officers in maintaining a level of competence to help ensure quality and consistency of

evaluations across regions and district offices.

OFCCP EQUAL EMPLOYMENT OPPORTUNITY:

Strengthening Oversight Could Improve Federal

Contractor Nondiscrimination Compliance

GAO‐16‐750 9/22/16

To ensure that federal contractors are complying with equal employment opportunity

requirements, the Secretary of Labor should direct the Director of OFCCP to review outreach and

compliance assistance efforts and identify options for improving information provided to federal

contractors and workers to enhance their understanding of nondiscrimination and affirmative

action requirements to ensure equal employment opportunities for protected workers.

OFCCP EQUAL EMPLOYMENT OPPORTUNITY:

Strengthening Oversight Could Improve Federal

Contractor Nondiscrimination Compliance

GAO‐16‐750 9/22/16

To ensure that federal contractors are complying with equal employment opportunity

requirements, the Secretary of Labor should direct the Director of OFCCP to assess existing

contractor guidance for clarity to ensure that contractors have information that helps them better

understand their responsibilities regarding nondiscrimination and affirmative action requirements

to ensure equal employment opportunities for protected workers.

OSHA Workplace Safety and Health: Additional Data

Needed to Address Continued Hazards in the Meat

and Poultry Industry

GAO‐16‐337 4/25/16

To strengthen DOL's efforts to ensure employers protect the safety and health of workers at meat

and poultry plants, the Secretary of Labor should direct the Assistant Secretary for Occupational

Safety and Health, working together with the Commissioner of Labor Statistics as appropriate, to

develop and implement a cost‐effective method for gathering more complete data on

musculoskeletal disorders.

OSHA Workplace Safety and Health: Additional Data

Needed to Address Continued Hazards in the Meat

and Poultry Industry

GAO‐16‐337 4/25/16

To develop a better understanding of meat and poultry sanitation workers' injuries and illnesses,

the Secretary of Labor should direct the Assistant Secretary for Occupational Safety and Health and

the Commissioner of Labor Statistics to study how they could regularly gather data on injury and

illness rates among sanitation workers in the meat and poultry industry.

OSHA WORKPLACE SAFETY AND HEALTH:

Additional Efforts Needed to Help Protect Health

Care Workers from Workplace Violence

GAO‐16‐11

3/17/16

To help reduce the risk of violence against health care workers, the Secretary of Labor should direct

the Assistant Secretary for Occupational Safety and Health to provide additional information to

assist inspectors in developing general duty clause citations in cases involving workplace violence.

OSHA WORKPLACE SAFETY AND HEALTH:

Additional Efforts Needed to Help Protect Health

Care Workers from Workplace Violence

GAO‐16‐11

3/17/16

To help reduce the risk of violence against health care workers, the Secretary of Labor should direct

the Assistant Secretary for Occupational Safety and Health to establish a policy that outlines a

process for following up on health care workplace violence‐related hazard alert letters.

OSHA WORKPLACE SAFETY AND HEALTH:

Additional Efforts Needed to Help Protect Health

Care Workers from Workplace Violence

GAO‐16‐11 3/17/16

To help determine whether current efforts are effective or if additional action may be needed, such

as development of a workplace violence prevention standard for health care employers, the

Secretary of Labor should direct the Assistant Secretary for Occupational Safety and Health to

develop and implement cost‐effective ways to assess the results of the agency's efforts to address

workplace violence.

OSHA CHEMICAL SAFETY:

Actions Needed to Improve Federal Oversight of

Facilities with Ammonium Nitrate

GAO‐14‐274

5/21/14

The Secretary of Labor should direct the Assistant Secretary for Occupational Safety and Health to

take steps to identify high risk facilities working with ammonium nitrate and develop options to

target them for inspection.

OSHA CHEMICAL SAFETY:

Actions Needed to Improve Federal Oversight of

Facilities with Ammonium Nitrate

GAO‐14‐274

5/21/14

To strengthen federal oversight of facilities with ammonium nitrate, the Secretary of Labor and the

Administrator of EPA should direct OSHA and EPA, respectively, to consider revising their related

regulations to cover ammonium nitrate and jointly develop a plan to require high risk facilities with

ammonium nitrate to assess the risks and implement safeguards to prevent accidents involving this

chemical.

OSHA CHEMICAL SAFETY:

Actions Needed to Improve Federal Oversight of

Facilities with Ammonium Nitrate

GAO‐14‐274

5/21/14

The Secretary of Labor should direct the Assistant Secretary for Occupational Safety and Health to

consider updating regulations for the storage of ammonium nitrate taking into consideration, as

appropriate, other related standards and current practices.

OSHA WORKPLACE SAFETY AND HEALTH:

Further Steps by OSHA Would Enhance Monitoring

of Enforcement and Effectiveness

GAO‐13‐61

2/25/13

In order to improve OSHA's assessments of its effectiveness and its monitoring of federal and state

enforcement efforts, the Secretary of Labor should direct the Assistant Secretary of Labor for

Occupational Safety and Health to consistently incorporate outcomes in its assessments of

enforcement activities.

OSHA WORKPLACE SAFETY AND HEALTH:

Further Steps by OSHA Would Enhance Monitoring

of Enforcement and Effectiveness

GAO‐13‐61 2/25/13

In order to improve OSHA's assessments of its effectiveness and its monitoring of federal and state

enforcement efforts, the Secretary of Labor should direct the Assistant Secretary of Labor for

Occupational Safety and Health to annually analyze the results of its Management Accountability

Program (MAP) and Federal Annual Monitoring and Evaluation (FAME) audits to identify and

address systemic problems and leading practices.

