Recommendation: The Secretary of Defense should ensure that the Director of the Defense Civilian Personnel Advisory Service reports the results of the assessment of employee perceptions of modifications to term and temporary appointments to the Congress and GAO.

Agency: Department of Defense
Status: Open

Comments: The Department of Defense (DOD) concurred with our recommendation. We will continue to follow-up with DOD on the status of this recommendation.

Recommendation: The Director of the Office of Personnel Management should assist the 24 CFO Act agencies by using OPM FEVS data to analyze the key drivers of retention for veterans in the agencies' workforces to identify strategies for improving veteran retention. OPM should also be available to non-CFO Act agencies that request assistance with the veteran retention analysis.

Agency: Office of Personnel Management
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of Veterans Affairs should incorporate key elements of a performance assessment system, such as establishing performance goals and taking steps to assess outcomes, for the Educational and Vocational Counseling (or Chapter 36), Veterans Integration to Academic Leadership, and VetSuccess on Campus programs. (Recommendation 1)

Agency: Department of Veterans Affairs
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of Education should develop performance goals for the Iraq and Afghanistan Service Grant program. (Recommendation 2)

Agency: Department of Education
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commandant of the Coast Guard should develop formal performance goals and measures for its Spouse Employment Assistance Program. (Recommendation 3)

Agency: Department of Homeland Security: United States Coast Guard
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Acting Commissioner of CBP should better communicate to stakeholders the types of information stakeholders could collect and submit to CBP to help the agency initiate and investigate forced labor cases related to seafood and, as appropriate, other goods. (Recommendation 1)

Agency: Department of Homeland Security: United States Customs and Border Protection
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of OPM should routinely track and report retention data for employees with disabilities and make such data available to federal agencies, including EEOC, through a centralized web portal—such as MAX.gov. For example, OPM could track and report such data by General Schedule level pay groupings, which could help pinpoint root causes that contribute to retention rates, inform assessments of government-wide progress on employee retention, and identify needed improvements. (Recommendation 1)

Agency: Office of Personnel Management
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Attorney General of the United States should develop and implement policies and procedures for assessing the impact of training provided to agency hiring managers and human resources staff on Schedule A hiring authority. This includes assessing the impact of its training on agency performance goals related to increased hiring of individuals with disabilities and targeted disabilities. (Recommendation 2)

Agency: Department of Justice
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Attorney General of the United States should develop and implement policies and procedures for obtaining employee feedback about the agency's reasonable accommodations efforts and use such information to evaluate the ongoing effectiveness of the program. This may include identifying any effects on employee retention, identifying potential risks, and determining any improvements that may be warranted. (Recommendation 3)

Agency: Department of Justice
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Administrator of SBA should develop and implement policies and procedures for assessing and tracking the impact of training provided to agency hiring managers and human resources staff on Schedule A hiring authority. This includes assessing the impact of its training on agency performance goals related to increased hiring of individuals with disabilities and targeted disabilities. (Recommendation 4)

Agency: Small Business Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Administrator of SBA should develop and implement policies and procedures for obtaining employee feedback about the agency's reasonable accommodations efforts and use such information to evaluate the ongoing effectiveness of the program. This may include identifying any effects on employee retention, identifying potential risks, and determining any improvements that may be warranted. (Recommendation 5)

Agency: Small Business Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of SSA should develop and implement policies and procedures for assessing and tracking the impact of training provided to agency hiring managers and human resources staff on Schedule A hiring authority. This includes assessing the impact of its training on agency performance goals related to increased hiring of individuals with disabilities and targeted disabilities. (Recommendation 6)

Agency: Social Security Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Assistant Secretary for Employment and Training should clarify DOL's expectations of the role of state workforce agencies in addressing the employment and training needs of those affected by SUD and how non-targeted WIOA funding can be used to assist job seekers and employers. (Recommendation 1)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation. ETA anticipates providing information and technical assistance to help workforce system grantees understand how they can address the impacts of SUD on the workforce. The agency also plans to issue guidance by the end of 2020 to share promising practices and describe how WIOA funds can be used to support job seekers in recovery and employers.

Recommendation: The Assistant Secretary for Employment and Training should share information from targeted grantees with all state workforce agencies, tribal governments, and outlying areas regarding lessons learned and promising practices in addressing the needs of job seekers affected by SUD and potential employers. (Recommendation 2)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation, noting that ETA has created resources that are available to all states based on its experience administering some of the targeted grants. ETA officials cited the recently published literature review and companion resource guide, and said they also plan to share the evaluation of the Phase 1 grants widely when it is available, including any resources or tools developed by states that were awarded Phase 1 grants. In addition, ETA plans to host at least one webinar to share additional promising practices from the targeted grants that could be useful to local workforce boards around the country.

Recommendation: The Commissioner of Internal Revenue should modify the title of IRS's employment-related identity theft action code 525 to reflect the type of employment-related identity fraud encompassed by this action code. (Recommendation 1)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should assess and document the feasibility of incorporating additional checks into its automated checks of employment-related identity fraud for populations at risk of employment-related identity fraud, such as children, elderly, deceased persons, and individuals associated with multiple wage records. (Recommendation 2)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should assess and document the costs and benefits of using the Withholding Compliance Program (WHC) to address compliance risks posed by potential employment-related identity fraudsters who owe taxes and take appropriate action, as needed. (Recommendation 3)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should modify Automated Underreporter (AUR) to include wage discrepancy checks for victims of employment-related identity fraud once IRS has updated AUR's legacy programming code. (Recommendation 4)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should, in collaboration with the Commissioner of Social Security, develop and document a plan for updating future Combined Annual Wage Reporting (CAWR) MOUs. The plan should identify actions, time frames, and responsible parties, including executive leadership. (Recommendation 5)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should, in collaboration with the Commissioner of Social Security, develop and implement goals and performance measures for the CAWR MOU. (Recommendation 6)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should, in collaboration with the Commissioner of Social Security, develop and document a strategy for assuring that the reviews required by the updated MOU are completed within the specified time frames. (Recommendation 7)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Internal Revenue should, in collaboration with the Commissioner of Social Security, clearly define data elements they exchange with SSA. (Recommendation 8)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Social Security should, in collaboration with the Commissioner of Internal Revenue, develop and document a plan for updating future CAWR MOUs. The plan should identify actions, time frames, and responsible parties, including executive leadership. (Recommendation 9)

Agency: Social Security Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Social Security should, in collaboration with the Commissioner of Internal Revenue, develop and implement goals and performance measures for the CAWR MOU. (Recommendation 10)

Agency: Social Security Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Social Security should, in collaboration with the Commissioner of Internal Revenue, develop and document a strategy for assuring that the reviews required by the updated MOU are completed within the specified time frames. (Recommendation 11)

Agency: Social Security Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commissioner of Social Security should, in collaboration with the Commissioner of Internal Revenue, clearly define the data elements they exchange with IRS. (Recommendation 12)

Agency: Social Security Administration
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should include detailed information on the methodology used to identify centers for proposed closure in its notices for public comment.

Agency: Department of Labor: Office of the Secretary
Status: Open

Comments: The agency concurred with the purpose and intent of this recommendation, stating that the level of information it included in notices for public comment concerning such matters complied with WIOA requirements and provided a meaningful opportunity for public comment: it did not indicate that it would provide more detailed information in the future. While we acknowledge that DOL is not required to publish its methodology in public notices, we believe that including such information can provide greater transparency in assisting the public and the Congress in understanding the agency's decision-making used to select centers for closure. DOL included detailed information on the methodology used to identify centers for proposed closure in its 2014 and 2016 public notices. As such, we believe ETA should take action to implement this recommendation in the event that the agency proposes Job Corps centers for closure in the future.

Recommendation: The Director of United States Citizenship and Immigration Services should work with the Assistant Secretary for the Employment and Training Administration to assess options for changing the H-2B visa program and, as warranted, implement changes or submit proposed legislative changes to Congress. DHS and DOL could consider options included in their June 2019 report to Congress and identify those that may be implemented cost effectively and without adversely affecting U.S. workers. (Recommendation 1)

Agency: Department of Homeland Security: United States Citizenship and Immigration Services
Status: Open

Comments: DHS agreed with this recommendation and noted that it plans to work further with DOL to explore options for improving the H-2B visa program and possibly develop proposals for legislative changes.

Recommendation: The Assistant Secretary for the Employment and Training Administration should work with the Director of United States Citizenship and Immigration Services to assess options for changing the H-2B visa program and, as warranted, implement changes or submit proposed legislative changes to Congress. DOL and DHS could consider options included in their June 2019 report to Congress and identify those that may be implemented cost effectively and without adversely affecting U.S. workers. (Recommendation 2)

Agency: Department of Labor: Employment and Training Administration
Status: Open

Comments: DOL agreed with this recommendation. DOL said it is prepared to work with DHS to consider options for changing the H-2B program and to provide any technical assistance that Congress may need on this issue. We will monitor the agency's progress to implement this recommendation.

Recommendation: The Director of United States Citizenship and Immigration Services should work with the Assistant Secretary for the Employment and Training Administration to assess the advantages and disadvantages of considering current economic trends in determining the appropriate number of additional H-2B visas to provide when given this authority by Congress and, as warranted, implement an approach that considers such trends. (Recommendation 3)

Agency: Department of Homeland Security: United States Citizenship and Immigration Services
Status: Open

Comments: DHS did not agree with this recommendation. DHS said it would continue to work with DOL-as it has done in prior years--if and when Congress delegates the authority to make additional H-2B visas available beyond the statutory cap to DHS. The agency also expressed its view that Congress is better positioned to determine whether and how many additional visas should be made available to meet the needs of U.S. businesses. In fiscal years 2017 through 2020, DHS was authorized to increase the number of H-2B visas beyond the statutory cap, after consulting with DOL to determine that "the needs of American businesses [could not] be satisfied...with United States workers..." In exercising this authority in prior years, DHS stated that "[t]he scope of the assessment called for by the statute [in making this determination] is quite broad, and accordingly delegates the Secretary of Homeland Security broad discretion to identify the business needs [s]he finds most relevant." In light of DHS's broad view of its authority, we continue to believe that it would be appropriate for DHS, in consultation with DOL, to assess the advantages and disadvantages of considering current economic trends in determining the appropriate number of additional H-2B visas to provide. If they determine that using such data would be warranted, the agencies would then be well positioned to implement such an approach if DHS is granted such authority in the future. Moreover, if-as DHS stated in its response to our recommendation-the agency believes that Congress is best suited to determine what increases in visa numbers may be needed to meet the needs of U.S. businesses, consistent with protecting American workers, it may wish to work with Congress to draft a legislative proposal reflecting this view.

Recommendation: The Assistant Secretary for the Employment and Training Administration should work with the Director of United States Citizenship and Immigration Services to assess the advantages and disadvantages of considering current economic trends in determining the appropriate number of additional H-2B visas to provide when given this authority by Congress and, as warranted, implement an approach that considers such trends. (Recommendation 4)

Agency: Department of Labor: Employment and Training Administration
Status: Open

Comments: DOL agreed with this recommendation. The agency plans to draw on its data on labor market and economic trends to provide technical assistance to DHS on the determination of how many additional H-2B visas to make available.

Recommendation: The Assistant Secretary for the Employment and Training Administration should take steps to target its audits of H-2B employers to employers with the highest likelihood of violating program requirements; such steps could include moving ahead with developing a system for identifying trends in H-2B employer audit outcomes. (Recommendation 5)

Agency: Department of Labor: Employment and Training Administration
Status: Open

Comments: DOL agreed with this recommendation. DOL noted that while further development of a system for tracking industry and occupational trends in H-2B employer violations is currently on hold due to budgetary constraints, when this system is available it will provide the capacity to take a risk-based approach to selecting employers for audits. We will monitor the agency's progress to implement this recommendation.

Recommendation: The Director of the Office of Workers' Compensation Programs should develop and implement procedures for coal mine operator self-insurance renewal that clarifies how long an operator is authorized to self-insure; when an operator must submit its renewal application and supporting documentation; and the conditions under which an operator's self-insurance authority would not be renewed. (Recommendation 1)

Agency: Department of Labor: Office of Workers' Compensation Programs
Status: Open

Comments: DOL agreed with this recommendation and said it is acting to implement it to achieve further improvements in ensuring the effective oversight of coal mine operator insurance. DOL reported that it would ensure letters granting or renewing self-insurance authority will inform operators that their authorization expires in one year and that they must submit renewal information three months in advance of the expiration date.

Recommendation: The Director of the Office of Workers' Compensation Programs should develop and implement procedures for self-insured coal mine operator appeals that identify time lines for self-insured operators to submit documentation supporting their appeals and that identify a goal for how much time DOL should take to make appeals decisions. (Recommendation 2)

Agency: Department of Labor: Office of Workers' Compensation Programs
Status: Open

Comments: DOL agreed with this recommendation and said it is acting to implement it to achieve further improvements in ensuring the effective oversight of coal mine operator insurance. DOL reported that it will ensure letters denying self-insurance will inform operators that they have a 30-day appeal period (limited to one extension) and that DOL has set a goal of resolving all appeals within 90 days of the denial letter.

