With current rising unemployment rates and the need for a more skilled workforce, it is important for the Department of Labor's (Labor) Employment and Training Administration (ETA) to invest in sound research that identifies the most effective and efficient ways to train and employ workers for 21st century jobs. While ETA traditionally has played an important role in providing job training, employment assistance, and labor market information for the nation's workers, the current unemployment crisis has made this role more critical. The Bureau of Labor Statistics estimates that jobless rates have increased over the past year in all 50 states and the District of Columbia. In particular, several states have reported unemployment rates well over 10 percent. As ETA's new leadership works to help the nation meet these economic challenges, it must have solid information that is supported by sound research to guide decision-making. Since 2002, GAO and others have criticized ETA for not focusing sufficient attention on its research program, particularly with regard to complying with congressional mandates, conducting policy-relevant research, and disseminating key research findings in a timely way. In this context, we have examined the structure and processes of ETA's research and evaluation center in terms of the elements that leading national research organizations cite as essential to a sound program; that is, research independence, transparency and accountability, and policy relevance. Based on these elements, we addressed the following questions: (1) How does ETA's organizational structure provide for research independence? (2) What steps has ETA taken to promote transparency and accountability in its research program? (3) How does ETA ensure that its research is relevant to workforce development policy and practice?

In summary, we found that ETA's research center lacks independent authority for research, has limitations with regard to transparency and accountability processes, has not routinely involved stakeholders in developing its research agenda, and has been slow to evaluate the programs and activities carried out under the Workforce Investment Act of 1998 (WIA). (1) ETA is currently in the process of revising its organizational structure. Previously, its research and evaluation center, within the Office of Policy Development and Research (OPDR), was several levels removed from the Office of the Assistant Secretary and lacked independent authority for conducting research. Under ETA's revised structure, it is unclear whether OPDR will report directly to the Assistant Secretary or the Deputy Assistant Secretary. Furthermore, unlike the heads of some other research and evaluation centers, the head of ETA's research and evaluation center does not have the authority to set the research agenda, to approve requests for funded projects, or to disseminate research and evaluation reports. (2) While ETA has recently made improvements to its research program, some limitations remain with regard to its accountability processes and timely dissemination of research products. In 2007, ETA documented all stages of its research process from project selection to dissemination. ETA also began coordinating its research process with the Office of Management and Budget (OMB) and renewed its practice of sponsoring biennial research conferences to address a range of policy and program issues. Despite these recent changes, ETA's research processes lack specificity, including specific time frames for key milestones and an established criteria for peer review. In addition, ETA's research program lacks an information system to track its research from completion to dissemination and does not have a mechanism to ensure that research findings are disseminated in a timely manner. In 2008, ETA disseminated 34 research products to the public. However, 20 of these products, which had a combined cost of about $28 million, were delayed for between 2 and 5 years. (3) Labor, consistent with recent efforts of OMB, has taken steps to emphasize the value of research and evaluation, but ETA does not have sufficient mechanisms to ensure that its research can inform policy decisions. OMB currently has efforts underway to help agencies to enhance their research and evaluation programs. Labor also announced plans to create a position of chief evaluation officer and a new evaluation center within the Office of the Assistant Secretary for Policy to foster research relevant to policy. However, ETA has been slow to comply with a congressional mandate to evaluate WIA1 and it also lacks a standard process and advisory bodies to consistently involve stakeholders in the development of its research agenda. Similarly, ETA has no formal process in place to ensure that research findings are used to inform strategic planning and policy.

Status Legend:

Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.

• In Process
• Open
• Closed - implemented
• Closed - not implemented

Recommendations for Executive Action

Recommendation: Concerning the structure and processes of ETA's research and evaluation center, the Secretary of Labor should take steps to ensure that ETA clarifies its organizational structure and OPDR reports directly to ETA's Assistant Secretary.

Agency Affected: Department of Labor

Status: Open

Comments: In an organizational chart from August of 2009, the Education and Training Administration's (ETA) Office of Policy Development and Research (OPDR) reported to a Deputy Assistant Secretary who reported to ETA's Assistant Secretary. This was changed in November 2009 to a structure where OPDR reported directly to the Assistant Secretary. However, as of April 2010, OPDR reported to a Deputy Assistant secretary who reports to ETA's Assistant Secretary. In ETA's most recent organization chart as of August 2011, no action had been taken to change the reporting structure to ensure it reports directly to ETA's Secretary. If this structured were changed or if ETA updated its research process to ensure transparency and accountabiity, GAO would be able to consider this recommendation implemented. However, the agency did not provide an update on this recommendation in FY11.

Recommendation: Concerning the structure and processes of ETA's research and evaluation center, the Secretary of Labor should provide sufficient decision-making authority to ETA's research and evaluation center regarding its research.

Agency Affected: Department of Labor

Status: Open

Comments: In the spring of 2010, the Department of Labor (DOL) established a new Chief Evaluation Officer position within their Office of the Assistant Secretary for Policy. The Chief Evaluation Officer's job is to coordinate department-wide evaluation efforts, however, it is unclear to what extent the Chief Evaluation Officer's position within the department interacts with Education and Training Administration's (ETA) research and evaluation center and to what extent the Chief Evaluation Officer has responsibilities to ETA's research. If ETA incorporates into its research process the routine involvement of the Chief evaluation Officer at key milestones as recommended in our most recent GAO report (GAO-11-285), GAO could consider this recommendation closed. However, the agency did not provide an update on this recommendation in FY11.

Recommendation: Concerning the structure and processes of ETA's research and evaluation center, the Secretary of Labor should direct ETA's research and evaluation center to establish more specific processes, including time frames for dissemination of research.

Agency Affected: Department of Labor

Status: Open

Comments: The Education and Training Administration (ETA) has developed dissemination procedures for reviewing and finalizing reports. In addition, they have added specific timeframes for dissemination to the performance standards for Federal Project Officers who oversee the research. When ETA provides GAO with a copy of those performance standards and/or updates its formal reserch process to reflect more specific time frames, we would be able to consider this recommendation closed. However, the agency did not provide an update on this recommendation in FY11.

Recommendation: Concerning the structure and processes of ETA's research and evaluation center, the Secretary of Labor should create an information system to track research projects.

Agency Affected: Department of Labor

Status: Open

Comments: Education and Training Administration (ETA) is planning to implement a centralized tracking system for its research projects, but the implementation date for this system is still unclear. However, the time frames for implementing this system are still unclear. When this system is implemented, GAO will be able to consider this recommendation implemented. However, the agency did not provide an update on this recommendation in FY11.

Recommendation: Concerning the structure and processes of ETA's research and evaluation center, the Secretary of Labor should instruct ETA's research and evaluation center to develop processes to involve outside experts in setting its research agenda.

Agency Affected: Department of Labor

Status: Open

Comments: In preparing its new research agenda, the Education and Training Administration (ETA) has hosted a series of consultations with external stakeholders and has informally engaged in dialogues with outside research and program experts. When ETA formally incorporates the routine involvement of outside experts in its research process as the agency indicated in its 60-day letter from our most recent review (GAO-11-285), GAO would be able to consider this recommendation implemented. However, the agency did not provide an update on this recommendation in FY11.