OSHA WORKPLACE SAFETY AND HEALTH:

Further Steps by OSHA Would Enhance Monitoring

of Enforcement and Effectiveness

GAO‐13‐61 2/25/13

In order to improve OSHA's assessments of its effectiveness and its monitoring of federal and state

enforcement efforts, the Secretary of Labor should direct the Assistant Secretary of Labor for

Occupational Safety and Health to provide consistent guidance for scheduling state Enhanced

Federal Annual Monitoring and Evaluation (EFAME) audits to ensure that they are conducted on a

regular basis and include mandatory on‐site case file reviews.

8
11/15/2016

Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

OSHA PRODUCT SAFETY LABORATORIES:

OSHA's Accreditation Process Needs Reexamination

GAO‐13‐88

12/11/12

To improve the timeliness of the NRTL accreditation process, the Secretary of Labor should direct

the Assistant Secretary for Occupational Safety and Health to review the NRTL program's structure

and accreditation application procedures to identify and implement any alternatives that better

align program design with resource levels and improve program timeliness while remaining

consistent with the agency's mission. This review should draw upon the expertise of NIST or other

organizations that provide guidance on developing effective and efficient accreditation schemes. It

should include identifying and evaluating the risks, costs, and benefits of various structural

approaches for making accreditation decisions in terms of both timeliness and effectiveness in

achieving OSHA's mission. Approaches could include using an external accrediting organization to

implement some or all of the lab accreditation duties, using contractors to support in‐house

portions of the accreditation process, or separating testing from certification

OSHA PRODUCT SAFETY LABORATORIES:

OSHA's Accreditation Process Needs Reexamination

GAO‐13‐88

12/11/12

To improve the timeliness of the NRTL accreditation process, the Secretary of Labor should direct

the Assistant Secretary for Occupational Safety and Health to review the NRTL program's structure

and accreditation application procedures to identify and implement any alternatives that better

align program design with resource levels and improve program timeliness while remaining

consistent with the agency's mission. This review should include reviewing OSHA's current

regulations and procedures to identify areas where increased alignment with international

standards on accreditation may result in time savings without impairing the agency's mission to

protect workers' safety and health. This could include analyzing the risks, costs, and benefits to

effectiveness involved in making any program modifications or changes to existing regulations.

OSHA PRODUCT SAFETY LABORATORIES:

OSHA's Accreditation Process Needs Reexamination

GAO‐13‐88

12/11/12

To improve the timeliness of the NRTL accreditation process, the Secretary of Labor should direct

the Assistant Secretary for Occupational Safety and Health to review the NRTL program's structure

and accreditation application procedures to identify and implement any alternatives that better

align program design with resource levels and improve program timeliness while remaining

consistent with the agency's mission. This review should include improving overall program

guidance and transparency to help prevent delays in the approval process.

OWCP ENERGY EMPLOYEES COMPENSATION:

DOL Generally Followed Its Procedures to Process

Claims but Could Strengthen Some Internal

Controls

GAO‐16‐74

3/10/16

To enhance consistency with DOL policy and procedures in adjudicating EEOICPA Part E claims, the

Secretary of Labor should strengthen internal controls by requiring district offices to take steps to

ensure that all claimant correspondence for Recommended and Final Decisions receives supervisory

review.

OWCP ENERGY EMPLOYEES COMPENSATION:

DOL Generally Followed Its Procedures to Process

Claims but Could Strengthen Some Internal

Controls

GAO‐16‐74

3/10/16

To enhance consistency with DOL policy and procedures in adjudicating EEOICPA Part E claims, the

Secretary of Labor should strengthen internal controls by requiring district offices to document that

the SEM was checked for updates just prior to issuing a Recommended Decision to deny a claim in

cases in which the date of the last SEM update has not changed since the claims examiner's prior

check.

OWCP FEDERAL EMPLOYEES' COMPENSATION ACT:

Case Examples Illustrate Vulnerabilities That Could

Result in Improper Payments or Overlapping

Benefits

GAO‐13‐386

5/3/2013

The Secretary of Labor should assess the feasibility of developing a cost‐effective mechanism to

share FECA compensation information with states, such as reporting information to the National

Directory of New Hires, to help identify whether claimants are inappropriately receiving overlapping

UI and FECA payments.

SOL FREEDOM OF INFORMATION ACT:

Department of Labor Can Improve Management of

Its Program

GAO‐16‐248

6/30/16

To improve DOL's management of FOIA requests, the Secretary of Labor should direct the Chief

FOIA Officer to establish a time frame for finalizing and then issue an updated FOIA regulation.

SOL FREEDOM OF INFORMATION ACT:

Department of Labor Can Improve Management of

Its Program

GAO‐16‐248

6/30/16

To improve DOL's management of FOIA requests, the Secretary of Labor should direct the Chief

FOIA Officer to establish a time frame for implementing, and take actions to implement, section 508

requirements in the department's FOIA system and online portal.

SOL FREEDOM OF INFORMATION ACT:

Department of Labor Can Improve Management of

Its Program

GAO‐16‐248

6/30/16

To improve DOL's management of FOIA requests, the Secretary of Labor should direct the Chief

FOIA Officer to establish a time frame for implementing, and take actions to fully implement,

recommended best practice capabilities for enhanced processing of requests in the department's

FOIA system and online portal.

