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Open Recommendations (81 total)

401(k) Plans: Additional Federal Actions Would Help Participants Track and Consolidate Their Retirement Savings

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of Labor should take action to implement the ERISA Advisory Council's 2016 recommendation by issuing a Request for Information to explore how the agency can encourage and support the adoption of secure electronic data standards to facilitate the processing of plan-to-plan rollovers. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

401(k) Plans: Additional Federal Actions Would Help Participants Track and Consolidate Their Retirement Savings

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of Labor should ensure that plan participants, at the time they leave their job and become eligible to take a retirement plan distribution, receive easily-understandable information about all four distribution options and their associated tax consequences. Actions that could be taken include implementing the ERISA Advisory Council's 2015 recommendation, exploring a joint-agency effort with Treasury to update the 402(f) Notice, or other steps that would help plans develop clear and concise communications to inform participants. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Artificial Intelligence: Agencies Have Begun Implementation but Need to Complete Key Requirements

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of Labor should ensure that the department updates its AI use case inventory to include all the required information, at minimum, and takes steps to ensure that the data in the inventory aligns with provided instructions. (Recommendation 22)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Work Arrangements: Improved Collaboration Could Enhance Labor Force Data

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of Labor should ensure that the Commissioner of the Bureau of Labor Statistics leads an effort, in coordination with OMB, including outreach to other relevant statistical agencies and programs, to develop or adapt an interagency collaborative mechanism for improving the measurement of work arrangements, including nonstandard and contract work. (Recommendation 1)
Open
DOL neither agreed nor disagreed with this recommendation. The agency stated that, consistent with our recommendation, it would participate in and lead an effort to bring together relevant federal agencies to improve the measurement of work arrangements, including nonstandard and contract work. We will monitor the progress of these efforts.

Employee Benefits Security Administration: Systematic Process Needed to Better Manage Priorities and Increased Responsibilities

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of Labor should direct EBSA to develop and document a systematic decision-making process for oversight responsibilities and allocating staff in a changing budget environment, which could be incorporated within current planning documents. (Recommendation 1)
Open
EBSA agreed with our assessment of the agency's mission and its budgetary challenges, but disagreed with our conclusion that the agency had not adequately documented its decision-making process. However, EBSA also said it would take further steps to enhance its formal documentation of that process, in accordance with this recommendation. The agency also agreed it could better document the resource planning process to increase transparency-and that it will review its current documentation processes and implement appropriate changes. In addition, EBSA specifically noted that it plans to document the operation, maintenance, and decision-making process associated with employee training in a way that is consistent with our recommendation. We will monitor the agency's progress on these efforts.

Unemployment Insurance: DOL Needs to Further Help States Overcome IT Modernization Challenges

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of the Department of Labor should direct the Office of Unemployment Insurance to measure states' UI IT performance against established standards. (Recommendation 3)
Open
In its comments on our draft report, DOL concurred with our recommendation. As of February 2024, DOL had not yet established IT standards needed to measure states' UI IT performance. We will continue to be in contact with DOL to gain additional information on the actions the department is taking and their progress toward completion.

Unemployment Insurance: DOL Needs to Further Help States Overcome IT Modernization Challenges

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2 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of the Department of Labor should direct the Office of Unemployment Insurance Modernization and the Office of the Chief Information Officer to update their processes for UI pilots to reflect leading practices for pilot design, and implement the leading pilot design practices that address the weaknesses that we identified on its future pilots. (Recommendation 1)
Open
In its comments on our draft report, DOL partially concurred with our recommendation. In October 2023, DOL described pilots that the department was currently engaged in and its design approach for the pilots. In order to close this recommendation, DOL will need to provide documentation that demonstrates the department has updated its processes for the pilots to reflect leading practices, and that it has implemented leading practices to address the weaknesses we identified.
Department of Labor The Secretary of the Department of Labor should direct the Office of Unemployment Insurance to define UI IT modernization standards for states. (Recommendation 2)
Open
In its comments on our draft report, DOL partially concurred with our recommendation. In October 2023, DOL outlined steps it would take to address the recommendation, including establishing IT standards and notifying states. As of February 2024, DOL had not provided documentation that it had completed these steps. We will continue to be in contact with DOL to gain additional information on the actions the department is taking and their progress toward completion.

403(b) Retirement Plans: Department of Labor Should Update Educational Materials to Better Inform Plan Sponsors and Participants

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1 Open Recommendations
Agency Affected Recommendation Status
Department of Labor The Secretary of Labor should update educational materials provided on the agency's 403(b) website to ensure these materials include information relevant to 403(b) plans for plan sponsors and participants. For example, these updates could include adding information with direct references to 403(b) plans to help participants understand their 403(b) plan fees. (Recommendation 1)
Open
DOL neither agreed nor disagreed with this recommendation. The agency noted it has a webpage dedicated to 403(b) plan issues and that the information in its 401(k) publications could be helpful to ERISA-covered 403(b) plan sponsors, participants and other interested parties evaluating fees and expenses in those plans. DOL stated that the agency's rule applicable to participant-directed individual account plans, which requires disclosure of certain plan and investment-related information including a comparative chart or similar format designed to facilitate a comparison of each investment option available under the plan, applies to ERISA-covered 403(b) plans as well as 401(k) plans. The agency added that, in accordance with our recommendation, it would review the relevant publications with an eye to seeing whether the agency should be more specific about referencing 403(b) plans. We will monitor the progress of this effort.