Recommendation: The Director of the Office of Workers' Compensation Programs should develop and implement a process to monitor operator compliance with commercial insurance requirements and periodically evaluate the effectiveness of this process. This process should be designed to detect errors and omissions in reporting insurance coverage using complete, accurate, and consistently recorded data. (Recommendation 3)

Agency: Department of Labor: Office of Workers' Compensation Programs
Status: Open

Comments: DOL agreed with this recommendation and said it is acting to implement it to achieve further improvements in ensuring the effective oversight of coal mine operator insurance. DOL reported that it will modify existing computer systems to identify lapses or cancellations of commercial insurance coverage, and require operators identified as having lapsed or cancelled coverage to obtain or provide proof of coverage within 30 days.

Recommendation: The Chairman of the NMB should document NMB's authorizations for its use of cloud services approved through FedRAMP and submit the authorizations to the FedRAMP Program Management Office. (Recommendation 1)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation and said it would take action to address it, completing these actions by the end of fiscal year 2020.

Recommendation: The Chairman of the NMB should update NMB's security policies and procedures to include FedRAMP's authorization requirements. (Recommendation 2)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation and said it would take action to address it, completing these actions by the end of fiscal year 2020.

Recommendation: The Chairman of the NMB should develop a written plan to document NMB's process for reviewing and monitoring the agency's annual appropriation to ensure that funds are used effectively. (Recommendation 3)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation. Agency officials said they would take action to address it, but did not provide a time frame for completion.

Recommendation: The Chairman of the NMB should establish a process for the Board to effectively monitor and evaluate NMB's adherence to audit protocols and implementation of actions to address audit recommendations. (Recommendation 4)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation. Agency officials said they would take action to address it, but did not provide a time frame for completion.

Recommendation: The Executive Director should ensure the development and implementation of policies and procedures for incorporating key cybersecurity activities into IT project planning, including scheduling, requirements management, and risk management. (Recommendation 1)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: In January 2020, OCWR noted that it was in the process of revising its IT systems project planning to ensure the development and implementation of policies and procedure incorporating key cybersecurity activities. The agency also stated that it plans to hire an IT Security Project Manager in order to acquire the necessary cybersecurity expertise needed to implement this recommendation and to ensure that sufficient time and resources can be dedicated to the development and implementation of these policies and procedures. We will continue to monitor OCWR's progress in addressing this recommendation.

Recommendation: The Executive Director should ensure the development and implementation of oversight procedures for each externally-operated system that include (1) establishing security and privacy requirements, (2) planning the assessment of security controls, (3) conducting the assessment, and, (4) reviewing the assessment. (Recommendation 2)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: In January 2020, OCWR noted that it was beginning to plan for developing and implementing oversight procedures for each externally-operated system. We will continue to monitor OCWR's progress in addressing this recommendation.

Recommendation: The Executive Director should ensure the establishment of roles and responsibilities for a risk executive function. (Recommendation 3)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: In January 2020, OCWR noted that it had expanded the office's IT Director's role to formally include the functions of an IT Risk Executive and was in the process of establishing the roles and responsibilities. We will continue to monitor OCWR's progress in addressing this recommendation.

Recommendation: The Executive Director should ensure the development and implementation of a cybersecurity risk management strategy. (Recommendation 4)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: In January 2020, OCWR noted that it was beginning to plan for developing and implementing a cybersecurity risk management strategy. We will continue to monitor OCWR's progress in addressing this recommendation.

Recommendation: The Executive Director should ensure commitment to a time frame for developing and implementing policies and procedures for managing cybersecurity risk. (Recommendation 5)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: In January 2020, OCWR noted that, once the position of IT Security Project Manager is filled and the IT Risk Executive functions are formalized, the agency is planning to commit to a time frame for developing and implementing policies and procedures for managing cybersecurity risk. We will continue to monitor OCWR's progress in addressing this recommendation

Recommendation: The Executive Director of OCWR, in collaboration with relevant managers, should establish a policy that requires a schedule of tasks to be developed, documented, and updated throughout the lifetime of IT system projects. (Recommendation 1)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: The agency agreed with the recommendation. OCWR officials stated that they will be implementing a policy to ensure that project planning steps, including a schedule of tasks, will be included and documented for future IT projects.

Recommendation: The Executive Director of OCWR should identify and assess risks in establishing and maintaining a permanent records retention program, and develop policies and procedures to ensure that risks are properly addressed. (Recommendation 2)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: The agency agreed with the recommendation. OCWR officials stated that they have hired a contractor to assist with various risk management activities related to OCWR's permanent records retention program, including identifying and assessing risks and developing policies and procedures to address any risks.

Recommendation: The Executive Director of OCWR should identify desired performance results, develop performance measures that demonstrate the degree to which the desired results were achieved, and report progress toward those results in OCWR's annual reports. (Recommendation 3)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: The agency agreed with the recommendation. OCWR officials stated that they are reassessing desired performance results, developing new performance measures to monitor progress towards those results, and will clearly report OCWR's progress in future annual reports.

Recommendation: The Executive Director of OCWR should collect relevant data through a survey or other mechanisms, and use the information to evaluate the effectiveness of education and outreach efforts and the extent to which they are reaching all covered legislative branch populations. (Recommendation 4)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: The agency agreed with the recommendation. According to OCWR officials, they are working with congressional oversight committees and covered legislative branch offices to obtain data through surveys or other methods that will enable them to evaluate the effectiveness and coverage of OCWR's education and outreach efforts.

Recommendation: The Executive Director of OCWR should integrate IT planning and implementation into the agency's strategic planning process. (Recommendation 5)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: The agency agreed with the recommendation. OCWR officials stated that they intend to revise the agency's strategic plan, including integrating IT planning and implementation into the strategic planning process, after they gain more experience with the new procedures required by the Congressional Accountability Act (CAA) Reform Act of 2018.

Recommendation: The Executive Director of OCWR should incorporate key strategic human capital management practices, such as developing strategies to recruit and retain staff with mission-critical skills, into the strategic planning process. (Recommendation 6)

Agency: Office of Congressional Workplace Rights
Status: Open

Comments: The agency agreed with the recommendation. OCWR officials reported that they hired a contractor to better incorporate key management practices, such as developing strategies for recruiting and retaining staff with mission-critical skills, into OCWR's human capital plan and strategic planning process.

Recommendation: The Chair of the Securities and Exchange Commission should direct the Chief Operating Officer to develop and implement safeguards to better ensure transparency and fairness in SEC's new performance incentive bonus program. Such safeguards could include multiple levels of review of performance ratings and pay decisions and publishing aggregate data on the results of the performance cycle that allow employees to compare results across various groups within the agency while protecting the confidentiality of individual ratings and pay decisions. (Recommendation 1)

Agency: United States Securities and Exchange Commission
Status: Open
Priority recommendation

Comments: SEC stated that it concurred with, and plans to implement, our recommendation. In August 2020, SEC officials stated that they were continuing to design the performance incentive bonus program's framework and in the process of acquiring consultative services to assist in validating that its design, communication strategy, and operating practices reflect leading practice and support achieving desired outcomes. We will continue to monitor SEC's progress in ensuring transparency and fairness in its performance incentive bonus program.

Recommendation: The Administrator of CMS should expand its review of states' implementation of the provider screening and enrollment requirements to include states that have not made use of CMS's optional consultations. Similar to CMS's contractor site visits, such reviews should include any necessary steps to address areas of noncompliance for all types of enrolled providers, including those under contract with managed care organizations. (Recommendation 1)

Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
Status: Open
Priority recommendation

Comments: CMS concurred with our recommendation. In February 2020, CMS told us that it plans to reach out to states that have not yet participated in its optional consultations to discuss their progress towards implementing provider screening and enrollment requirements, and outline steps that the states should take to come into full compliance with them. In order to fully address this recommendation CMS would need to review all states' implementation of the provider screening and enrollment requirements, including states that have not made use of CMS's optional consultations. As such, this recommendation remains open until CMS provides evidence that it has assessed the compliance of all states; we will continue to monitor CMS's progress.

Recommendation: The Administrator of CMS should annually monitor progress toward addressing any areas of noncompliance related to the provider screening and enrollment requirements for any state with one or more corrective action plans. (Recommendation 2)

Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
Status: Open

Comments: As of February 2020, HHS officials have not informed us of any actions taken to implement this recommendation. We will update the status of this recommendation when we receive additional information

Recommendation: The Assistant Secretary of ETA should develop, document, and implement a comprehensive strategy that (1) accounts for Job Corps' projected workload requirements and (2) considers its acquisition workforce needs—including the number of staff, skills, and other supports necessary to plan, award, and monitor Job Corps center contracts—to enable it to effectively plan for and competitively award future Job Corps center contracts. (Recommendation 1)

Agency: Department of Labor: Employment and Training Administration
Status: Open

Comments: DOL stated that it will develop, document, and implement a comprehensive strategy that accounts for Job Corps' projected workload requirements and considers its acquisition workforce needs. DOL noted that it has released a new procurement plan which reflects its decision to re-procure 28 Job Corps centers prior to the final option year of their contract. DOL said that this action would result in each region having no more than five procurements each year, which it considers a manageable procurement workload for its current staffing level. We will consider closing the recommendation when such a comprehensive strategy is implemented.

Recommendation: The Secretary of DOL should develop and publish a multi-year strategic research plan for evaluation of its employment and training programs that includes assessing the completeness and results of efforts to coordinate among E&T programs to address overlap and fragmentation. In developing this plan, DOL should also consult with other federal agencies and key stakeholders on ways to address gaps in information on how multiple programs are serving the employment and training needs of specific populations, such as Native Americans, youth, and refugees. (Recommendation 1)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation. The agency noted that it actively plans and makes public the research and evaluation topics for these evaluations, but it did not identify a timeline or measures it would take to augment these basic steps. DOL also stated that it will consult with stakeholders regarding the employment and training needs of specific populations. We will consider closing this recommendation when DOL completes these efforts.

Recommendation: The Secretary of Labor should direct the Bureau of Labor Statistics (BLS) and the Employment and Training Administration (ETA) to develop ways to use existing or new data collection efforts to identify and systematically track the workforce effects of advanced technologies. For example, the Secretary could select any of the following possibilities, or could identify others.
• BLS could expand existing worker or firm surveys to ask respondents whether advanced technologies have resulted in worker displacements, work hour reductions, or substantial adjustments to work tasks.
• BLS could expand its employment projections work to regularly identify occupations projected to change over time due to advanced technologies.
• ETA could expand the O*NET data system to identify changes to skills, tasks, and tools associated with occupations, as the information is updated on its rotational basis, and consider how this could be used to track the spread of advanced technologies.
(Recommendation 1)

Agency: Department of Labor
Status: Open
Priority recommendation

Comments: DOL agreed with this recommendation. DOL stated that it will continue coordinating with the Census Bureau on research activities in this area, and plans to identify and recommend data collection options to fill gaps in existing information about how the workplace is affected by new technologies, automation, and AI. In February 2020, DOL's Bureau of Labor Statistics (BLS) issued a public report evaluating data gaps and providing recommendations for data collection options. In June 2020, DOL reported that BLS plans to host a seminar to discuss the report findings and potential pilot data collection options. DOL also plans to release its first annual employment projections data in September 2020 (previously released every 2 years). In addition, DOL reported that the Employment and Training Administration has undertaken three research efforts, which are still underway, to test ways to analyze O*NET data elements for their potential to track changes in occupations over time and to flag areas for further study on the workforce effects of automation. This recommendation will be implemented when DOL completes more of its activities.

Recommendation: The Assistant Secretary of Labor for Occupational Safety and Health should explore the feasibility of requiring a corporate identification number in its inspection database and enabling its website to be searched by that number. This should include exploring the following issues: (1) which corporate identification number would be most appropriate to require; (2) options for obtaining this number from employers; and (3) options for entering this number in its database that would prevent or minimize delays in closing inspection records. (Recommendation 1)

Agency: Department of Labor: Occupational Safety and Health Administration
Status: Open

Comments: OSHA did not state whether it agreed with this recommendation. The agency acknowledged the potential utility of obtaining a unique identifier from each employer and said it will continue to promote the collection of Employer Identification Numbers (EIN) or Tax Identification Numbers (TIN) whenever possible by issuing a revised memorandum to field staff to reinforce the importance of collecting this information. OSHA stated that it does not view EINs as confidential or protected from disclosure. However, it expressed concerns about protecting TINs and Social Security Numbers from disclosure, and noted that it would not be able to make a data field available for public search if it contained either of these numbers. OSHA also raised concerns about the financial cost associated with redesigning the agency's data system. We encourage OSHA to explore options for addressing these concerns as it further considers how to implement this recommendation.