SOL FREEDOM OF INFORMATION ACT:

Department of Labor Can Improve Management of

Its Program

GAO‐16‐248

6/30/16

To improve DOL's management of FOIA requests, the Secretary of Labor should direct the Chief

FOIA Officer to require components to document in the Secretary's Information Management

System for FOIA the rationales for delays in responding to FOIA requests, and to notify requesters of

the delayed responses when processing requests.

SOL FREEDOM OF INFORMATION ACT:

Department of Labor Can Improve Management of

Its Program

GAO‐16‐248 6/30/16

To improve DOL's management of FOIA requests, the Secretary of Labor should direct the Chief

FOIA Officer to establish a time frame for consulting with the Department of Justice's Office of

Information Policy on including language in DOL's response letters to administrative appeals

notifying requesters of the National Archives and Records Administration's Office of Government

Information Services' mediation services as an alternative to litigation, and then ensure that the

department includes the language in the letters.

9
11/15/2016

Agency Title & GAO Report # Date

Published Open Recommendation

DOL'S GAO OPEN RECOMMENDATIONS NEEDING ADDRESSING

VETS VETERANS' EMPLOYMENT:

Need for Further Workshops Should Be Considered

before Making Decisions on Their Future

GAO‐15‐518 7/16/15

To inform decisions on any potential future iterations of the veterans' employment workshop, the

Secretary of Labor should assess and report to Congress the extent to which further delivery of

employment workshops to veterans and their spouses could fill a niche not fully served by existing

federal programs. Such an assessment could involve collaboration with VA and other stakeholder

organizations.

VETS Veterans' Reemployment Rights: Department of

Labor Has Higher Performance Than the Office of

Special Counsel on More Demonstration Project

Measures

GAO‐15‐77

11/25/14

Any federal agency designated to investigate future USERRA claims against federal executive

agencies should undertake efforts to increase the response rate of the customer satisfaction survey

if it continues to be administered, so more tenable conclusions can be drawn from its data. Such

efforts may include follow‐up phone calls to nonrespondents, additional email notifications

requesting participation in the survey, or making the survey easier to complete and submit.

VETS NATIVE AMERICAN VETERANS:

DOL Needs a Clear Plan to Improve Employment

and Training Services on Tribal Lands

GAO‐13‐664

11/4/13

To strengthen DOL's efforts to respond to the 2010 report recommendations to improve

employment services and training opportunities for Native American veterans on tribal land, the

Secretary of Labor should identify and disseminate lessons learned and promising practices from

DOL and other agencies' efforts. To identify such lessons or practices, DOL could: (a) Review efforts

by Jobs for Veterans State Grants (JVSG) grantees to improve Disabled Veterans' Outreach Program

and Local Veterans' Employment Representative outreach, such as the use of mobile units to

conduct outreach on tribal lands; and (b) Review DOL's portfolio of employment and training grants

and guidance related to economic development for application to JVSG and the Workforce

Investment Act of 1998 Section 166 grantees.

WHD Fair Labor Standards Act: Extending Protections to

Home Care Workers

GAO‐15‐12

12/17/14

Depending on the outcome of the litigation, the Secretary of Labor should take steps to ensure the

agency will be positioned to conduct a meaningful retrospective review consistent with the

Executive Order at an appropriate time. These steps should be taken in consultation with the

Centers for Medicare & Medicaid Services, and could include, for example, identifying metrics that

could be used to evaluate the rule, and implementing a plan to gather and analyze the necessary

data.

WHD DAVIS‐BACON ACT:

Methodological Changes Needed to Improve Wage

Survey

GAO‐11‐152 4/6/11

To improve the quality and timeliness of Labor's Davis‐Bacon wage surveys, the Secretary of Labor

should direct the Wage and Hour Division to enlist the National Academies, or another independent

statistical organization, to evaluate and provide objective advice on the survey, including its

methods and design; the potential for conducting a sample survey instead of a census survey; the

collection, processing, tracking, and analysis of data; and promotion of survey awareness.

WHD DAVIS‐BACON ACT:

Methodological Changes Needed to Improve Wage

Survey

GAO‐11‐152 4/6/11

To improve the transparency of wage determinations while maintaining the confidentiality of

specific survey respondents, the Secretary of Labor should direct the Wage and Hour Division to

publicly provide additional information on the data used to calculate its Davis‐Bacon wage rates,

such as the number and wages of workers included in each wage rate calculation, and to clearly

communicate the meaning of various dates and codes used in wage determinations in the same

place the prevailing wage rates are posted.

10
GAO Report

Number Title Issuance Date

GAO‐12‐97 PROMISING STRATEGIES IN WORKFORCE COLLABORATION 1/19/2012

GAO‐12‐402 FEDERAL EMPLOYEES' COMPENSATION ACT (FECA) PRELIMINARY REPORT 1/25/2012

GAO‐12‐309R DEPARTMENT OF LABOR'S ADMINISTRATION OF THE FEDERAL EMPLOYEES'

