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Open Recommendations

Equal Employment Opportunity Commission: Improved Oversight Processes Needed to Help Agencies Address Program Deficiencies

GAO-24-105874
Jun 13, 2024
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4 Open Recommendations
Agency Affected Recommendation Status
Equal Employment Opportunity Commission The Chair of the EEOC should ensure that the Office of Federal Operations improves or automates existing tracking processes for monitoring agencies' timely completion of Management Directive 715 reports. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Equal Employment Opportunity Commission The Chair of the EEOC should ensure that the Office of Federal Operations enhances its ability to compile and analyze information gathered from its Technical Assistance reviews. For example, EEOC could automate existing features to analyze deficiencies contained in agency Management Directive 715 reports to help it identify EEO trends. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Equal Employment Opportunity Commission The Chair of the EEOC should ensure that the Office of Federal Operations requires staff to record the information obtained through Technical Assistance reviews, including all deficiencies, using the same tracking tool consistently. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Equal Employment Opportunity Commission The Chair of the EEOC should ensure that the Office of Federal Operations develops and implements criteria and guidelines for invoking its public notification procedures related to agency noncompliance as stated in Management Directive 110. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Military Justice: Increased Oversight, Data Collection, and Analysis Could Aid Assessment of Racial Disparities

GAO-24-106386
May 23, 2024
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6 Open Recommendations
Agency Affected Recommendation Status
Department of the Army The Secretary of the Army should develop and implement a process to centrally collect and maintain accessible data—including race and ethnicity data—on administrative sanctions, all investigations including commander-directed investigations, appeals, and service members selected to serve on court-martial panels, to facilitate centralized visibility over, and, as necessary, the assessment and reporting of these data. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of the Navy The Secretary of the Navy should develop and implement a process to centrally collect and maintain accessible data—including race and ethnicity data—on administrative sanctions, all investigations including commander-directed investigations, appeals, and service members selected to serve on court-martial panels to facilitate centralized visibility over, and, as necessary, the assessment and reporting of these data. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of the Air Force The Secretary of the Air Force should develop and implement a process to centrally collect and maintain accessible data—including race and ethnicity data—on all investigations including commander-directed investigations, appeals, and service members selected to serve on court-martial panels to facilitate centralized visibility over, and, as necessary, the assessment and reporting of these data. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Defense The Secretary of Defense should ensure the Under Secretary of Defense for Personnel and Readiness designates a department-level office as the oversight entity responsible for coordinating the military departments' assessments of racial and ethnic disparities in military justice and discipline processes. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Defense The Secretary of Defense should ensure the department-level office designated to oversee coordination of the military departments' racial disparity assessments coordinates with the military departments to establish standard terminology and reporting categories, analyses, and reporting format and content to be used in future assessments of racial disparities in military justice and discipline processes. (Recommendation 5)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Defense The Secretary of Defense should ensure that a department-level office is designated to coordinate with the military departments to comprehensively assess the military justice and discipline process to identify all areas where racial and ethnic disparities may exist, including in the selection of court-martial panels and sentencing, and the corresponding analyses to be conducted. (Recommendation 6)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Tax Enforcement: IRS Audit Selection Processes for Returns Claiming Refundable Credits Could Better Address Equity

GAO-24-106126
May 21, 2024
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6 Open Recommendations
Agency Affected Recommendation Status
Internal Revenue Service The Commissioner of Internal Revenue should direct W&I officials to calculate multiple no-change rates that include (1) the overall no-change rate, (2) the no-change rate excluding default audits, and (3) the no-change rate excluding taxpayer nonresponse default audits to provide insights into potential equity disparities. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Internal Revenue Service The Commissioner of Internal Revenue should direct W&I officials to develop guidance for considering audit equity research in developing the audit workplan. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Internal Revenue Service The Commissioner of Internal Revenue should direct W&I officials to establish a systematic process for ensuring its reviews of audit selection algorithms comprehensively consider data inputs, assumptions, and other model components. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Internal Revenue Service The Commissioner of Internal Revenue should direct W&I officials, as part of W&I's systematic review of its automated audit selection process, to develop clear guidance for assessing the DDB system's potential to contain algorithmic biases by demographic characteristics. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Internal Revenue Service The Commissioner of Internal Revenue should direct W&I officials to use additional performance measures, such as revenue protected, to assess the effectiveness of its automated audit selection system for predicting risk of noncompliance. (Recommendation 5)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Internal Revenue Service The Commissioner of Internal Revenue should direct W&I officials to assess the reliability of the Kidlink and FCR databases used in audit selection algorithms and document the results of its assessment. If appropriate, W&I should then incorporate the results of its assessment into its audit selection algorithms. (Recommendation 6)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

College Athletics: Education Should Improve Its Title IX Enforcement Efforts

GAO-24-105994
May 09, 2024
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3 Open Recommendations
Agency Affected Recommendation Status
Department of Education The Secretary of Education should ensure that the Office for Civil Rights regularly analyzes available Equity in Athletics Disclosure Act data and expands its use of the data for oversight activities, consistent with available resources. (Recommendation 1)
Open
Education agreed with this recommendation and stated that it will continue reviewing EADA data in support of enforcement activities, as appropriate, dependent on available staff and other resources. Education provided an example in which it recently relied on EADA data to resolve a case. We agree that EADA data can be helpful in resolving specific cases. However, the intent of our recommendation is for Education to periodically analyze EADA data for more proactive and broader oversight activities, such as the examples we provide in our report. We continue to believe that Education should regularly analyze the EADA data and expand its use for oversight activities, consistent with available resources.
Department of Education The Secretary of Education should ensure that the Office for Civil Rights establishes agency timeliness goals for reviewing monitoring reports and for responding to colleges during monitoring of Title IX athletics cases. (Recommendation 2)
Open
Education neither agreed nor disagreed with this recommendation, stating that it has already implemented it. Specifically, Education cited a provision in its performance plans for investigative staff that staff should routinely determine compliance with respect to submitted monitoring reports within 90 days of receipt, on average. We acknowledge Education's performance standards for investigative staff, but these are not the same as having overall agency timeliness goals and performance. To implement this recommendation, Education should establish overall agency timeliness goals for reviewing monitoring reports and for responding to colleges during monitoring of Title IX athletics cases. Individual staff performance results do not provide an overall picture of agency timeliness.
Department of Education The Secretary of Education should ensure that the Office for Civil Rights requires staff to consistently record due dates in the case management system for responding to colleges' monitoring reports in Title IX athletics cases. Management should use information from the case management system to evaluate response times against established timeliness goals. (Recommendation 3)
Open
Education agreed with this recommendation and said that it would routinely record due dates in the case management system for responding to colleges' Title IX athletics monitoring reports. In addition, Education stated it will also periodically review information from the case management system to evaluate response time frames, as appropriate. We will monitor the progress of these efforts.