Recommendation: The Secretary of Defense should provide information to contracting officials to advise them that the OSHA website is a resource for information about contractors' workplace safety and health records. (Recommendation 2)

Agency: Department of Defense
Status: Open

Comments: DOD agreed with this recommendation and identified implementation timelines. We will monitor the agency's progress.

Recommendation: The Secretary of Defense should explore the feasibility of requiring a safety performance rating for contracts in industries that have relatively high rates of occupational injuries, such as manufacturing, construction, and ship building and repairing. (Recommendation 3)

Agency: Department of Defense
Status: Open

Comments: DOD agreed with this recommendation and identified implementation timelines. We will monitor the agency's progress.

Recommendation: The Secretary of Labor, in conducting any assessment of its staff training designed to improve clarity of communication with claimants, should ensure that the assessment considers claimants' challenges with understanding DOL's written communications on the evidence needed to successfully reopen or otherwise support a claim.

Agency: Department of Labor
Status: Open

Comments: DOL neither agreed nor disagreed with this recommendation. However, DOL acknowledged that it plans to focus its staff training efforts on a variety of needed training topics, including improving the quality of written communications. DOL further noted that its recently hired training analyst will be responsible for, among other things, designing assessment measures to gauge the quality of training and the effect it has improving the overall quality of claim outcomes. We encourage DOL to continue designing its assessment so that it considers claimants' challenges in understanding the evidence needed. As of July 2019, DOL said it will soon contract with a training vendor to help update training materials and expects training to be rolled out in fiscal year 2020. In addition, DOL said it has conducted hands-on staff training that includes providing claimants with a clear understanding as to why a claim is accepted or denied. We will consider closing this recommendation pending implementation of the updated training and efforts to assess it.

Recommendation: The Acting Commissioner of the Bureau of Labor Statistics should, upon completion of the pilot Household Survey of Occupational Injuries and Illnesses, evaluate the feasibility of measuring injuries and illnesses to certain worker populations--specifically, children aged 17 and under, child household workers, and those employed on farms with 10 or fewer workers--in any final survey scope, or determine a way to gather information on these populations. (Recommendation 1)

Agency: Department of Labor
Status: Open

Comments: BLS noted that it had completed the pilot Household Survey of Occupational Injuries and Illnesses (HSOII) in December of 2018 and stated that BLS will be analyzing the quality of the data in the second and third quarters of 2019 and publishing a report at the end of 2019. To evaluate the feasibility of measuring injuries and illnesses to workers under 18, BLS stated it will conduct a literature review on questionnaire design for respondents under age 18, and reviewing the evidence on the quality of data collected through proxy reporting, e.g. adults reporting on injuries/illnesses for their children. The agency also reported that it will issue an assessment of the suitability of the existing HSOII instrument to gather data on working children at the end of fiscal year 2019. We will consider closing this recommendation after receipt and review of this final assessment report.

Recommendation: The Administrator of the Wage and Hour Division should establish specific metrics and associated targets for child labor-related outreach in agriculture. (Recommendation 2)

Agency: Department of Labor
Status: Open

Comments: The agency agreed with this recommendation. The agency noted that it has existing performance measures that separately track the number of employer outreach events and the number of events involving child labor. The agency stated that, in response to GAO's recommendation, it will introduce a new measure in FY2020 that is specific to child labor-related outreach in the agricultural industry. The agency said that for the remainder of FY2019, the agency will develop the new measure, establish a baseline, and set an appropriate target for child labor-related outreach in the agricultural industry. The agency also said staff would be trained on the new measure in early 2020. We will close this recommendation once the agency institutes this new metric.

Recommendation: The Administrator of the Wage and Hour Division should develop performance metrics or other measures specific to its child labor enforcement approach, such as whether WHD investigations are conducted at establishments where children are likely to be working. (Recommendation 3)

Agency: Department of Labor
Status: Open

Comments: WHD agreed that it could develop either an internal performance metric or new planning guidance and reporting requirements to ensure that WHD's child labor enforcement efforts focus on industries, establishments, and time periods in which children are likely to be working or injured. Although planning guidance and reporting requirements can encourage field office staff to focus more on child labor, we believe it is important to include a measurement of WHD's overall child labor enforcement approach as part of any new planning guidance and reporting requirements. We will consider closing this recommendation when WHD develops such performance metrics.

Recommendation: The Administrator of the Wage and Hour Division and the Assistant Secretary of the Occupational Safety and Health Administration should update and routinely monitor the 1990 WHD and Occupational Safety and Health Administration memorandum of understanding and establish documented procedures for monitoring the exchange of and actions taken on referrals. (Recommendation 4)

Agency: Department of Labor
Status: Open

Comments: To implement this recommendation, WHD and OSHA have agreed to establish a working group by the second quarter of FY2019, which will aim to maximize efficient information sharing between the two agencies. Specifically, this working group will update the existing WHD-OSHA Memorandum of Understanding, assess the results of referrals between WHD and OSHA, and make recommendations regarding the need for data collection and review. We will close this recommendation when these efforts are complete and supporting documentation has been provided.

Recommendation: The Secretary of Education should establish timeframes for providing states with additional information on allowable expenditures of funds reserved for pre-employment transition services. (Recommendation 1)

Agency: Department of Education
Status: Open

Comments: Education agreed with this recommendation and stated that it would establish projected timeframes for providing states with additional information on allowable expenditures for the provision of preemployment transition services. Education also stated that it intends to provide states with additional information in at least two forums before the end of calendar year 2018 and to review and analyze previous guidance provided to states on allowable expenditures.

Recommendation: The Secretary of Education should take additional steps to provide states assistance on updating and finalizing their interagency agreements with state educational agencies to include pre-employment transition services. These steps could include, for example, accelerating their efforts to discuss the benefits of finalizing interagency agreements, and reminding states of existing technical assistance resources pertaining to updating and finalizing interagency agreements. (Recommendation 2)

Agency: Department of Education
Status: Open

Comments: Education disagreed with this recommendation, in large part, because there is no statutory provision authorizing the agency to identify such states. Nevertheless, Education stated that it is taking some steps as part of its ongoing monitoring of the VR program to provide assistance to states that have not updated their interagency agreements. This is consistent with the intention of our recommendation but we believe more could be done. The agency also noted that it would continue to offer and provide technical assistance if it becomes known through the onsite monitoring of the VR program or through other means that states have not updated their interagency agreements between VR agencies and state educational agencies. In addition, its Rehabilitation Services Administration (RSA) and Office of Special Education Programs will provide information related to sources of technical assistance, as appropriate, to VR agencies and state educational agencies. While these steps may be helpful, given the number of states that have not updated and finalized their agreements and the length of time Education officials say they will take to complete this round of monitoring where Education asks state VR agencies about these agreements, additional action by Education may be needed to help states more efficiently and effectively coordinate services to students with disabilities.

Recommendation: The Secretary of Education should develop a written plan with specific timeframes and activities for identifying and disseminating best practices that address, as appropriate, implementation challenges for pre-employment transition services, such as those identified in this report. (Recommendation 3)

Agency: Department of Education
Status: Open

Comments: Education disagreed with this recommendation believing it is premature to develop a timeline for the dissemination of best practices. The agency stated that the identification of "best" practices, meaning those that are clearly supported by a body of evidence derived from valid and reliable research findings, is still emerging as states implement the requirements. Education stated that as RSA identifies best practices through its monitoring and technical assistance activities, it will, in collaboration with its Office of Special Education Programs, consider when and how best to disseminate this information to state VR and educational agencies. With regard to including specific timeframes and activities in a written plan, by detailing the specific steps Education is taking and plans to take along with the amount of time it expects them to take, Education would be better positioned to complete those steps in a timely manner and meet the statutory requirement that Education highlight best state practices and support state agencies.

Recommendation: The Commissioner of Education's Rehabilitation Services Administration should work with state VR agencies to determine whether and what additional information and assistance VR agencies may find helpful regarding on-demand training, such as online videos, to employers on disability issues. (Recommendation 1)

Agency: Department of Education
Status: Open

Comments: Education disagreed with this recommendation, noting that state VR agencies have the primary responsibility for determining how best to meet employers' needs, promote mainstream employment, and collaborate with other workforce programs in their states. Education recognized the importance of providing information and technical assistance to state VR agencies to help them serve employers, while stressing that it is a state matter how to best meet the training needs of employers. The agency did not provide an update in FY19.

Recommendation: The Commissioner of Education's Rehabilitation Services Administration should work with state VR agencies to determine how to most effectively disseminate information about the circumstances in which individuals who are employed may be eligible for career advancement services. (Recommendation 2)

Agency: Department of Education
Status: Open

Comments: Education disagreed with this recommendation, noting that state VR agencies have the primary responsibility for determining how best to meet employers' needs, promote mainstream employment, and collaborate with other workforce programs in their states. The agency recognized the importance of expanding career advancement opportunities for individuals with disabilities in accordance with the Rehabilitation Act as amended by WIOA. At the same time, Education said it is up to states to determine how to most effectively disseminate information about their services. Education noted it will continue to work with state VR agencies to determine what additional information may be necessary about the circumstances in which individuals who are employed may be eligible for career advancement services. The agency did not provide an update in FY19.

Recommendation: The Commissioner of Education's Rehabilitation Services Administration should work with state VR agencies to develop more complete information on when and how VR agencies should assess employment settings, including settings supported by the AbilityOne program, to determine if they meet the definition of competitive integrated employment. (Recommendation 3)

Agency: Department of Education
Status: Open

Comments: Education disagreed with this recommendation. The agency stated that it is a state matter to determine whether an employment location qualifies as an "integrated setting" for the purpose of the VR program, and that it is not Education's role to inform states as to when and how to make such determinations. Nevertheless, Education said it will continue to work with the states to determine if additional information would help them assess employment locations. The agency did not provide an update in FY19.

Recommendation: The Commissioner of Education's Rehabilitation Services Administration should encourage local areas to clarify and document the roles and responsibilities of partner agencies in working with employers and provide sample language of how local areas may document roles and responsibilities in their MOUs. (Recommendation 4)

Agency: Department of Education
Status: Open

Comments: Education neither agreed nor disagreed with this recommendation. Education said it believes that state workforce development agencies are in the best position to lead employer engagement efforts, but will continue to collaborate with other federal partners to provide technical assistance to states in this area, including examples of state- and local-level collaboration on employer engagement. The agency did not provide an update in FY19.

Recommendation: The Commissioner of Education's Rehabilitation Services Administration should, in setting the employer performance measurement approaches with DOL after the pilot is concluded, take into account VR agencies' concerns and key attributes of successful performance measures, including clarity in what is meant by employer services, coverage of the VR agencies' core program activities, and consideration of factors outside of VR agencies' control. (Recommendation 5)

Agency: Department of Education
Status: Open

Comments: Education neither agreed nor disagreed with this recommendation. Education said it will work with DOL to ensure that state VR agencies' concerns are considered when the performance measure for effectiveness in serving employers is finalized. The agency did not provide an update in FY19.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should encourage local areas to clarify and document the roles and responsibilities of partner agencies in working with employers and provide sample language of how local areas may document roles and responsibilities in their MOUs. (Recommendation 6)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation, noting that local workforce boards and one-stop partners are in the best position to lead employer engagement, but that it will collaborate with federal partners in providing related technical assistance. In June 2019, DOL shared with GAO a local workforce area memorandum of understanding (MOU) that documents the workforce system partners' roles and responsibilities for engaging with employers. DOL has posted this MOU on its technical assistance web site, so it is available to other local workforce areas. However, in order to close the recommendation as implemented, GAO will need DOL to demonstrate that the agency has actively encouraged local workforce areas to document the roles and responsibilities of workforce partners--including the vocational rehabilitation program--for working with employers, through a Training and Employment Guidance Letter or other such guidance.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should, in setting the employer performance measurement approaches with Education after the pilot is concluded, take into account VR agencies' concerns and key attributes of successful performance measures, including clarity in what is meant by employer services, coverage of the VR agencies' core program activities, and consideration of factors outside of VR agencies' control. (Recommendation 7)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation and said it will coordinate with Education to ensure state VR agencies' concerns are considered in defining the performance measure. In June 2019, DOL told us the two agencies expected to complete their evaluation of the pilot performance measures for effectiveness in serving employers by June 30, 2020, and then make a final decision about which measures to put in place. DOL also said the two federal agencies are working to consider VR agencies' concerns during this pilot, and have developed a crosswalk to identify appropriate VR services that count towards this measure. For GAO to close this recommendation as implemented, DOL will have to demonstrate that the finalized performance measures have taken into account VR agencies' concerns, including clarity in what is meant by employer services, coverage of the VR agencies' core program activities, and consideration of factors outside of VR agencies' control.