COMPENSATION ACT PROGRAM 2/6/2012

GAO‐12‐324 DEFINED BENEFIT PENSION PLAN INVESTMENTS IN ALTERNATIVE ASSETS 2/16/2012

GAO‐12‐419T PROMISING STRATEGIES IN WORKFORCE COLLABORATION TESTIMONY 2/16/2012

GAO‐12‐408 UNEMPLOYMENT INSURANCE AND CASH WELFARE AS SAFETY NETS 2/17/2012

GAO‐12‐54 MAXIMIZING THE EFFICIENCY AND UTILITY OF FEDERAL STATISTICAL PROGRAM 2/24/2012

GAO‐12‐326 OPTIONS TO INCREASE SMALL BUSINESS RETIREMENT SAVINGS PLAN COVERAGE 3/5/2012

GAO‐12‐459T OPTIONS TO INCREASE SMALL BUSINESS RETIREMENT PLAN SPONSORSHIP

TESTIMONY 3/7/2012

GAO‐12‐511T MODERNIZING SSA DISABILITY PROGRAMS: PRELIMINARY OBSERVATIONS ON

UPDATES TO MEDICAL AND OCCUPATIONAL CRITERIA 3/20/2012

GAO‐12‐508R FEDERAL EMPLOYMENT COMPENSATION ACT MANAGMENT CHALLENGES 3/21/2012

GAO‐12‐328 ALTERNATIVE APPROACHES TO ADDRESS 401(K)‐TYPE SERVICE PROVIDER CONFLICTS

OF INTERESTS AND FEES 3/22/2012

GAO‐12‐348 FEDERAL FUNDING AWARDED TO NON‐FEDERALLY RECOGNIZED INDIAN TRIBES 4/12/2012

GAO‐12‐325 SURVEY OF 401(K) PLAN SPONSORS ON DISCLOSURE OF PLAN FEES 4/24/2012

SURVEY OF 401(K) PLAN SPONSORS E‐SUPPLEMENT 4/24/2012

GAO‐12‐445 OLDER WORKERS IN FINANCIAL RECESSION OF 2007‐2009 4/25/2012

GAO‐12‐491 FRAMEWORK FOR ADDRESSING FRAGMENTATIN, OVERLAP, AND DUPLICATION IN

FEDERAL HOMELESSNESS PROGRAMS 5/10/2012

GAO‐12‐724T OLDER WORKERS TESTIMONY 5/15/2012

GAO‐12‐568 EFFORTS TO HIRE AND RETAIN PERSONS WITH DISABILITIES IN THE FEDERAL

WORKFORCE 5/25/2012

GAO‐12‐647 COORDINATION OF PROGRAMS FOR TRANSPORTATION‐DISADVANTAGED 6/20/2012

GAO‐12‐677 FRAGMENTATION, OVERLAP AND POTENTIAL DUPLICATION AMONG PROGRAMS

THAT SUPPORT EMPLOYMENT FOR PEOPLE WITH DISABILITIES 6/29/2012

GAO‐12‐594 FEDERAL TRANSITION PROGRAMS FOR STUDENTS WITH DISABILITIES 7/12/2012

GAO‐12‐699 WOMEN'S RETIREMENT INCOME SECURITY 7/19/2012

WOMEN'S RETIREMENT INCOME SECURITY TESTIMONY 7/25/2012

GAO‐12‐764 SSA DISABILITY AND UNEMPLOYMENT INSURANCE OVERLAP 8/31/2012

GAO‐12‐860R INTERIM ASSESSMENT OF UNIFORMED SERVICES EMPLOYMENT AND

REEMPLOYMENT RIGHST ACT (USERRA) DEMONSTRATION PROJECT MANDATE 9/10/2012

GAO‐12‐706 H‐2A PROCESS FOR OBTAINING AGRICULTURAL GUEST WORKERS 9/12/2012

GAO‐12‐665 MULTIPLE EMPLOYER PENSION PLANS ‐ STRUCTURE, DESIGN, AND CHALLENGES FOR

POOLED RETIREMENT ARRANGEMENTS 9/13/2012

GAO‐12‐891T SSA DISABILITY PROGRAMS: PROGRESS AND CHALLENGES RELATED TO MODERNIZING 9/14/2012

GAO‐12‐957

STATES' UNEMPLOYMENT INSURANCE INFORMATION TECHNOLOGY MODERNIZATION

INITIATIVES 9/26/2012

GAO‐12‐975

LIKELY ECONOMIC IMPLICATIONS OF FEDERAL COMMONWEALTH OF THE NORTHERN

MARIANA ISLANDS (CNMI) FOREIGN WORKER TRANSITIONAL PROGRAM 9/27/2012

GAO‐12‐953 IMPACT OF CHANGES TO TRADE ADJUSTMENT ASSISTANCE FOR WORKERS PROGRAM 9/28/2012

GAO‐12‐954 MANDATE ON TRADE ADJUSTMENT ASSISTANCE FOR COMMUNITIES PROGRAM 9/28/2012

GAO‐13‐108

FEDERAL EMPLOYMENT COMPENSATION ACT; COMPARING ESTIMATES OF THE

BENEFITS AT RETIREMENT UNDER VARIOUS SCENARIOS 10/26/2012

GAO‐13‐58 IMPLEMENTING RISK‐BASED PREMIUMS AT PBGC 11/7/2012

GAO‐13‐27 ACCESS AND QUALITY OF HEALTH SERVICES FOR PEACE CORPS VOLUNTEERS 11/21/2012

GAO Reports Issued related to Department of Labor from 2012 to 2016*

* September 2016
GAO Reports Issued related to Department of Labor from 2012 to 2016*

