U.S. Department of Labor OIG, Performance Audit of DOL and States’ Efforts to Detect and Recover Improper Payments for programs authorized by the unemployment insurance (UI) provisions of CARES Act and Continued Assistance Act (2021-04-29)
Summary
An April 16, 2021 memorandum from Peter Regis, Managing Partner of Regis & Associates, PC, to Jim Garner, Acting Administrator, stating that the firm has been engaged by the Department of Labor, Office of Inspector General (DOL-OIG) to conduct a performance audit of DOL's and states' efforts to detect and recover improper payments under the unemployment insurance provisions of the CARES Act and the Continued Assistance Act. The audit covers states' PUA and PEUC claims and FPUC payments from March 27, 2020 to April 6, 2021, in Texas, Pennsylvania, Washington, Connecticut, Wisconsin and South Carolina. The memo sets an entrance conference for April 19, 2021 and states that the report is due to DOL-OIG by December 31, 2021. Attachments give the conference agenda and a document request seeking ETA improper-payment reports and risk ratings for the six selected states.
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“U.S. Department of Labor OIG, Performance Audit of DOL and States’ Efforts to Detect and Recover Improper Payments for programs authorized by the unemployment insurance (UI) provisions of CARES Act and Continued Assistance Act (2021-04-29).”
Original at www.oig.dol.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/u-s-department-of-labor-oig-performance-audit-of-dol-and-states-effort-621405485e/
, SHA-256 1a8c588116493fcc1cf2107e4037558501084b79f4eaa2fd3fadd31103936029.Full text
MANAGEMENT CONSULTANTS &
CERTIFIED PUBLIC ACCOUNTANTS
April 16, 2021
MEMORANDUM TO: Jim Garner
Acting Administrator
Office of Unemployment Administration
for Employment and Training Administration
FROM: PETER REGIS
Managing Partner, Regis & Associates, PC
SUBJECT: Performance Audit of DOL and States’ Efforts to Detect
and Recover Improper Payments for programs
authorized by the unemployment insurance (UI)
provisions of CARES Act and Continued Assistance Act.
Please be advised that Regis & Associates, PC has been engaged by the
Department of Labor, Office of Inspector General (DOL-OIG); and is initiating a
performance audit of DOL and States’ efforts to detect and recover Improper
Payments for programs authorized by the unemployment insurance (UI) provisions
of CARES Act and Continued Assistance Act. Our focus will be on states’ PUA
and PEUC claims, and FPUC payments for the period of March 27, 2020 to April
6, 2021. We have contacted your audit liaison to schedule an entrance conference
meeting on Monday, April 19, 2021 at 4:00 PM, to discuss the following:
Objective: To conduct a performance audit of DOL’s and State
Workforce Agencies’ (SWAs’ or States’) efforts to
detect and recover improper payments for programs
authorized by the unemployment insurance (UI)
provisions of the Coronavirus Aid, Relief, and
Economic Security (CARES) Act and the Continued
Assistance for Unemployed Workers Act (Continued
Assistance Act).
Scope: The scope of this audit will cover states’ PUA and
PEUC claims, and FPUC payments for the period of
March 27, 2020 to April 6, 2021. The period of
performance for this contract is April 1, 2021 to
December 31, 2021. The six States included in the
scope of the audit are: Texas; Pennsylvania;
1
Attachment 1:
Entrance Conference Agenda
Washington; Connecticut; Wisconsin; and South
Carolina
Fieldwork Location: Virtual
Mandatory Timeframe: The performance audit report is due to DOL-OIG by
December 31, 2021.
We plan to begin work immediately after our meeting and would appreciate you
notifying appropriate agency officials of our plans. To facilitate the start of the
audit, we have attached an entrance conference agenda (Attachment 1) and an
initial document and data request (Attachment 2); and we would appreciate these
items being provided at the meeting. If you have questions, please contact Peter
Regis, Audit Partner, at (301) 455-4897 or peter.regis@regiscpa.com
cc: Subri Raman, Chief, Division of Performance Management, ETA
Julie Cerruit, ETA Liaison
Greg Hitchcock, ETA Liaison
Dwight Gates, Audit Director, DOL-OIG
Lynda Sanford, Audit Manager, DOL-OIG
Lorenzo Thornton, Audit Liaison, DOL-OIG
1420 K Street, NW Suite 910, Washington, DC 20005; Tel 202-296-7101; Fax: 202-296-7284; www.regiscpa.com
2
Attachment 1:
Performance Audit
Entrance Conference Agenda
April 19, 2021 4:00 PM
Introductions:
Department of Labor, Office of Inspector General (DOL-OIG)
DOL- Employment and Training Administration (ETA)
Regis & Associates, PC
Scope:
Performance audit of DOL’s and State Workforce Agencies’ (SWAs’ or States’)
efforts to detect and recover improper payments for programs authorized by
the unemployment insurance (UI) provisions of the Coronavirus Aid, Relief, and
Economic Security (CARES) Act and the Continued Assistance for
Unemployed Workers Act (Continued Assistance Act).
The scope of this audit will cover states’ PUA and PEUC claims, and FPUC
payments for the period of March 27, 2020 to April 6, 2021.
Six States1 are included in the scope of the audit are:
• Texas
• Pennsylvania
• Washington
• Connecticut
• Wisconsin
• South Carolina
ETA Overview:
Overview of ETA’s program administration and oversight on the UI programs.
Overview of ETA’s improper payments initiatives on prevention, detection,
reduction, and recovery.
ETA’s UI integrity strategic plan; and promotion of UI Integrity Act provisions.
Guidance and technical assistance that ETA has been providing to the states
in combating the improper payments.
ETA’s role in the Payment Integrity Information Act (PIIA) implementation.
Role of Integrity Data Hub and the UI integrity Center data analytics.
Changes implemented by ETA as a result of the CARES Act and the Continued
Assistance Act
ETA’s key IT system used to plan and allocate resources for continuous
operations, providing oversight and preventing fraud.
ETA’s performance measures on the improper payments.
ETA’s reports on UI improper payments to Congress and other stakeholders.
1
Additional states may be added at the DOL-OIG discretion
3
Risk rating of States – High Risk/High Impact (H-R/H-I) States, etc.
States’ practices that have greatest impact on reducing improper payments
In-Scope State Programs:
ETA’s evaluation of the risk associated with improper payments within the
States in-scope.
Risk Rating of in-scope States.
Root causes of improper payments
ETA’s specific efforts, including technical assistance and other support to
prevent, detect, and recover improper payments within the States in-scope.
IT system modernization of the States in-scope
Reports on IP submitted by in-scope States.
States in-scope that have participation agreement for the Integrity Data Hub
(IDH).
States in-scope use of required and recommended tools (for example, SAVE,
NDNH, SIDES, etc.).
States in-scope methods and efforts to recover overpayments.
Other Matters:
Key points of contact
Next steps:
• Detail walkthroughs
• Document Request Lists
4
Attachment 2:
Document and Information Request
Please provide:
Item # Description
1. ETA reports for the selected six states related to improper
payments both public and non-public.
2. Provide organizational structure for administration of the UI
programs; and, specifically, improper payments.
3. Provide status of the implementation of the UI Integrity Strategic
Plan.
4. Provide a risk rating reports for the six selected States.
5
File and source
- File
- 2021-04-29-Performance-Audit-of-DOL-and-States-Efforts-to-Detect-and-Recover-Improper-Payments-for-programs-au.pdf
- Size
- 163,477 bytes
- SHA-256
- 1a8c588116493fcc1cf2107e4037558501084b79f4eaa2fd3fadd31103936029
- Original
- www.oig.dol.gov