Recommendation: The Secretary of Labor should systematically collect sufficient information on state profiling systems, possibly through DOL's new UI state self-assessment process, to identify states at risk of poor profiling system performance. For instance, DOL could collect information on challenges states have experienced using and maintaining their profiling systems, planned changes to the systems, or state processes for assessing the systems' performance. (Recommendation 1)

Agency: Department of Labor
Status: Open

Comments: The Department of Labor agreed with this recommendation and said it would take action to address it. In June 2020, DOL reported that agency staff and a contractor had made significant progress in implementing plans to revise the self-assessment tool. First, staff and the contractor gathered feedback and recommendations for improvements to the tool through focus group sessions with states in each region. DOL also reported that the contractor has been developing revised questions for inclusion in the updated self-assessment tool. While agency work on the project was temporarily halted due to the agency's focus on issuing guidance and providing technical assistance to states concerning various new UI programs of the Coronavirus Aid, Relief, and Economic Security (CARES) Act (Pub. L. 116-136), officials said the contract has been extended to November 2020, and staff plan to resume work on the project soon. GAO will monitor the agency's progress and update the status of this recommendation, as appropriate.

Recommendation: The Secretary of Labor should develop a process to use information on state risks of poor profiling system performance to provide technical assistance to states that need to improve their systems. DOL may also wish to tailor its technical assistance based on state service delivery goals and technical capacity. (Recommendation 2)

Agency: Department of Labor
Status: Open

Comments: The Department of Labor agreed with this recommendation and said it would take action to address it. In June 2020, DOL said that it was committed to using the information collected by the new self-assessment tool to develop standard operating procedures for capturing and maintaining the profiling assessment tracking information. These activities are dependent on the revisions to the self-assessment tool discussed in DOL's update for recommendation 1. We will monitor the agency's progress and update this recommendation as appropriate.

Recommendation: The Secretary of Labor should update agency guidance to ensure that it clearly informs states about the range of allowable profiling approaches. (Recommendation 3)

Agency: Department of Labor
Status: Open

Comments: The Department of Labor agreed with this recommendation and committed to publishing an Unemployment Insurance Program Letter (UIPL) regarding the implementation and maintenance of acceptable state profiling systems. In June 2020, DOL reported that efforts to develop the UIPL had been delayed, due in part to the intersection of the Worker Profiling and Reemployment Services (WPRS) program and the now permanent Reemployment Services and Eligibility Assessments (RESEA) program. Agency officials said they remain committed to publishing the UIPL and noted that they were developing an analysis of statistical modeling approaches that states can consider using and providing a framework for a simplified and low-cost approach to testing these different modeling techniques using their own state data. While agency officials said they were not able to devote the needed time to completing the UIPL due to the impact of the COVID-19 pandemic on the UI program, officials said their goal was to publish the UIPL by the end of 2020. We will monitor the agency's progress in implementing this recommendation, and update its status, as appropriate.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should provide states with information about its determination that the use of state formal warning policies is no longer permissible under federal law. (Recommendation 1)

Agency: Department of Labor
Status: Open
Priority recommendation

Comments: DOL agreed with this recommendation. The agency stated that it would take action to provide states with information about its determination that the use of state formal warning policies is no longer permissible under federal law. As of December 2019, DOL reported that it is developing new guidance that states can no longer use formal warnings. We will consider closing this recommendation when the agency completes this effort.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should monitor states' efforts to discontinue the use of formal warning policies. (Recommendation 2)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation and stated that it would monitor states' efforts to discontinue the use of formal warning policies. In December 2019, DOL reported that it has been developing new guidance that more explicitly informs states that formal warning policies are not permissible. We will consider closing this recommendation when the agency completes this effort and monitors states' compliance with the guidance.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should clarify information on work search verification requirements in its revised Benefit Accuracy Measurement procedures. The revised procedures should include an explanation of what DOL considers to be sufficient verification of claimants' work search activities. (Recommendation 3)

Agency: Department of Labor
Status: Open
Priority recommendation

Comments: DOL agreed with this recommendation and stated that it would clarify information on work search verification requirements in its revised Benefit Accuracy Measurement procedures. In December 2019, DOL reported that it is developing new guidance with instructions to clarify work search verification requirements. To fully implement this recommendation, DOL should finalize and publish these instructions on verifying claimants' work search activities and provide the clear directions to states.

Recommendation: The Assistant Secretary of DOL's Employment and Training Administration should monitor states' compliance with the clarified work search verification requirements. (Recommendation 4)

Agency: Department of Labor
Status: Open

Comments: DOL agreed with this recommendation and stated that it would monitor states' compliance with clarified work search verification requirements. In December 2019, DOL reported that it is working with the Office of Management and Budget on its draft work search guidance that will more explicitly inform states that formal warning policies are not permissible. We will close this recommendation when DOL publishes these instructions, providing states with clear directions, and monitors their compliance with the guidance.

Recommendation: The Chairman of the National Mediation Board should develop and execute a plan to address the rail arbitration case backlog. (Recommendation 1)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation and stated that it is examining the growing arbitration backlog and investigating steps the Board may take to reduce it. In particular, the agency noted that it is discussing proposals with stakeholders and formulating a plan to reduce the backlog in 2018.

Recommendation: The Chairman of the National Mediation Board should develop and implement policies for approval and monitoring of employee requests for outside employment and other outside activities to prevent violations of ethics rules, consistent with Office of Government Ethics standards of conduct and federal internal control standards. (Recommendation 2)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation. The agency stated that it has taken significant steps to investigate this matter and has established new controls in order to prevent this type of activity in the future, including establishing a relationship with the IG of the National Labor Relations Board to operate a telephone hotline and email address for the reporting of suspected fraud, waste and abuse at NMB.

Recommendation: The Chairman of the National Mediation Board should complete and take actions on the organizational climate assessment and survey results as a means to address employee concerns. (Recommendation 3)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation. The agency stated that the Board is concerned that the 2017 Federal Employee Viewpoint Survey revealed a level of dissatisfaction among NMB employees. It plans to conduct an Internal Climate Assessment in 2018 and agency looks forward to the opportunity to better understand and address any employee concerns.

Recommendation: The Chairman of the National Mediation Board should revise NMB's travel policy and develop appropriate internal controls to ensure compliance with federal requirements for travel. (Recommendation 4)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation. The agency stated that it is in the process of reviewing the current travel policy, and will revise the policy to be in compliance with federal travel regulations as necessary.

Recommendation: The Chairman of the National Mediation Board should revise NMB's telework policy and develop appropriate internal controls to ensure compliance with federal requirements for telework. (Recommendation 5)

Agency: National Mediation Board
Status: Open

Comments: NMB agreed with this recommendation and stated that it will revise its telework policy and strengthen internal controls, as necessary.

Recommendation: Once reliable data are available, the Coast Guard, or another agency identified by the working group, should assess the rates of commercial fishing vessel accidents, injuries, and fatalities to determine whether certain factors--including vessel length and region of operation, among other things--affect these rates. (Recommendation 3)

Agency: Department of Homeland Security: United States Coast Guard
Status: Open

Comments: The Department of Homeland Security (DHS) did not concur with our recommendation that the Coast Guard assess the rates of commercial fishing vessel accidents, injuries, and fatalities to determine whether certain factors-such as vessel length and region of operation-affect these rates. DHS officials stated that the Coast Guard has limited resources and capabilities to conduct such assessments and noted that the National Institute for Occupational Safety and Health (NIOSH) studies marine incidents to identify causal factors in fishing vessel casualties, which could more effectively determine casualty rates. The Coast Guard uses this information to update and develop commercial fishing vessel safety standards and policy, as appropriate. GAO agrees that NIOSH plays an important role in identifying commercial fishing fatalities and regional risk factors, but such assessments typically focus on fatalities in specific fisheries, and generally did not consider such factors as vessel length or whether the vessel has been classed. As of July 2020, Coast Guard officials stated the Coast Guard continues to work with other Federal partners on data collection strategies through the established work group to determine the best reliable data in order to establish credible rates of casualties, injuries, and fatalities in the commercial fishing vessel industry. This recommendation will remain open pending a decision by the working group on the appropriate agency to conduct these assessments.

Recommendation: The Coast Guard should issue regulations or guidance to clarify and implement the alternative-to-class approach. (Recommendation 4)

Agency: Department of Homeland Security: United States Coast Guard
Status: Open

Comments: The Department of Homeland Security concurred with our recommendation that the Coast Guard issue regulations or guidance to clarify and implement the alternative-to-class approach. As of November 2018, the Coast Guard made a presentation to the commercial fishing industry clarifying the alternative-to-class approach as it relates to commercial fishing vessels including discussion topics such as understanding the language of 46 USC 4503 and State Licensed Naval Architect and Marine Engineers' scope of responsibilities when incorporating standards equivalent to those prescribed by a classification society. As of June 2020, Coast Guard officials stated they have formalized work instruction guidance regarding implementation of the alternative-to-class approach. This guidance is expected to be released by the end of 2020.

Recommendation: The Chair of the EEOC should develop a timeline to complete the planned effort to clean Integrated Mission System data for a one-year period and add missing industry code data. (Recommendation 1)

Agency: Equal Employment Opportunity Commission
Status: Open

Comments: As part of an effort to overhaul its IMS data system, EEOC has begun developing an Employer Master List that will provide a source of employer information, including industry codes, but EEOC told us that it has not yet completed this effort. It anticipates this system will be more fully developed by spring 2020. It is important for EEOC to collect sufficient information through its Employer Master List and use it to analyze charge data by industry.

Recommendation: The Director of OFCCP should analyze internal process data from closed evaluations to better understand the cause of delays that occur during compliance evaluations and make changes accordingly. (Recommendation 2)

Agency: Department of Labor: Office of Federal Contract Compliance Programs
Status: Open

Comments: In June 2019, OFCCP officials reported that OFCCP's procedures outlined in the Active Case Enforcement Directive (DIR 2011-01) caused delays in case closures, but OFCCP did not indicate that this conclusion resulted from the recommended analysis of internal process data from closed evaluations. OFCCP officials reported that the agency's aged case rate-defined as a case which is open for more than 730 days and has not been referred for further enforcement-has dropped from 27.7 percent in fiscal year 2017 to 20.9 percent in fiscal year 2019. However, it did not report on changes in case outcomes. In September 2019, OFCCP officials told us they continue to look for ways to address delays with effective policies that make the agency more efficient. We maintain that OFCCP should determine the root causes of delays based on data analysis of actual evaluations to demonstrate that its policy changes are accurately targeting the causes of these delays.

Recommendation: The Director of OFCCP should assess the quality of the methods used by OFCCP to incorporate consideration of disparities by industry into its process for selecting contractor establishments for compliance evaluation. It should use the results of this assessment in finalizing its procedures for identifying contractor establishments at greatest risk of noncompliance. (Recommendation 4)

Agency: Department of Labor: Office of Federal Contract Compliance Programs
Status: Open

Comments: In its agency response to our November 2017 report, OFCCP officials reported that the agency was exploring the use of U.S. Census Bureau and administrative data to refine its selection process to focus on industries with a greater likelihood of noncompliance. In January 2019, DOL officials reported that DOL had revised its scheduling methodology to include industries with the highest rates of violations. OFCCP published the scheduling list in March 2019 and its field offices started scheduling cases in May 2019. OFCCP stated it will continue to monitor results from this revised scheduling methodology to determine its effectiveness. It will be important for OFCCP to refine these methods based on its experiences with them. This new process is a step toward focusing efforts on industries at greater risk of potential noncompliance with nondiscrimination or affirmative action requirements. We will consider closing this recommendation when these efforts are complete.

Recommendation: The Director of OFCCP should evaluate the current approach used for identifying entities for compliance review and determine whether modifications are needed to reflect current workplace structures and locations or to ensure that subcontractors are included. (Recommendation 5)

Agency: Department of Labor: Office of Federal Contract Compliance Programs
Status: Open

Comments: In fiscal year 2019, OFCCP evaluated its current approach for identifying subcontractors for review. OFCCP stated that the current approach does not reliably include subcontractors in the pool from which contractors are scheduled because there is no government or public database that captures the complete universe of subcontractors and other important data. In June 2019, OFCCP submitted revisions to its process to the Office of Management and Budget (OMB) for approval. We will consider closing this recommendation when these efforts are complete.

Recommendation: The Director of OFCCP should evaluate the Functional Affirmative Action Program to assess its usefulness as an effective alternative to an establishment-based program, and determine what improvements, if any, could be made to better encourage contractor participation. (Recommendation 6)

Agency: Department of Labor: Office of Federal Contract Compliance Programs
Status: Open

Comments: OFCCP has taken steps to encourage contractors to use the FAAP program without fully evaluating it as an alternative to the establishment-based program. Evaluating the FAAP could help OFCCP improve its ability to achieve its objectives and may provide broader insight for OFCCP's overall enforcement approach. We will consider closing this recommendation when these efforts are complete.