GAO‐13‐142R

COMPARING EFFECTS OF FEDERAL EMPLOYEES COMPENSATION ACT REVISIONS FOR

POSTAL WORKERS 11/26/2012

GAO‐13‐143R

COMPARING ESTIMATES OF BENEFITS UNDER SENATE PROPOSALS AND FOR PARTIAL

DISABILITY BENEFICIARIES 12/7/2012

GAO‐13‐75 LIFETIME RETIREMENT INCOME PRODUCTS 12/10/2012

GAO‐13‐29 VETERANS EMPLOYMENT AND TRAINING PROGRAMS 12/13/2012

GAO‐13‐93

INMATE REENTRY PROGRAMS: ENHANCED INFORMATION SHARING COULD FURTHER

STRENGTHEN COORDINATION AND GRANT MANAGEMENT 12/14/2012

GAO‐13‐232

FEDERAL RESEARCH, SUPPORT, TRAINING, AND AWARENESS EFFORTS RELATED TO

AUTISM 2/28/2013

GAO‐13‐428T STATUS OF MULTIEMPLOYER PLANS AND PBGC 3/5/2013

GAO‐13‐30 PRACTICES AND OVERSIGHT RELATED TO DC PLAN AMOUNT ROLLOVERS INTO IRAS 3/7/2013

GAO‐13‐240

ONGOING EFFORTS AND POLICY OPTIONS TO IMPROVE MULTIEMPLOYER PLAN

FUNDING 3/28/2013

GAO‐13‐386 FEDERAL EMPLOYEES COMPENSATION ACT 4/3/2013

GAO‐13‐368

TEXTBOOK COST INFORMATION FOR STUDENTS AND FACULTY OF POSTSECONDARY

INSTITUTIONS 6/6/2013

GAO‐13‐555 DEPARTMENT OF LABOR'S GREEN JOBS EFFORTS AND EXPENDITURES 6/19/2013

GAO‐13‐144R H‐2A DATA MANAGMENT LETTER FOR LABOR 7/2/2013

GAO‐13‐730T FECA AND FERS TESTIMONY 7/10/2013

GAO‐13‐748T RETIREMENT SECURITY FOR EMPLOYESS OF SMALL BUSINESSES 7/16/2013

GAO‐13‐365 U.S. MANUFACTURING POLICY COMPARED TO OTHER MANUFACTURING NATIONS 7/25/2013

GAO‐13‐699 EFFECT OF AUTOMATIC INDIVIDUAL RETIREMENT ACCOUNTS ON LOWER EARNERS 8/23/2013

GAO‐13‐656

COMMUNITY COLLEGES ROLE IN MEETING THE EDUCATION AND TRAINING NEEDS OF

THEIR STUDENTS 9/10/2013

GAO‐13‐854T TERMINATION OF DELPHI PENSION PLANS 9/11/2013

GAO‐13‐859T

UNEMPLOYMENT INSURANCE INFORMATION TECHNOLOGY: STATES FACE

CHALLENGES IN MODERNIZATION EFFORTS 9/11/2013

GAO‐13‐594 ELECTRONIC DISCLOSURE OF PENSION INFORMATION 9/13/2013

GAO‐13‐664 NATIVE AMERICAN VETERANS EMPLOYMENT TRAINING 9/26/2013

GAO‐14‐9

LESSONS LEARNED ABOUT RETIREMENT SPEND‐DOWN OPTIONS FROM THE U.S. AND

ABROAD 11/20/2013

GAO‐14‐92

OPPORTUNITIES FOR STREAMLINING PRIVATE PENSION PLAN REPORTING

REQUIREMENTS 11/21/2013

GAO‐14‐19

LABOR MARKET DATA AND JOB TRAINING ‐ WORKFORCE INVESTMENT ACT ADULT

AND DISLOCATED WORKER PROGRAMS 12/2/2013

GAO‐14‐4

NUMBERS SERVED IN WORKFORCE INVESTMENT ADULT AND DISLOCATED WORKER

TRAINING PROGRAMS 12/2/2013

GAO‐14‐20SP LABOR MARKET DATA & JOB TRAINING E‐SUPPLEMENT 12/2/2013

GAO‐14‐69 FAIR LABOR STANDARDS ACT LITIGATION REVIEW 12/18/2013

GAO‐14‐44 COMPUTER MATCHING AGREEMENTS 1/13/2014

GAO‐14‐33 TRENDS IN MARRIAGE AND IMPLICATIONS FOR RETIREMENT SECURITY 1/15/2014

GAO‐14‐137

TRAINING‐RELATED PLACEMENTS AND CREDENTIALS OF PARTICIPANTS WHO

RECEIVED TRAINING UNDER THE WORKFORCE INVESTMENT ACT'S ADULT AND

DISLOCATED WORKER PROGRAMS

1/31/2014

GAO‐14‐91

COLLEGE DEBIT CARDS:  ACTIONS NEEDED TO ADDRESS ATM ACCESS, STUDENT

CHOICE, AND TRANSPARENCY 2/13/2014

GAO‐14‐144   TRANSITION ASSISTANCE PROGRAM IMPROVEMENTS IMPLMENTATION 3/5/2014

GAO‐14‐272T TRENDS IN MARRIAGE TESTIMONY 3/5/2014

GAO‐14‐286

WHISTLEBLOWER PROTECTION PROGRAM:  OSHA AND DOT SHOULD STRENGTHEN

COLLABORATIVE MECHANISMS 3/19/2014

GAO‐14‐334R UPDATE ON TAX INCENTIVES FOR PRIVATE PENSION PLANS 3/20/2014

GAO‐15‐545 ASSESSMENT OF WATER CONSERVATION TECHNOLOGIES FOR ENERGY DEVELOPMENT 3/28/2014

GAO‐14‐381

THE EFFECT OF MINIMUM WAGE INCREASES IN AMERICAN SAMOA AND THE

MARIANA ISLANDS 4/1/2014

* September 2016
GAO Reports Issued related to Department of Labor from 2012 to 2016*

