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Inspector General Open Recommendations

09/30/2021 - Department of Labor DOL's IT Governance Lacked the Framework Necessary to Support the Overall Mission Report [Report Details] Audit - Open Recommendations

1
We recommend the Deputy Secretary reorganize the CIO position to have a direct reporting relationship to the Deputy Secretary and independent of ASAM.
2
We recommend the Deputy Secretary Ensure the CIO is a lead member with voting rights of DOL’s executive strategy and management boards and committees including but not limited to the MRB, ESS Governance Board, COVID-19 Coordination team, and ERMC.
3
We recommend the Deputy Secretary reassess the incorporation of BLS and OCFO as part of IT Shared Services within 2021, and document the reasoning for the decision reached.
4
We recommend the Deputy Secretary establish an MOU or other agreement between the OCIO and all departmental agencies to establish and state the roles and responsibilities of IT between each set of respective agencies.
5
We recommend the Deputy Secretary codify the policies and procedures that define IT governance and key supporting IT elements.

09/30/2021 - Department of Labor COVID-19: The Pandemic Highlighted the Need to Strengthen Wage and Hour Division's Enforcement Controls [Report Details] Audit - Open Recommendations

1
We recommend the Acting Administrator for the Wage and Hour Division implement a control to perform periodic reviews to determine if staff properly handled potential complaints in accordance with WHD's complaint requirements.
2
We recommend the Acting Administrator for the Wage and Hour Division develop a mechanism to enable the agency to determine how effective conciliations are at getting back wage payments to workers, and address any weaknesses identified in ensuring complainants received owed back wages prior to closing conciliations.
3
We recommend the Acting Administrator for the Wage and Hour Division update its policy for selecting a conclude reason in its database to require staff to use a reason that would allow WHD to determine the outcome of the conciliation.
4
We recommend the Acting Administrator for the Wage and Hour Division assess the effectiveness of remote investigations and incorporate best practices into its operating procedures.
5
We recommend the Acting Administrator for the Wage and Hour Division develop a plan to monitor the results of the agency's updated directed investigation plan as identified in the FY2021 Operating Plan.

09/30/2021 - Department of Labor ETA did not Sufficiently Plan and Execute the American Apprenticeship Initiative Grant Program [Report Details] Audit - Open Recommendations

1
We recommend the Assistant Secretary for Employment and Training Administration improve funding opportunity announcements for discretionary grant programs by: a. Evaluating program goals using the SMART concept or a similar approach, and including required metrics that directly measure the success of each program goal, are clear, and are easily verifiable; b. Having a scoring element covering completeness of applicant proposals for items requested in the announcement that reduces in points when the proposal is missing an element(s), significantly changes the wording of an element(s), or incorrectly addresses an element(s); and c. Identifying targeted occupations in the FOA language and/or scoring elements, or requiring submission of the career pathway to an H-1B occupation as support during apprenticeship program registrations or apprentice registrations
2
We recommend the Assistant Secretary for Employment and Training Administration develop standard operating procedures for discretionary grant programs, which include internal controls resulting in ETA: a. Identifying information needed from grantees for participant level data, quarterly reporting, or program evaluation, prior to submitting the information collection request to OMB; b. Having a complete system and supporting documentation (e.g., user guide, data dictionary, business rules) ready by day one of the grant program with appropriate system controls; c. Obtaining OMB approval numbers for any new information collections prior to collecting information from grantees, verifying the reporting system fields correlate to the approved OMB information collection request, and submitting violations timely to OMB; and d. Conducting compliance reviews prior to awarding grants; using the review results to change applicant scoring or include a condition of award in applicable grants; awarding each grant prior to or on the start of each grantee’s period of performance; and accurately reporting to the public on the grant program.
3
We recommend the Assistant Secretary for Employment and Training Administration delete or oversee the deletion of duplicate apprentice and pre-apprentice records in the AAI reporting system, and populate missing or correct inaccurate Social Security numbers and contact information if the contractor can still use updated information for its AAI grant program evaluation.
4
We recommend the Assistant Secretary for Employment and Training Administration provide training to ETA personnel on the key requirements and expected timeframes in submitting information collection requests to OMB.
5
We recommend the Assistant Secretary for Employment and Training Administration submit ETA’s violation of the Paperwork Reduction Act to OMB in the annual information collection budget for OMB control number 1205-0528.
06
We recommend the Assistant Secretary for Employment and Training Administration develop a process to perform data analysis and other sufficient checks to verify completeness and accuracy of data in ETA systems and achievement of desired outcomes during grant programs.
7
We recommend the Assistant Secretary for Employment and Training Administration establish internal controls to verify participant eligibility, verify submitted ETA Forms 671 (Program Registration and Apprenticeship Agreement) are the current OMB approved version and completed correctly, and encourage use of interim credentials when the form indicates a competency or hybrid model apprenticeship.

09/29/2021 - Department of Veterans Affairs Comprehensive Healthcare Inspection of the West Palm Beach VA Medical Center in Florida [Report Details] Review - Open Recommendations

09/27/2021 - Department of Veterans Affairs Care Concerns and the Impact of COVID-19 on a Patient at the Fayetteville VA Coastal Health Care System in North Carolina [Report Details] Inspection / Evaluation - Open Recommendations

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