Recommendation: The Assistant Secretary of Labor for Occupational Safety and Health should take additional steps to encourage workers to disclose sensitive concerns during OSHA inspections of meat and poultry plants; for example, by considering additional off-site interviews or exploring other options to obtain information anonymously. (Recommendation 1)

Agency: Department of Labor: Occupational Safety and Health Administration
Status: Open

Comments: OSHA stated that it agrees that workers should be able to report injuries, illnesses, and hazards free of intimidation. OSHA noted that its Field Operations Manual prescribes procedures for facilitating the free and open exchange of information, such as conducting onsite worker interviews without management present. OSHA further stated that when workers indicate interest in offsite interviews, the agency will conduct those interviews as prescribed by the Field Operations Manual. We note in our report that because inspectors inform plant management which workers they want to speak with, supervisors know the identity of workers interviewed onsite. Workers and worker advocates we spoke with expressed concerns about this. OSHA told us that inspectors interview meat and poultry workers offsite infrequently, since these interviews can be challenging and take additional time, and OSHA also may be challenged to find an acceptable venue when the employee is available. In June 2020, DOL informed us that OSHA had signed an alliance with several meat and poultry-related industry associations and that they expect this alliance to help improve overall safety and health for the industry's workers. We continue to believe that there are additional steps OSHA can take to better encourage workers to disclose sensitive concerns, and we look forward to learning how OSHA will draw upon this alliance to help take these steps.

Recommendation: The Assistant Secretary of Labor for Occupational Safety and Health should gather more information, such as by asking workers during meat and poultry plant inspections, to determine the extent to which bathroom access is a problem and how to address any identified issues. (Recommendation 2)

Agency: Department of Labor: Occupational Safety and Health Administration
Status: Open

Comments: OSHA stated that meat and poultry workers should have bathroom access as prescribed by the agency's regulations. They noted that if it is observed that processes indicate lack of bathroom access, or if a worker indicates there is an issue, the agency will investigate. Our report identified a mismatch between the concerns we heard from workers about lack of bathroom access and the problems reported by OSHA. We also reported that workers may not volunteer information about lack of bathroom access unless specifically asked. OSHA may choose to address this issue without routinely asking workers about bathroom access, such as by selectively querying workers based on criteria determined by the agency. In June 2020, DOL informed us that OSHA had signed a national alliance with several meat and poultry-related industry associations, and that bathroom access is one of the topics that will be addressed within this alliance, with a goal of developing educational materials. We note that this is a positive step forward, and we continue to stand by our recommendation.

Recommendation: The Assistant Secretary of Labor for Occupational Safety and Health should update its guidance for employers on how to manage their health units to address the challenges of managing these units. (Recommendation 3)

Agency: Department of Labor: Occupational Safety and Health Administration
Status: Open

Comments: In June 2020, DOL informed us that OSHA continues work on updating its guidance for employers on how to manage their health units to address the challenges of managing these units, and that OSHA anticipates initiating clearance of the draft updated guidance in fall 2020. We will consider closing this recommendation when this effort is complete.

Recommendation: The Assistant Secretary of Labor for Occupational Safety and Health should work with FSIS to assess the implementation of the MOU and make any needed changes to ensure improved collaboration; and set specific timeframes for periodic evaluations of the MOU. (Recommendation 4)

Agency: Department of Labor: Occupational Safety and Health Administration
Status: Open
Priority recommendation

Comments: In February 2020, OSHA reported that OSHA and FSIS drafted an updated MOU, which both parties are reviewing. The two agencies met in Summer 2019 to discuss workplace safety, collaboration between the two agencies, and the implementation of the MOU. During a series of working meetings, they discussed each aspect of the MOU, including training and coordination activities. FSIS and OSHA will continue to meet routinely and review the MOU to determine whether adjustments are needed, as appropriate. We will consider closing this recommendation when this effort is complete.

Recommendation: The FSIS Administrator should work with OSHA to assess the implementation of the MOU and make any needed changes to ensure improved collaboration; and set specific timeframes for periodic evaluations of the MOU. (Recommendation 5)

Agency: Department of Agriculture: Food Safety and Inspection Service
Status: Open
Priority recommendation

Comments: FSIS stated that it already has directives in place to recognize and report hazards affecting FSIS employees, and acknowledged that the MOU was designed to additionally have FSIS employees report hazards affecting plant employees due to the regular presence of its inspectors in plants. FSIS noted that in collaborating with OSHA, FSIS will need to ensure its primary mission is not compromised by undertaking activities that take time and resources away from its food safety inspection responsibilities. In January 2019, OSHA reported that it met with FSIS several times to discuss chemical exposures, referrals, and issues of jurisdiction in state plan states. FSIS subsequently shared the results from a NIOSH health hazard evaluation that was conducted, as well as the efforts to track the source of the infected birds. To fully implement this recommendation, FSIS should strengthen the MOU and develop a mechanism to regularly evaluate it would help ensure that the goals of the MOU are met; leveraging FSIS's presence in plants provides the federal government with a cost-effective opportunity to protect worker safety and health.

Recommendation: The FSIS Administrator should develop a process to regularly share the worker safety information it collects during its review of new chemicals with FSIS inspectors, plant management, OSHA, and the Centers for Disease Control and Prevention's National Institute for Occupational Safety and Health (NIOSH). (Recommendation 6)

Agency: Department of Agriculture: Food Safety and Inspection Service
Status: Open

Comments: FSIS stated that the agency already has a process for sharing chemical safety information with its inspectors. However, FSIS has not provided us with evidence that it has shared the worker safety information it collects related to new chemicals, such as safety information that is specific for dilution levels and conditions of use at plants, as noted in the report. FSIS also stated that it would take certain steps to share information about approval of chemicals with other agencies such as OSHA and NIOSH, but the steps identified did not include sharing worker safety information. Incorporating worker safety information would further help enhance this information sharing. FSIS further stated that some of the information collected during its review of new chemicals may be proprietary.

Recommendation: The Acting Commissioner of the Social Security Administration should analyze the SEIE data to determine why a large proportion of transition-age youth on SSI with reported earnings did not benefit from the SEIE and, if warranted, take actions to ensure that those eligible for the incentive benefit from it.

Agency: Social Security Administration
Status: Open

Comments: SSA agreed with this recommendation. In August 2018, the agency reported that it was evaluating the accuracy of its SEIE data and once completed, the agency would analyze these data to determine whether there are significant numbers of students with earnings who are not benefiting from the SEIE. In February 2020, SSA reported that it was still working to resolve the issues with SEIE data identified during GAO's audit. SSA does not currently have a timeline for completing its analysis of its SEIE data. SSA also reported that it has submitted legislative proposals in several Presidential Budgets, most recently in fiscal year 2021, that would eliminate earnings reporting for youth, which would prevent similar concerns in the future. GAO will close this recommendation when SSA analyzes SEIE data and, if warranted, takes actions needed to ensure those eligible for SEIE benefit from it, or when all students with earnings receive SEIE because SSA's legislative proposal was enacted.

Recommendation: The Acting Commissioner of the Social Security Administration should analyze options to improve communication about SSA-administered work incentives and the implications of work on SSI benefits, with a goal of increasing understanding of SSI program rules and work incentives among transition-age youth and their families. This should include, but not necessarily be limited to, updating SSAs procedures for staff meeting with SSI applicants, recipients, and their families to regularly and consistently discuss - when applicable--how work incentives can prevent reductions in benefit levels and how work history is considered during eligibility redeterminations.

Agency: Social Security Administration
Status: Open

Comments: SSA disagreed with this recommendation. In August 2018, SSA noted it already requires staff to meet with SSI recipients regularly and instructs staff to discuss relevant work incentives, and that there is no indication that staff are not providing youth with appropriate work incentive information. However, SSA did not explain how it knows or ensures that staff are providing this information and SSA policies do not instruct staff to consistently convey information to youth and families on how work may or may not affect age 18 redetermination. SSA also reported that Work Incentives Planning and Assistance (WIPA) projects must prioritize working with youth who are referred to them. While we recognize the important role that WIPA projects play in providing work incentives counseling to SSI youth, as we previously reported, WIPA projects have limited capacity for serving youth along with other SSI recipients and disability insurance beneficiaries. In June 2019, SSA reported it had updated a brochure-containing information in English or Spanish on age-18 redeterminations, impact of earnings on benefits, work incentives and contact information to include information on SSA work incentives that may allow recipients who work to keep their Medicaid benefits. As of February 2020, the agency reported that it began sending this brochure to approximately 358,000 youth between the ages of 14 and 17 who receive SSI, and made this brochure available on its website. SSA also reported that it has begun exploring ways to better utilize social media to reach youth. While these are positive steps, we previously reported that written information may not be sufficient for conveying complex information. GAO continues to believe that SSA field office staff are both obliged and best-positioned to explain these rules. Moreover, in response to an SSA request for information in January 2018, SSA received public feedback on how it might improve transition outcomes for youth on SSI through better communication, suggesting that SSA's current communication strategies may not be sufficiently effective. We will consider closing this recommendation when SSA has taken further steps to ensure field staff are providing consistent and accurate information.

Recommendation: The Acting Commissioner of the Social Security Administration should work with the Secretary of Education to determine the extent to which youth on SSI are not receiving transition services through schools that can connect them to VR agencies and services.

Agency: Social Security Administration
Status: Open

Comments: SSA partially agreed with this recommendation, but after discussing it with the Department of Education, reported that significant challenges exist to pursuing certain implementation approaches. In December 2019, SSA reported that it continues to support research to identify the connection between youth on SSI and the receipt of VR services through its Retirement and Disability Research Consortia and its Analyzing Relationships Between Disability, Rehabilitation, and Work programs. SSA also reported that until very recently, data on open VR cases were unavailable at the national level; thus, it has not been possible to actively monitor SSI and VR participation in a timely manner. However, SSA reported that the agency will explore the possibility of using newly available data on open VR cases as resources allow. Determining the extent to which SSI youth are receiving or have access to services may help youth on SSI achieve employment and, potentially, self-sufficiency.

Recommendation: The Acting Commissioner of the Social Security Administration should explore various options for increasing connections to VR agencies and services, including their potential costs and benefits. One option, among others, could be to expand the Ticket to Work program to include youth.

Agency: Social Security Administration
Status: Open

Comments: SSA agreed with this recommendation and, in August 2018, SSA officials reported that they had taken several steps to explore and pursue options for increasing youths' connections to vocational rehabilitation agencies and services. Specifically, officials previously reported that they published a request for information (RFI) in the Federal Register in January 2018 that asks, among other things, for strategies to connect youth receiving Supplemental Security Income (SSI) with vocational rehabilitation agencies and about options for programs like a Ticket to Work for youth. In July 2019, SSA reported receiving and analyzing almost 200 responses to its RFI and indicated that it plans to discuss its findings with federal partners and other stakeholders. SSA officials also previously reported that the agency reviewed the Social Security Act and that the law precludes SSA from directly or indirectly referring youth on SSI to vocational rehabilitation agencies. Therefore, as of December 2019, the agency reported that it has submitted legislative proposals in several presidential budgets, including its fiscal year 2021 budget justification, that would allow SSA to refer youth to vocational rehabilitation agencies. SSA officials also reported that the agency has initiated demonstration projects to determine whether youth on SSI benefit from referrals to vocational rehabilitation agencies and commissioned reports related to services for youth.. According to information provided in July 2019, one of SSA's demonstration projects analyzes an experimental intervention to improve the outcomes of children receiving SSI by providing personalized information to families about the likelihood that a child will not continue on SSI as an adult, as well as resources to help these youth with the transition to employment. The resources offered will include: math tutoring, SAT/ACT test preparation, and help with applying for vocational rehabilitation services. In addition, according to information SSA provided in July and December 2019, the agency's second demonstration project will involve testing direct referrals to VR in one state for 19 year olds who are or may become SSI or Social Security Disability Insurance beneficiaries, and involves data sharing between SSA and the state on individuals eligible to participate in the project. This project is scheduled to begin recruiting participants in January 2020. SSA also reported that it has commissioned two reports on youth services that will help it identify implementable polices related to youth. Exploring the potential costs and benefits of employment support services for youth who receive or are at risk of being disability program beneficiaries as adults may help SSA develop programs to support the self-sufficiency of these youth. However, to date, SSA has not indicated that it has explored, or it may be too soon to explore, the costs and benefits of any of the options SSA has considered for increasing access to vocational rehabilitation agencies for youth on SSI.

Recommendation: To implement the goals and policy priorities of the 2020 Federal Youth Transition Plan, the Federal Partners in Transition (FPT) workgroup--the Secretaries of HHS, Education, Department of Labor, and the Commissioner of the Social Security Administration--should develop a long-term implementation plan that includes milestones and specific agency roles and assignments.

Agency: Department of Education
Status: Open

Comments: In June 2020, the Department of Labor (DOL) reported additional efforts by member federal agencies of the Federal Partners in Transition (FPT) to collaborate to make progress towards meeting the policy priorities outlined in the 2020 Federal Youth Transition Plan. In addition, DOL has reported that it has formalized and assigned certain FPT roles and responsibilities, is currently evaluating the 2020 plan priorities, is developing a charter to further define FPT milestones and federal agency roles and responsibilities, and will update the Office of Disability Employment Policy (ODEP) website to highlight FPT milestones and timelines. We are encouraged by this additional progress and anticipate we will close the recommendation once DOL provides the approved charter and updates the ODEP website as specified.