GAO‐14‐345

MINE SAFETY AND HEALTH ADMINISTRATION'S PROPOSED COAL MINE DUST

STANDARD 4/9/2014

GAO‐14‐311

CHARACTERISTICS OF OLDER AMERICANS THAT CLAIM EARLY SOCIAL SECURITY

RETIREMENT BENEFITS 4/23/2014

GAO‐14‐493

REVIEW OF LABOR DEPARTMENT INTERNATIONAL TECHNICAL ASSISTANCE

PROGRAMS 5/15/2014

GAO‐14‐274 FEDERAL REQUIREMENTS FOR AMMONIUM NITRATE FACILITIES 5/19/2014

GAO‐14‐420 PENSION ADVANCE TRANSACTIONS: QUESTIONABLE BUSINESS PRACTICES IDENTIFIED 6/4/2014

GAO‐14‐441 CLARITY AND USEFULNESS OF FORM 5500 DATA COLLECTION 6/5/2014

GAO‐14‐310 USE OF MANAGED ACCOUNTS IN 401(K) PLANS 6/25/2014

GAO‐14‐557

COST OF LIVING CONSIDERATIONS FOR INCOME ELIGIBILITY AND REIMBURSEMENT

RATES FOR SCHOOL MEAL PROGRAMS 7/8/2014

GAO‐14‐629T INCREASE IN FAIR LABOR STANDARDS ACT LITIGATION 7/23/2014

GAO‐14‐832

FINANCIAL AND PERFORMANCE MONITORING AND EVALUATION OF INTERNATIONAL

LABOR GRANTS 9/24/2014

GAO‐14‐713

DATA CENTER CONSOLIDATION: REPORTING CAN BE IMPROVED TO REFLECT

SUBSTANTIAL PLANNED SAVINGS 9/25/2014

GAO‐15‐160 IMPLEMENTATION OF LABOR PROVISIONS OF RECENT FREE TRADE AGREEMENTS 11/6/2014

GAO‐15‐27 FEDERAL GRANTS FOR STATES TO DEVELOP LONGITUDINAL DATA SYSTEMS 11/19/2014

GAO‐15‐31

TEMPORARY ASSISTANCE FOR NEEDY FAMILIES:

ACTION IS NEEDED TO BETTER PROMOTE EMPLOYMENT FOCUSED APPROACHES 11/19/2014

GAO‐15‐73

PRACTICES SURROUNDING AUTOMATIC ROLLOVER IRAS, LEGAL SAFEGUARDS FOR

PARTICIPANTS, AND HOW OTHER COUNTRIES ARE MANAGING THE PROCESS 11/21/2014

GAO‐15‐77 ASSESSMENT OF THE 2ND DEMO PROJECT ON VETERANS REEMPLOYMENT RIGHTS 11/25/2014

GAO‐15‐12 FAIR LABOR STANDARDS ACT COMPANIONSHIP SERVICES EXEMPTIONS 12/17/2014

GAO‐15‐113 FEDERAL PROGRAMS FOR INDIVIDUALS WITH MENTAL ILLNESS 12/31/2014

GAO‐15‐194

DEFENSE BASE ACT INSURANCE:

STATE DEPARTMENT SHOULD EVALUATE FITS OPEN MARKET SYSTEM AND

INCORPORATE LEADING PRACTICES INTO ANY FUTURE SINGLE INSURER SOLICITATION

1/6/2015

GAO‐15‐93 EXAMINATION OF JOB CORPS PROGRAM BUDGET SHORTFALS 1/22/2015

GAO‐15‐74 DEFINED BENEFIT PLAN DERISKING 1/27/2015

GAO‐15‐265 STATE DEPARTMENT'S SUMMER WORK TRAVEL VISA PROGRAM 2/11/2015

GAO‐15‐282

UNEMPLOYMENT INSURANCE: STATES' REDUCTIONS IN MAXIMUM BENEFIT

DURATIONS HAVE IMPLICATIONS FOR FEDERAL COSTS 2/26/2015

GAO‐15‐154 USE OF FOREIGN LABOR CONTRACTORS IN THE US 3/6/2015

GAO‐15‐368

REGULATORY GUIDANCE PROCESSES AT THE U. S. DEPARTMENTS OF AGRICULTURE,

EDUCATION, HEALTH AND HUMAN SERVICES, LABOR 4/16/2015

GAO‐15‐296

INFORMATION TECHNOLOGY:

ADDITIONAL OMB AND AGENCY ACTIONS NEEDED TO ENSURE PORTFOLIO SAVINGS

ARE REALIZED AND EFFECTIVELY TRACKED

4/16/2015

GAO‐15‐168R FEDERAL WORKPLACE PROTECTIONS FOR THE CONTINGENT WORKFORCE 4/20/2015

GAO‐15‐281

IMPACTS OF STATE REDUCTIONS IN MAXIMUM DURATION OF UNEMPLOYMENT

BENEFITS 4/22/2015

GAO‐15‐419

RETIREMENT SECURITY: MOST HOUSEHOLDS APPROACHING REIREMENT HAVE LOW

SAVINGS 5/12/2015

GAO‐15‐427R RESTRICTIONS ON PARTICIPANT TRADES IN 401(K) PLANS 5/14/2015

GAO‐15‐339

INFORMATION MANAGEMENT:  ADDITIONAL ACTIONS ARE NEEDED TO MEET

REQUIREMENTS OF THE MANAGING GOVERNMENT RECORDS DIRECTIVE 5/14/2015

GAO‐15‐604T FEDERAL EMPLOYEES COMPENSATION ACT TESTIMONY 5/20/2015

GAO‐15‐487 DATA ON OCCUPATIONAL AND ENVIRONMENTAL HAZARDS 5/22/2015

GAO‐15‐531

DISABILITY INSURANCE: ACTIONS NEEDED TO HELP PREVENT POTENTIAL

OVERPAYMENTS TO INDIVIDUALS RECEIVING CONCURRENT FEDERAL WORKERS'

COMPENSATION

7/8/2015

* September 2016
GAO Reports Issued related to Department of Labor from 2012 to 2016*

GAO‐15‐518 OFF‐BASE TRANSITION TRAINING FOR VETERANS 7/16/2015

GAO‐15‐516

FEDEERAL LOW‐INCOME PROGRAMS: MUTIPLE PROGRAMS TARGET DIVERSE

POPULATIONS AND NEEDS 7/30/2015

GAO‐15‐663 STUDENT LOAN REPAYMENT AND FORGIVENESS PROGRAMS 8/25/2015

GAO‐15‐578 SELECTION, USE, AND PERFORMANCE OF QUALIFIED DEFAULT INVESTMENT

ALTERNATIVES IN 401(K) PLANS 8/25/2015

GAO‐15‐646

USE OF PAY FOR SUCCESS MECHANISMS TO IMPLEMENT EVIDENCE‐BASED

PROGRAMS 9/9/2015

GAO‐15‐556 OPTIONS TO EXPAND PENSION COVERAGE 9/10/2015

GAO‐15‐788

MANAGING FOR RESULTS: GREATER TRANSPARENCY NEEDED IN PUBLIC REPORTING

ON THE QUALITY OF PERFORMANCE INFORMATION FOR SELECTED AGENCIES'

PRIORITY GOALS

9/10/2015

GAO‐15‐771

ELECTRONIC CIGARETTS:  EFFECT ON FEDERAL EXCISE TAXES COLLECTED ON

TRADITIONAL CIGARETTS IS NOT CURRENTLY EVIDENT 9/14/2015

GAO‐15‐617

INFORMATION TECHNOLOGY REFORM;  BILLIONS OF DOLLARS IN SAVINGS HAVE BEEN

RELIZED, BUT AGENCIES NEED TO COMPLETE REINVESTMENT PLANS 9/15/2015

GAO‐15‐764R

FEDERAL AND STATE AGENCIES' EFFORTS TO REPORT AND SAFEGUARD JOB TRAINING

PERFORMANCE DATA 9/23/2015

GAO‐15‐834T AGENCY REGULATORY GUIDANCE PROCESS TESTIMONY 9/23/2015

GAO‐16‐28R

COMPARISON OF HEALTH BENEFITS FOR RETURNED PEACE CORPS VOLUNTEERS AND

USAID CONTRACTORS 10/30/2015

GAO‐16‐51 VETERANS' ON‐THE‐JOB TRAINING PROGRAM 11/12/2015

GAO‐16‐215T

OUTCOME MEASURES AND MORE OUTREACH WOULD ENHANCE POST‐9/11 GI BILL

ON‐THE‐JOB TRAINING AND APPRENTICESHIP PROGRAMS 11/18/2015

GAO‐16‐127

AIR TRAVEL AND COMMUNICABLE DISEASES:

COMPREHENSIVE FEDERAL PLAN NEEDED FOR U.S. AVIATION SYSTEM'S

PREPAREDNESS

12/15/2015

GAO‐16‐242

RETIREMENT SECURITY:  BETTER INFORMATION ON INCOME REPLACEMENT RATES

NEEDED TO HELP WORKERS PLAN FOR RETIREMENT 3/1/2016

GAO‐16‐28R RETIREMENT REPLACEMENT RATES 3/3/2016

GAO‐16‐323

DATA CENTER CONSOLIDATION: AGENCIES MAKING PROGRESS, BUT PLANNED

SAVINGS GOALS NEED TO BE ESTABLISHED 3/3/2016

GAO‐16‐287

STATE EFFORTS TO REPORT JOB TRAINING PERFORMANCE DATA UNDER THE

WORKFORCE INNOVATION AND OPPORTUNITY ACT 3/7/2016

GAO‐16‐74

ENERGY EMPLOYEES COMPENSATION:  DOL GENERALLY FOLLOWED ITS PROCEDURES

TO PROCESS CLAIMS BUT COULD STRENGTHEN SOME INTERNAL CONTROLS 3/10/2016

GAO‐16‐11 VIOLENCE PREVENTION IN HEALTH CARE SETTINGS 3/17/2016

GAO‐16‐354 THE ROLE OF LONGEVITY DISPARITIES IN PLANNING FOR RETIREMENT 3/25/2016

GAO‐16‐337

WORKPLACE SAFETY AND HEALT: ADDITIONAL DATA NEEDED TO ADDRESS

CONTINUED HAZARDS IN THE MEAT AND POULTRY INDUSTRY 4/25/2016

GAO‐16‐408 DEFINED CONTRIBUTION PLAN ACCOUNT BALANCES 5/5/2016

GAO‐16‐430 CUSTOMER SERVICE ISSUES IN STATE UNEMPLOYMENT INSURANCE PROGRAMS 5/12/2016

GAO‐16‐501

INFORMATION SECURITY:  AGENICES NEED TO IMPORVE CONTROLS OVER SELECTED

HIGH‐IMPACT SYSTEMS 5/18/2016

GAO‐16‐528R

HUMAN TRAFFICKING:

ACTIONS TAKEN TO IMPLEMENT RELATED STATUTORY PROVISIONS 5/26/2016

* September 2016
GAO Reports Issued related to Department of Labor from 2012 to 2016*

GAO‐16‐494 FEDERAL IT DASHBOARD CIO RISK RATINGS 6/2/2016

GAO‐16‐248

FREEDOM OF INFORMATION ACT:  DEPARTMENT OF LABOR CAN IMPROVE

MANAGEMENT OF ITS PROGRAM 6/2/2016

GAO‐16‐510

MANAGING FOR RESULTS:  AGENCIES NEED TO FULLY IDENTIFY AND REPORT MAJOR

MANAGEMENT CHALLENGES AND ACTIONS TO RESOLVE THEM IN THEIR AGENCY

PERFORMANCE PLANS

6/15/2016

GAO‐16‐555

HUMAN TRAFFICKING:  AGENCIES HAVE TAKEN STEPS TO ASSESS PREVALENCE,

ADDRESS VICTIM ISSUES, AND AVOID DUPLICATION 6/28/2016

GAO‐16‐554

FY 2014 INSPECTOR GENERAL REPORTING OF AGENCY COMPLIANCE UNDER THE

IMPORPER PAYMENTS ELIMINATION AND RECOVERY ACT 6/30/2016

GAO‐16‐624

PROGRAM INTEGRITY:  VIEWS ON THE USE OF COMMERICIAL DATA SERVICES TO HELP

IDENTIFY FRAUD AND IMPROPER PAYMENTS 6/30/2016

GAO‐16‐648

FEDERAL REAL PROPERTY:  ACTIONS NEEDED TO ENHANCE INFORMATION ON AND

COORDINATION AMONG FEDERAL ENTITIES WITH LEASING AUTHORITY 7/6/2016

GAO‐16‐622

TAX EXPENDITURES;  OPPORTUNITIES EXIST TO USE BUDGETING AND AGENCY

PERFORMANCE PROCESSES TO INCREASE OVERSIGHT 7/7/2016

GAO‐16‐572

CRITICAL INFRASTRUCTURE PROTECTION:  IMPROVEMENTS NEEDED FOR DHS'S

CHEMICAL FACILITY WHISTLEBLOSER REPORT PROCESS 7/12/2016

GAO‐16‐433 401(K) PLANS: DOL COULD IMPROVE USE OF LIFETIME INCOME OPTIONS 8/9/2016

GAO‐16‐699

ADVANCED TECHNOLOGIES: STRENGTHENED FEDERAL APPROACH NEEDED TO HELP

IDENTIFY AND MITIGATE SUPPLY RISKS FOR CRITICAL RAW MATERIALS 9/7/2016 ‐ 

GAO‐16‐602

DIGITAL SERVICE PROGRMAS:  ASSESSING RESULTS AND COORDINATING WITH CHIEF

INFORMATION OFFICERS CAN IMPROVE DELIVERY OF FEDERAL PROJECTS 9/14/2016

GAO‐16‐718

LONG‐TERM CARE WORKFORCE:

BETTER INFORMATION NEEDED ON NURSING ASSISTANTS, HOME HEALTH AIDES, AND

OTHER DIRECT CARE WORKERS

8/16/2016

GAO‐16‐686

FEDERAL CHIEF INFORMATION SECURITY OFFICERS:  OPPORTUNITIES EXIST TO

IMPROVE ROLES AND ADDRESS CHALLENGES TO AUTHORITY 8/26/2016

GAO‐16‐642

HIGH‐CONTAINMENT LABORATORIES:  IMPROVED OVERSIGHT OF DANGEROUS

PATHOGENS NEEDED TO MITIGATE RISK 8/30/2016

GAO‐16‐797

FEDERAL DISASTER ASSISTANCE: FEDERAL DEPARTMENTS AND AGENCIES OBLIGATED

AT LEAST $277.6  BILLION DURING FISCAL YEARS 2005 THROUGH 2014 9/22/2016

GAO‐16‐750 EQUAL EMPLOYMENT OPPORTUNITY: STRENGTHENING OVERSIGHT COULD IMPROVE

FEDERAL CONTRACTOR NONDISCRIMINATION COMPLIANCE 9/22/2016

GAO‐16‐793

FEDERAL EMPLOYEES' COMPENSATION ACT:

DOD ACCESS TO DOD DATA IS GENERALLY SUFFICIENT, BUT MONITORING TIMELINES

COULD HELP RETURN‐TO‐WORK‐EFFORTS

9/22/2016

GAO‐16‐511

INFORMATION TECHNOLOGY:  AGENCIES NEED TO IMPROVE THEIR APPLICATION  

INVENTORIES TO ACHIEVE ADDITIONAL SAVINGS 9/29/2016

GAO‐16‐859

OFFICE OF PERSONNEL MANAGEMENT:  ACTIONS ARE NEEDED TO HELP ENSURE THE

COMPLETENESS OF POLITICAL CONVERSSION DATA AND ADHERENCE TO POLICY 9/30/2016

GAO‐17‐12

EMERGENCY COMMUNICATIONS:  IMPROVED PROCUREMENT OF LAND MOBILE

RADIOS COULD ENHANCE INTEROPERABILITY AND CUT COSTS 10/5/2016

* September 2016