Recommendation: To implement the goals and policy priorities of the 2020 Federal Youth Transition Plan, the Federal Partners in Transition (FPT) workgroup--the Secretaries of HHS, Education, Department of Labor, and the Commissioner of the Social Security Administration--should develop a long-term implementation plan that includes milestones and specific agency roles and assignments.

Agency: Department of Health and Human Services
Status: Open

Comments: In July 2020, the HHS reported additional efforts by member federal agencies of the Federal Partners in Transition (FPT) to collaborate to make progress towards meeting the policy priorities outlined in the 2020 Federal Youth Transition Plan. In addition, HHS has reported that it has formalized and assigned certain FPT roles and responsibilities, is currently evaluating the 2020 plan priorities, is developing a charter to further define FPT milestones and federal agency roles and responsibilities, and the Office of Disability Employment Policy (ODEP) website will be updated to highlight FPT milestones and timelines. We are encouraged by this additional progress and anticipate we will close the recommendation once approved charter is provided and updates to the ODEP website are made as specified.

Recommendation: To implement the goals and policy priorities of the 2020 Federal Youth Transition Plan, the Federal Partners in Transition (FPT) workgroup--the Secretaries of HHS, Education, Department of Labor, and the Commissioner of the Social Security Administration--should develop a long-term implementation plan that includes milestones and specific agency roles and assignments.

Agency: Social Security Administration
Status: Open

Comments: In November 2019, SSA again reported that it meets on a monthly basis in both the Federal Partners in Transition (FPT) steering and general meetings, and that these meetings have created a working, structured, collaborative effort to address the audit recommendation and meet the policy priorities outlined in the FPT 2020 plan. SSA noted that the voluntary, ad-hoc nature of the FPT precludes definitive role assignments and implementation plans. We continue to maintain that being a voluntary initiative does not preclude the FPT from establishing long-term milestones and clarifying roles and responsibilities. Further, a long-term plan can be changed, and need not be definitive. Without a long-term implementation plan that includes milestones and specific agency roles and assignments, it is less likely that the priorities outlined in the 2020 Plan will be achieved.

Recommendation: To implement the goals and policy priorities of the 2020 Federal Youth Transition Plan, the Federal Partners in Transition (FPT) workgroup--the Secretaries of HHS, Education, Department of Labor, and the Commissioner of the Social Security Administration--should develop a long-term implementation plan that includes milestones and specific agency roles and assignments.

Agency: Department of Labor
Status: Open

Comments: In June 2020, the Department of Labor (DOL) reported additional efforts by member federal agencies of the Federal Partners in Transition (FPT) to collaborate to make progress towards meeting the policy priorities outlined in the 2020 Federal Youth Transition Plan. In addition, DOL has reported that it has formalized and assigned certain FPT roles and responsibilities, is currently evaluating the 2020 plan priorities, is developing a charter to further define FPT milestones and federal agency roles and responsibilities, and will update the Office of Disability Employment Policy (ODEP) website to highlight FPT milestones and timelines. We are encouraged by this additional progress and anticipate we will close the recommendation once DOL provides the approved charter and updates the ODEP website as specified.

Recommendation: To improve VA's ability to accurately track employees' use of official time, the Secretary of Veterans Affairs should direct the Assistant Secretary for Human Resources and Administration to increase efforts to ensure timekeepers at all facilities receive training and consistent guidance on recording official time in VATAS.

Agency: Department of Veterans Affairs
Status: Open

Comments: VA stated that the Office of Labor Management Relations (LMR) revised its policy in December 2016 to include specific directions to human resource offices to begin recording official time in the VA Time and Attendance System (VATAS) once VATAS has been implemented at their respective facilities. The formal concurrence process, which precedes the final publication of the policy, is ongoing. We will consider closing this recommendation when the agency provides documentation of the revised policy.

Recommendation: To improve VA's ability to accurately track employees' use of official time, the Secretary of Veterans Affairs should direct the Assistant Secretary for Human Resources and Administration to standardize the methods used by facilities for determining the amount of official time used prior to the agency-wide implementation of VATAS by encouraging facilities to rely on time and attendance records when calculating the amount of official time used at the facility level.

Agency: Department of Veterans Affairs
Status: Open

Comments: VA stated that the Office of Human Resources and Administration is in the process of developing a memo directing facilities to rely on time and attendance records when calculating the amount of official time used at the facility level. We will consider closing this recommendation when the agency has provided documentation that they have completed this effort.

Recommendation: To improve VA's ability to accurately track employees' use of official time, the Secretary of Veterans Affairs should direct the Assistant Secretary for Human Resources and Administration to, in preparation for the full implementation of VATAS, take steps to transition from using the LMR system to VATAS to collect and compile information on the amount of official time used agency-wide.

Agency: Department of Veterans Affairs
Status: Open

Comments: VA stated that the Office of Labor Management Relations (LMR) will transition from using the LMR Official Time Tracking System to collect and compile data on official time and will coordinate with the Financial Services Center to use VATAS to create a report on the agency-wide use of official time. VA is still in the process of rolling out VATAS and standardizing the input of official time requests within VATAS. We will consider closing this recommendation when the agency has demonstrated efforts to use VATAS for capturing the use of official time and producing reports.

Recommendation: To ensure that current vesting policies appropriately balance plans' needs and interests with the needs of workers to have employment mobility while also saving for retirement, Treasury should evaluate the appropriateness of existing maximum vesting policies for account-based plans, considering today's mobile labor force, and seek legislative action to revise vesting schedules, if deemed necessary. The Department of Labor could provide assistance with such an evaluation.

Agency: Department of the Treasury
Status: Open

Comments: As of August 2020, no action had been taken on this recommendation. Treasury did not report an evaluation of existing maximum vesting policies for account-based plans and reiterated its policy of not recommending any legislative change to Congress. Other priorities have delayed the agency's plan to work with IRS on guidance to update the regulations under Code section 411, which concern vesting schedules, as currently in effect. But those updates, even if they should occur in the future, cannot modify permitted vesting schedules because, as Treasury notes in its comments, the vesting rules were determined by Congress. Given that more than 84 million people hold 401(k) plan accounts and that median current tenure in the private-sector is about four years, the potential for these policies to significantly impact Americans' retirement security remains. We will close this recommendation when Treasury evaluates the appropriateness of current maximum vesting policies to help determine whether they unduly reduce the retirement savings of workers, regardless of whether the agency opts to seek legislative action.

Recommendation: To help participants better understand eligibility and vesting policies, the Department of Labor (DOL) should develop guidance for plan sponsors that identifies best practices for communicating information about eligibility and vesting policies in a clear manner in summary plan descriptions. For example, DOL could discourage plans from including in documents information about employer contributions or other provisions that are not actually being used by the plan sponsor.

Agency: Department of Labor
Status: Open

Comments: As of June 2020, the Department of Labor (DOL) was considering delaying regulatory action to improve disclosures, to direct its regulatory resources elsewhere. The agency noted however, that it may reopen for further comment a Request for Information posted in 2019, which sought public input on actions that could make retirement plan disclosures more understandable and useful for participants and beneficiaries, among other things. Such actions may include revising standards for the summary plan description, which our report found can contain obsolete and confusing information concerning eligibility and vesting. We continue to encourage the agency to include eligibility and vesting among topics considered for clarification in its future regulatory work and, in the meantime, to consider using sub-regulatory guidance to help plan sponsors better communicate these critical policies.

Recommendation: Congress should consider whether ERISA's provisions related to the timing of employer matching contributions need to be adjusted to reflect today's mobile workforce and workplace plans, which are predominantly 401(k) plans offering matching employer contributions.

Agency: Congress
Status: Open

Comments: As of February 2020, Congress has not taken action on this matter.

Recommendation: Congress should consider whether ERISA's provisions related to last day policies need to be adjusted to reflect today's mobile workforce and workplace plans, which are predominantly 401(k) plans offering matching employer contributions.

Agency: Congress
Status: Open

Comments: As of March 2020, Congress did not take action on this matter.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: In 2018, in consultation with technical experts, DOL revised its scheduling list methodology to address this recommendation. The agency's new scheduling approach aims to strike an appropriate balance for addressing recidivism and noncompliance. The new scheduling list methodology, deployed in FY 2019, examined closed cases for FY 2014 through 2018 and grouped them by industries using the 2-digit NAICS code. Within each year, OFCCP identified cases that closed with discrimination findings and included a conciliation agreement to make the victims whole. The percentage of cases with discrimination findings over the total number of cases closed for that year was computed for each industry. This process was repeated for each of the five fiscal years and identified Agriculture, Manufacturing, and Wholesale Trade as three industries with the highest rate of discrimination violations. One-third of 3,500 establishments on the fiscal 2019 scheduling list were selected from these three industries; the remainder of the list included establishments from other industries. Field offices began scheduling from this list in May 2019 and continue to do so. OFCCP will evaluate the efficacy of this methodology once all establishments on the list are scheduled and resulting cases are closed. The agency has made significant effort to revise its scheduling list methodology to reflect potential risk of noncompliance. However, the methodology relies on the results of prior scheduling lists that were nonrandom and did not produce a generalize sample of contractors. Consequently, the results of those scheduling lists do not allow OFCCP to draw accurate conclusions about noncompliance risk. While DOL has made considerable efforts to implement this recommendation, the process described does not necessarily identify those contractors with the greatest risk of not following equal employment opportunity and affirmative action requirements.

Recommendation: 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.

Agency: Department of Labor
Status: Open
Priority recommendation

Comments: Since 2018, OFCCP issued Directive 2018-07, AAP Verification Initiative, publicly committing to a comprehensive program to verify that federal contractors are complying with AAP obligations on a yearly basis. The program included development of an online portal whereby contractors would certify on a yearly basis compliance with AAP requirements; inclusion of a criterion in the neutral scheduling methodology increasing the likelihood of compliance reviews for contractors that have not certified compliance with the AAP requirements; compliance checks to verify contractor compliance with AAP requirements; requesting proffer of the AAP by contractors when requesting extensions of time to provide support data in response to a scheduling letter; and development of information technology to collect and facilitate review of AAPs provided by federal contractors. OFCCP senior leadership initiated a public campaign by emphasizing AAP certification as an agency priority in meetings with contractors and other external stakeholders. In addition, OFCCP also changed its criteria for granting extensions of time for the submission of support data in response to a scheduling letter and made it contingent upon timely submission of an AAP, within 30 days of receiving the scheduling letter. OFCCP reflected this change in an FAQ on its website. The Task Order to develop the portal expired on September 30, 2019 without fully completing the project. A new contract was awarded in September 2019 to continue this work and delivery of the completed portal is anticipated in the third quarter of fiscal year 2020. Concurrently, OFCCP anticipates obtaining approval from the Office of Management and Budget to collect annual certifications using this portal. When launched, the portal will allow all contractors to certify annually that they have developed and maintain compliant AAPs for each of their establishments or functional/business units. Those contractors who fail to certify, or who certify that they do not have compliant AAPs for each of their establishments or business/functional units, will be more likely to be scheduled for compliance evaluations. Further, OFCCP anticipates having contractors that are scheduled for compliance evaluations use the portal to submit their AAPs for review. While the agency has made considerable efforts to implement this recommendation, the processes described have not been fully implemented. Once implemented, GAO will close the recommendation.

Recommendation: To help ensure HHS has reliable data on SGEs not serving on federal boards, the Secretary of HHS should take steps to improve the reliability of data on SGEs not serving on boards. For example, the agency could reconcile human capital data with general counsel and ethics office data, or issue clarifying guidance to human capital staff on appropriately identifying SGEs in human capital databases.

Agency: Department of Health and Human Services
Status: Open

Comments: In October 2016, HHS submitted its action plan to address GAO's recommendations. At that time, HHS stated the agency was reviewing its internal policies and procedures related to the hiring of special government employees not serving on boards to identify policy options that might improve data reliability. In January 2017, the Office of Government Ethics issued its Ethics Program Review of HHS and commented on ongoing and planned efforts by HHS to address challenges associated with identifying Special Government Employees who do not serve on federal advisory committees. Ongoing efforts include internal coordination between the Office of General Counsel-Ethics Division and human resource officials to implement new requirements based on 5 CFR part 2638. We are following up with HHS to determine the status of actions on the new requirements. As of September 2019, HHS has not responded to our requests for an update on their actions to respond to this recommendation. In May 2020, HHS noted that its Office of Human Resources has been responding to the COVID-19 pandemic and therefore has not been able to provide an update on this recommendation. HHS expects to provide us with an update in July 2020. We contacted the agency for an update and are awaiting a response as of September 1, 2020.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: DOL generally agreed with this recommendation and stated that its implementation would make a difference in working conditions in the meat and poultry industry. The agency also noted that resource constraints may make it difficult to implement. DOL reported in 2018 that it is reviewing its options for moving forward and is exploring accurate coding and recordkeeping of MSDs and drivers for underreporting in poultry processing and elsewhere. As of March 2020, OSHA stated that it continues to examine ways to work with BLS to address the recommendation. We will monitor the agency's actions to address this recommendation.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: DOL generally agreed with this recommendation and stated that its implementation would make a difference in working conditions in the meat and poultry industry. The agency noted that resource constraints may make it difficult to implement, particularly due to privacy concerns related to using form 301 (injury and illness incident report) and form 300 (log of work-related illnesses and injuries. DOL also noted that form 300A (Summary of Work-Related Injuries and Illnesses) does not have the specificity necessary to develop an understanding of worker injuries and illnesses in specific occupations. Our report explained that plants may use various job titles in their OSHA logs for sanitation workers they employ directly. However, those workers who are employed by contracted sanitation companies may be included in the sanitation companies' OSHA logs, and there may be nothing to indicate that their workplace is a meat or poultry plant. Thus, the problem is not the data source, but rather how to identify these particular workers by occupation and by industry in order to collect information about the full extent of injuries and illnesses in meat and poultry plants. We reiterate our recommendation that OSHA should work together with BLS to study how to regularly gather data on injury and illness rates among sanitation workers in the meat and poultry industry.

Recommendation: To develop a better understanding of meat and poultry sanitation workers' injuries and illnesses, the Secretary of Health and Human Services should direct the Director of the Centers for Disease Control and Prevention to have the National Institute for Occupational Safety and Health (NIOSH) conduct a study of the injuries and illnesses these workers experience, including their causes and how they are reported. Given the challenges to gaining access to this population, NIOSH may want to coordinate with the Occupational Safety and Health Administration to develop ways to initiate this study.

Agency: Department of Health and Human Services
Status: Open

Comments: HHS concurred with this recommendation and noted the previous difficulties NIOSH has had gaining access to these workplaces and the potential resource commitment involved in conducting such a study. We acknowledge this access challenge and noted in our report that OSHA has negotiated access for NIOSH in other industries, hence the rationale for recommending that NIOSH may want to coordinate with OSHA. In February 2020, NIOSH reported it met with industry associations to discuss areas of mutual interest for research on worker safety in poultry plants. However, according to NIOSH, the advent of COVID-19 and its challenges have limited plans for field studies for FY20. During the COVID-19 epidemic NIOSH informed us its representatives have: (1) created COVID-19 safety guidelines with OSHA and (2) performed more than 30 meat and poultry worksite evaluations focusing on the prevention of COVID-19. NIOSH notes that it continues to have an interest in learning more about and providing assistance to minimize various types of illnesses and injuries that may affect meat and poultry sanitation workers, and at some point in the future they hope to "re-initiate" their interactions with stakeholders such as the National Chicken Council and US Egg & Poultry Association on the study of peracetic acid exposure in the poultry processing industry. Our recommendation was aimed at increasing the understanding of the various types of illnesses and injuries that are common among meat and poultry sanitation workers, including their causes and how they are reported. We look forward to hearing about future studies that address this topic.

Recommendation: 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.

Agency: Department of Labor
Status: Open
Priority recommendation

Comments: According to OSHA officials, the agency had a study underway to review OSHA's workplace violence enforcement cases in health care to better understand the obstacles OSHA compliance officers encountered during these investigations and identify factors which led to citations. The study was intended to help compliance officers develop citations in workplace violence cases. In addition, in December 2016, OSHA published a Request for Information on Preventing Workplace Violence in Healthcare and Social Assistance (RFI) to help identify workplace violence prevention requirements that could be effective and economical if a regulation were to be developed. OSHA reported in June 2018 that it is evaluating the information it received in response to the RFI and is gathering information on best practices in certain industries. As of April 2020, OSHA completed its review of the submissions in response to the RFI, is developing regulatory options, and will obtain additional input from potentially affected small businesses. The agency anticipates completing this process by the end of 2020. To fully implement this recommendation, the agency should complete its process of obtaining input on the regulatory options the agency is developing, and finalize its determination on whether regulatory action is needed.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: In April 2019, DOL restated its assertion that the employment services most needed by veterans and spouses were already available to them through the state workforce system and should not be offered through another mechanism. DOL pointed to changes in the employment workshops under its Transition Assistance Program, though those changes do not inform the need for any additional services such as Off Base Transition Training workshops. Additionally, DOL noted that Section 502 of the Veterans Health Care and Benefits Improvement Act of 2016 called for a 5-year longitudinal study of veteran workforce services. DOL concluded a feasibility study in December 2018 and said it will produce a plan to conduct the 5-year longitudinal study, which will inform 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. While completing the feasibility study and planning to conduct the longitudinal study are important steps, DOL has not yet completed that study, nor has it reported to Congress on the extent to which employment workshops might fill a niche not currently served by existing federal programs.

Recommendation: To improve SSA's ability to detect, prevent, and recover potential DI benefit overpayments due to the concurrent receipt of FECA benefits, the Commissioner of Social Security should strengthen internal controls designed to prevent DI overpayments due to the concurrent receipt of FECA benefits by implementing the alternative that provides the greatest net benefits.

Agency: Social Security Administration
Status: Open
Priority recommendation

Comments: As of January 2020, SSA had taken steps to strengthen internal controls, as GAO recommended in July 2015, but it had not completed its efforts. In January 2020, SSA told GAO that it continues to work with DOL to establish a computer matching agreement to support the FECA data exchange and the agreement is pending at DOL for final review and signature. According to SSA, if the agreement is established, SSA will use the FECA benefit data to improve efficiencies in its ability to offset/reduce DI benefits when an individual is concurrently receiving FECA benefits. GAO will continue to monitor SSA's work in this area. SSA following through with these plans will help the agency identify and prevent potential DI overpayments.

Recommendation: 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.

Agency: Department of Health and Human Services
Status: Open

Comments: In comments printed in the April 2015 final report, HHS concurred with the recommendation and stated that it would review current links to guidance documents and explore ways to enhance their visibility and usability. As of June 2020, GAO is working with HHS officials to obtain additional updates and documentation regarding the department's implementation of this recommendation.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: The Department of Labor's Wage and Hour Division (WHD) agreed with this recommendation and reported that it is working to develop data collection plans and explore a potential evaluation that is focused on the Home Care Rule. As part of this effort, WHD noted that it will continue to work with HHS and other federal partners. In FY16, WHD reported that such an evaluation of how stakeholders and affected industries have responded to the rule would be beneficial. However, litigation has delayed implementation and enforcement of the rule significantly, and WHD believes an evaluation at this stage would be premature and would be unlikely to fully and accurately capture stakeholders' responses to the rule and the resulting impacts. Delaying the evaluation would allow WHD to monitor the results of its own investigations and the effects of ongoing compliance assistance, both of which would be extremely difficult to measure at this early stage. In 2017, WHD reported that it will continue to monitor early implementation to determine the appropriate start for any evaluation and lay the groundwork for future assessment, including a plan for how to identify data that would inform such as an assessment. In 2018, WHD reported that it is too early in the implementation phase of the rule to conduct an evaluation of the rule's impact. The Department and WHD continue to engage with HHS to understand stakeholders' responses to the rule. WHD also continues to lay the groundwork for any future assessment by working to identify data sources that would inform such as an assessment.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: On December 9, 2013, OSHA issued a Request for Information seeking, among other things, comments on potential revisions to its Process Safety Management standard and its Explosives and Blasting Agents Standard. The Request for Information specifically invited comments on safe work practices for storing, handling, and managing ammonium nitrate and on regulatory requirements to improve its approach to preventing the hazards associated with ammonium nitrate. As of July 2017, OSHA reports it has completed a Small Business Regulatory Flexibility Review Act panel to gather feedback from small businesses on updating its Process Safety Management (PSM) regulation. During the panel, the agency discussed the option of adding ammonium nitrate to the list of chemicals covered by PSM and collected comments. As of June 2018, the PSM rulemaking is on the regulatory agenda under Long Term Action. According to OSHA officials, the agency will continue to collect comments on the option of adding ammonium nitrate to the list of highly hazardous chemicals covered by the PSM regulations as dictated by the rulemaking process. We will close this recommendation when OSHA decides what action to take as a result of the rulemaking process.

Recommendation: 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.

Agency: Environmental Protection Agency
Status: Open

Comments: In January 2017, EPA issued a final rule to modify its Risk Management Program (RMP) regulations. The agency decided not to propose any revisions to the list of regulated substances and therefore, did not address ammonium nitrate in the revised regulations.

Recommendation: 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.

Agency: Department of Labor
Status: Open

Comments: OSHA previously (December 3, 2014) issued guidance to Regional Administrators to assist OSHA officials in enforcing the ammonium nitrate storage requirements in the Explosives and Blasting Agents Standard. In addition, on December 9, 2013, OSHA issued a Request for Information (RFI) seeking, among other things, comments on potential revisions to the Explosives and Blasting Agents Standard, which includes ammonium nitrate storage requirements. According to OSHA officials, the agency discussed the option of adding ammonium nitrate to the list of chemicals covered by the Process Safety Management (PSM) regulations and collected comments. As of June 2018, the PSM rulemaking is on the regulatory agenda under Long-Term Action. We will close this recommendation when the agency decides what action to take as a result of the rulemaking process.

Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should develop and fully implement key components of an information security program in accordance with the Federal Information Security Management Act of 2002.

Agency: National Mediation Board
Status: Open

Comments: In February 2020, we determined that NMB had taken some steps to further implement key information security practices, but had not fully implemented this recommendation. We reported in GAO-20-236 that NMB continued to only partially follow the eight key information security practices in accordance with the Federal Information Security Management Act (FISMA). NMB must take other steps, such as providing risk assessment documentation of its enterprise network for fiscal year 2019. NMB officials stated that the agency plans to address several of these practices by the end of fiscal year 2020. They further noted that they hired a Chief Information Officer and planned to hire additional staff and employ contractors to aid in these efforts.

Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should establish a privacy program that includes conducting privacy impact assessments and issuing system of record notices for systems that contain personally identifiable information.

Agency: National Mediation Board
Status: Open

Comments: In February 2020, we reported in GAO-20-236 that NMB had taken some steps to implement information privacy practices, such as designating a privacy officer. However, NMB must take additional steps, such as specifying whether a system of records notice would be developed, as required by the Office of Management and Budget.

Recommendation: To better leverage agency quarterly performance reviews as a mechanism to manage performance toward agency priority and other agency-level performance goals, the Director of the Office of Management and Budget should work with the Performance Improvement Council and other relevant groups to identify and share promising practices to help agencies extend their quarterly performance reviews to include, as relevant, representatives from outside organizations that contribute to achieving their agency performance goals.

Agency: Executive Office of the President: Office of Management and Budget
Status: Open

Comments: As of October 2020, the Office of Management and Budget (OMB) and the Performance Improvement Council (PIC) have taken little action to address this recommendation. In August 2017, PIC staff told us that they were working to identify examples where agencies had included representatives from outside organizations in their performance reviews, and would then disseminate promising practices based on those experiences. However, according to information shared by OMB and PIC staff in March 2019, they had not taken any additional action, nor had they identified or shared any such practices. OMB staff emphasized that while some agencies found it is useful to engage external stakeholders in their reviews, agencies generally view them as internal management meetings. OMB's July 2020 guidance continues to direct agencies to include, as appropriate, relevant personnel from outside the agency that contribute to the accomplishment of Agency Priority Goals or other priorities. However, supplementing this guidance with insights into how to do this well could help ensure that agencies can effectively bring together key players to achieve common goals. We will continue to monitor the status of actions taken to address this recommendation.

Recommendation: To help ensure the department maintains its critical skills and competencies, when planning for and implementing future civilian workforce actions, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to involve functional community managers and to the extent possible, use information from gap assessments of its critical skills and competencies as they are completed to make informed decisions for possible future reductions or justify the size of the force that it has.

Agency: Department of Defense
Status: Open

Comments: As of September 2017, the Associate Director, Total Force Requirements & Sourcing Policies; OUSD(P&R), stated that the Department has taken some actions and that there are ongoing efforts in this area. As of November 2019, DOD has taken no further action. We will continue to monitor DOD's progress in implementing this recommendation.

Recommendation: To better balance the benefits of expedited rulemaking procedures with the benefits of public comments that are typically part of regular notice-and-comment rulemakings, and improve the quality and transparency of rulemaking records, the Director of OMB, in consultation with the Chairman of Administrative Conference of the United States (ACUS), should issue guidance to encourage agencies to respond to comments on final major rules, for which the agency has discretion, that are issued without a prior notice of proposed rulemaking.

Agency: Executive Office of the President: Office of Management and Budget
Status: Open

Comments: In a status update from OMB received on March 6, 2020, OMB stated that it agrees that agencies should respond to comments on final major rules, for which the agency has discretion, that are issued without a prior notice of proposed rulemaking. OMB says it will continue to prioritize this issue during review of regulations under EO 12866, and that it is currently considering whether additional guidance is appropriate and will consult with the staff of the Administrative Conference of the United States on this issue.

Recommendation: The Acting Commissioner of Internal Revenue should take the following action outline a strategy that defines appropriate levels of telephone and correspondence service and wait time and lists specific steps to manage service based on an assessment of time frames, demand, capabilities, and resources.

Agency: Department of the Treasury: Internal Revenue Service
Status: Open
Priority recommendation

Comments: IRS neither agreed nor disagreed with GAO's recommendation from December 2012, but has made progress in developing a customer service strategy that defines appropriate levels of telephone service; however, as of February 2020, IRS had not finalized its strategy nor determined the appropriate levels of service for correspondence and wait time. In January 2017, IRS shared results of a benchmarking study that compared its telephone service, measures, and goals to comparable agencies and companies. The team that conducted the study recommended options for additional measures to indicate the level of access taxpayers have to service across service channels. In September 2019, IRS provided GAO its revised customer service strategy; however, it did not include correspondence service. In July 2019, the Taxpayer First Act (Public Law 116-25) was enacted which requires IRS to develop a comprehensive customer service strategy. As of February 2020, IRS had established an internal office to implement this requirement. Completion of a comprehensive customer service strategy that defines appropriate levels of service and wait time as well as specific steps to manage services based on an assessment of time frames, demand, capabilities, and resource requirements would enable IRS to make a more informed request to Congress about resources needed to deliver specific levels of service. Further, finalizing a long-term comprehensive strategy will help ensure IRS is maximizing the benefit to taxpayers and possibly reduce costs in other areas.

Recommendation: To ensure that up-to-date data are available on the road damages imposed by all vehicles types compared with the revenues each contributes to the Highway Trust Fund, the Secretary of Transportation should direct the FHWA Administrator to revise and publish the agency's Highway Cost Allocation Study and update it periodically as warranted.

Agency: Department of Transportation
Status: Open

Comments: As of April 2020, FHWA stated it does not plan to revise and publish the agency's Highway Cost Allocation Study because of the cost of doing so and the uncertainty about whether and how it would be used. GAO continues to believe that up to date information on the cost of road damage imposed by all vehicle types compared with the revenues contributed by those vehicles to the Highway Trust Fund is needed to help determine whether user fees are sufficient to cover damage costs. Moreover, Congress and the administration need to agree on a long-term sustainable plan for balancing spending from and revenues to the Highway Trust Fund and, for this reason, funding surface transportation is on GAO's High Risk List. GAO will continue to monitor any efforts by DOT and FHWA to respond to our recommendation.

Recommendation: To enhance collaboration among the various entities involved in delivering employment services to military spouses and to better monitor the effectiveness of these services, the Secretary of Defense should consider incorporating key practices to sustain and enhance collaboration when developing and finalizing its spouse employment guidance, such as agreeing on roles and responsibilities and developing compatible policies and procedures.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with this recommendation. As of September 2019, DoD has addressed some but not all aspects of this recommendation. According to DoD officials, the Spouse Education and Career Opportunities (SECO) programs have mechanisms for operating across agency boundaries by fostering open lines of communication and other collaborative practices. Specifically, according to DoD officials, these mechanisms provide SECO program and military service officials, who operate employment assistance programs at military installations, full knowledge of the relevant resources and activities focused on military spouse employment. For example, SECO provides quarterly webinars to military service employment program officials; and, leaders at SECO and installations have bi-monthly calls to provide updates on their respective initiatives. However, SECO has not fully developed guidance describing its overall strategy and how its various programs should coordinate to help military spouses obtain employment, which could include clarifying the roles and responsibilities of SECO and the military service programs. Our prior work has found that such documentation can help improve coordination by clarifying who does what in a partnership. Although DoD had intended to develop a separate policy (or DoD Instruction) for spouse employment, agency officials said they abandoned this effort. DoD plans to issue new guidance, but as of September 2019, DoD has not provided an update on this guidance or other examples of documentation that outline roles and responsibilities. Until DoD develops guidance, these programs face increased risk for poor coordination and program overlap.

Recommendation: To improve federal training investment decision-making processes, the Director of OPM should include in existing or new OPM guidance or technical assistance additional information in the following areas: (1) Steps agencies should take and factors they should consider when prioritizing federal training investments agency-wide, including developing a process to rank training using criteria, such as expected demand for the investment from internal sources, availability of resources to support the effort, potential for increased revenue, and risk of unfavorable consequences if investments are not made. (2) Steps agencies should take and factors they should consider for comparing the merits of different delivery mechanisms and determining the mix of mechanisms to use, in order to ensure efficient and cost-effective delivery of federal training. Such guidance could include requesting that agencies consistently utilize Standard Form-182 to document and report training costs associated with the different delivery mechanisms employed.

Agency: Office of Personnel Management
Status: Open

Comments: On July 19, 2017, OPM officials provided a document that summarized efforts that are underway to address the recommendation. According to the document, proposed changes/recommendations to training elements and to the SF-182 were presented to the Chief Learning Officers Council at their monthly meeting on June 19, 2017. According to OPM, its ongoing connection with the CLO Council will include gathering information through focus groups in the Fall of 2017 on agencies' talent development processes, tools, and procedures. Questions on how an agency prioritizes training and tools used to do so will be included. OPM says it will use information gathered to develop criteria for ranking training. OPM provided a sample training summary it prepares for each agency. The summary contains a section on utilization of learning by source type and utilization of learning by delivery method. These sections also contain data that can be used when comparing the merits of different delivery mechanisms and determining future use. On June 11, 2020, OPM told us that program officials are gathering support for its implementation of the recommendation and would soon provide that information to GAO.

Recommendation: To improve federal training investment decision-making processes, the Director of OPM should, in line with statutory and regulatory provisions on maintenance and reporting of training information, work with the CHCO Council to improve the reliability of agency training investment information by: (1) ensuring that agencies are familiar with and follow guidance outlined in OPM's Guide for the Collection and Management of Training Information regarding which training events should be documented as training and reported to OPM; (2) developing policies to strengthen the utilization of Standard Form- 182 to document and report training costs; (3) encouraging agencies through guidance and technical assistance, to develop policies that require consistent reporting of training data to their learning management systems; and (4) encouraging each agency to assess its existing training information system(s) and identify whether it is providing complete and reliable data and, if not, to develop approaches to improve the system(s), in order to do so.

Agency: Office of Personnel Management
Status: Open

Comments: On July 19, 2017 OPM provided a document that summarized efforts that are underway to address the recommendation. According to the document, OPM provided a refresher to the Chief Learning Officers Council on OPM's guidance on Reporting of Training Data. This included reviewing OPM's and agencies' responsibilities for the collection and reporting of data and reviewing the process of how agency data is transmitted to EHRI. Further, OPM says it highlighted the Guide to Human Resources Reporting as the source for the required format for reporting training data to EHRI and provided the Guide for Collection and Management of Training Information. Both guides are also located on OPM's website. OPM's training data report summaries encourage agencies to review their data, to check for submission errors and consistencies in reporting, and to validate that all training events are included. OPM reported that 3 CHCO agencies that did not submit any data for FY 14 submitted data for FY 15 and that EHRI is assisting agencies with data quality transmission and PII issues. On June 11, 2020, OPM told us that program officials are gathering support for its implementation of the recommendation and would soon provide that information to GAO.

Recommendation: To ensure that the performance measures used to evaluate the TAA for Firms program demonstrate program results and to help ensure that EDA can comprehensively evaluate the effectiveness of the program, the Secretary of Commerce should broaden the program's evaluation approach, for instance, by developing additional quantifiable outcome-oriented performance goals and measures for key program areas and conducting further analysis of the data to isolate the impact of the TAA for Firms program from other influences, such as economic trends.

Agency: Department of Commerce
Status: Open
Priority recommendation

Comments: Commerce concurred with our findings and recommendations. As of August 2020, EDA is taking actions to implement our recommendation. In 2012, EDA commissioned a study to inform the development of performance metrics and evaluation methods for the TAA for Firms program. Issued in October 2014, the study provided recommendations to EDA on potential performance metrics, tested the metrics by conducting a statistical analysis of TAA for Firms clients against a control group as well as a survey, and suggested data sources for conducting future evaluations of the TAA for Firms program. According to EDA officials, the study would help provide a foundation for more robust longitudinal performance measurement and enhanced policy analysis, thereby enabling EDA to more comprehensively evaluate the program. These officials noted that, in April 2017, the authors of the study finalized an operational toolkit containing recommended metrics and protocols for data collection and impact evaluation methods. In June 2017, EDA began to pilot test these recommended metrics and evaluation methods to improve program evaluation. EDA formed a working group in December 2017 to further refine the new evaluation system and metrics based on the results of the pilot tests. In May 2018, EDA's working group concluded the refinement of the metrics. In August 2018, EDA continued to collect data on these metrics from its grantees using a pilot survey and refined the metrics as EDA received additional responses and feedback about the pilot survey from grantees. As of August 2020, EDA had developed new data collection instruments that will gather data and information on the TAA for Firms program's outputs and outcomes. EDA intends to use the information collected from the new instruments to conduct program evaluations to better understand how program performance compares with performance goals and the impact of the TAA for Firms program, according to EDA officials. EDA is in the process of developing software to administer the instruments and an internal working group is guiding the implementation of the new data collection system. EDA expects to implement the new system in fiscal year 2020, according to EDA officials. We will continue to monitor Commerce's efforts to implement our recommendation.

Recommendation: To improve the data available to manage and evaluate the TAA for Firms program, the Secretary of Commerce should develop a data system to consistently collect, maintain, and analyze sufficiently reliable and up-to-date data on program operations and participant firms.

Agency: Department of Commerce
Status: Open
Priority recommendation

Comments: Commerce concurred with our findings and recommendations. As of August 2020, EDA is taking actions to implement our recommendation. According to EDA officials, in fiscal year 2017, EDA had developed an improvement plan for its agency-wide data system for collecting data on program operations. As of August 2020, EDA is working with a contractor to implement a new data system to assist in administering and managing the TAA for Firms program. For example, EDA officials expect the new data system to allow TAA Centers to submit participant firms' petitions for certification and adjustment proposals to EDA electronically for review and approval. In addition, these officials noted that the new data system will facilitate EDA's analysis of program performance. EDA anticipates that the new data system for the TAA for Firms program will be operational in fiscal year 2021. We will continue to monitor Commerce's efforts to implement our recommendation.

Recommendation: To determine the viability and cost-effectiveness of reducing transmission times for biometrics data, the Secretary of Defense should direct the Assistant Secretary of Defense for Research and Engineering, through the Under Secretary of Defense for Acquisition, Technology, and Logistics, to comprehensively assess and then address, as appropriate, the factors that contribute to transmission time for biometrics data.

Agency: Department of Defense
Status: Open

Comments: In January 2016, DOD published Directive 8521.01E, Defense Biometrics, which directs the Secretary of the Army to measure the health and performance of the DOD Biometrics Enterprise and generate results for the Biometrics Principal Staff Assistant and the DOD Biometrics Executive Committee. OUSD(AT&L) and Army officials also noted that the department is required to obtain a favorable evaluation from the Director, Operational Test and Evaluation (DOT&E) and the Army Test and Evaluation Command in order to obtain approval for extending the service life of DOD's authoritative biometric system. These officials note that the tests and evaluations required for such approval will include an assessment of transmission and response times against approved requirements for the biometrics system. However, Marine Corps officials highlighted continued biometrics data transmission and synchronization issues with a currently fielded biometric capability that uses some of the same technology we identified issues with during the course of our review. In Summer 2017, DOD informed GAO that the department will soon issue a report to address these issues, so GAO is keeping this recommendation open until such time as DOD's report becomes available for GAO review.

Recommendation: To help ensure that Congress is fully apprised of efforts to resolve a case, Congress may wish to consider amending USERRA to require DOJ and OSC to report on additional time taken to resolve a matter after they decline representation.

Agency: Congress
Status: Open

Comments: As of February 4, 2020, this matter has not yet been considered by Congress.

Recommendation: To help ensure that that servicemembers who file complaints are adequately being informed of their USERRA complaint process rights in accordance with VBIA 2008, Congress may wish to consider amending USERRA to require DOL to report on the extent to which it is notifying complainants of their USERRA complaint process rights within 5 days of filing a complaint.

Agency: Congress
Status: Open

Comments: As of February 4, 2020, this matter has not yet been considered by Congress.

Recommendation: To help ensure that DOJ handles state cases as expediently as private employer cases, Congress may wish to consider amending USERRA to specifically require DOJ to adhere to the same 60-day deadline for state employer matters that they must adhere to for matters against private employers.

Agency: Congress
Status: Open

Comments: As of February 4, 2020, this matter has not yet been considered by Congress.

Recommendation: To help ensure that servicemembers in state employer cases are kept apprised of the status of DOJ's decision making without potentially compromising DOJ's ability to successfully bring suit against state employers, Congress may wish to consider amending USERRA to require DOJ to notify these servicemembers of the status of DOJ's efforts.

Agency: Congress
Status: Open

Comments: As of February 4, 2020, this matter has not yet been considered by Congress.