Defense Acquisitions
DOD Needs to Establish an Implementing Directive to Publish Information and Take Actions to Improve DOD Information on Critical Acquisition Positions Gao ID: GAO-06-987R September 8, 2006During the course of our work for Congress examining the space acquisition workforce, we learned that the Department of Defense (DOD) may not be periodically publishing a list of designated critical acquisition positions as required by statute. We are bringing this matter to your attention not only because it is a requirement to publish this data, but because having it is critical to effectively managing DOD's current workforce. Operating without this critical information may result in flawed decisions regarding this part of the workforce and may put the organization's ability to sustain its mission or function effectively at risk. The designation "critical acquisition positions," according to the 1990 Defense Acquisition Workforce Improvement Act (DAWIA), refers to certain senior-level military and civilian positions that carry significant responsibility and primarily consist of supervisory, oversight, and management duties in the DOD acquisition system. They are a key factor in ensuring that DOD acquisitions--some of which are very expensive and critical to the success of current combat operations--are effectively managed. In accordance with DAWIA and as was later codified in Title 10 of the United States Code, the Secretary of Defense is required to periodically publish a list of critical acquisition positions. The service Secretaries are responsible to ensure that the individuals who hold these positions have the appropriate skills, experience, and rank to perform their duties effectively. According to a DOD instruction on the reporting of DOD acquisition personnel data, the services are required to provide data on their critical acquisition positions to the Defense Manpower Data Center (DMDC). We sought to determine whether DOD is publishing a list of critical acquisition positions, as required by statute.
It is not clear that the Secretary of Defense has published a list of critical acquisition positions, as he is required to do by Title 10 of the U.S. Code. In reviewing the DAWIA requirement to publish the data, officials in the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics (AT&L) said that the information on critical acquisition positions is publicly available through DMDC; however, they were unsure whether this availability constitutes compliance with the DAWIA requirement to publish the data. We believe that the information has not been published in a more direct method because the Secretary and Deputy Secretary of Defense have not established a specific implementing policy to direct AT&L to create such a list and to publish it. The Director of AT&L Workforce and Career Management stated that he planned to seek a legal interpretation of the DAWIA requirement in order to clarify whether AT&L needed to produce a paper document or DMDC's information on these positions, which is publicly available, would satisfy the requirement to "publish" the information. In any event, however, we found that AT&L and DMDC data on these positions may not be accurate. We asked DMDC for information on critical acquisition positions, but DMDC officials told us that the services, including the Air Force and the civilian personnel data reporting system, were not providing them accurate information. For example, of those personnel who are reported, it is not clear how many work for organizations outside the military services, such as the joint staff or defense agencies. Additionally, when we asked AT&L to list space-related critical acquisition positions, we received two different replies, each containing data that were nearly a year old. According to the AT&L June 2006 Human Capital Strategic Plan, AT&L will be undertaking a number of initiatives, including actions to improve the accuracy of the acquisition personnel data that reside at DMDC. Having accurate personnel information is critical to an organization's analyzing its workforce and determining what actions need to be taken to improve it. Without accurate data on critical acquisition positions, DOD decisions regarding the management of these positions may be flawed. Moreover, without maintaining and periodically publishing a list of critical acquisition positions as well as maintaining a reliable methodology for identifying who occupies these positions, the Secretary of Defense cannot ensure that key positions in critical programs are filled by individuals of sufficient expertise and experience. Further, he cannot be in a sound position to assure Congress that these positions are adequately filled.
RecommendationsOur recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director: Team: Phone:GAO-06-987R, Defense Acquisitions: DOD Needs to Establish an Implementing Directive to Publish Information and Take Actions to Improve DOD Information on Critical Acquisition Positions
This is the accessible text file for GAO report number GAO-06-987R
entitled 'Defense Acquisitions: DOD Needs to Establish an Implementing
Directive to Publish Information and Take Actions to Improve DOD
Information on Critical Acquisition Positions' which was released on
September 8, 2006.
This text file was formatted by the U.S. Government Accountability
Office (GAO) to be accessible to users with visual impairments, as part
of a longer term project to improve GAO products' accessibility. Every
attempt has been made to maintain the structural and data integrity of
the original printed product. Accessibility features, such as text
descriptions of tables, consecutively numbered footnotes placed at the
end of the file, and the text of agency comment letters, are provided
but may not exactly duplicate the presentation or format of the printed
version. The portable document format (PDF) file is an exact electronic
replica of the printed version. We welcome your feedback. Please E-mail
your comments regarding the contents or accessibility features of this
document to Webmaster@gao.gov.
This is a work of the U.S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed
in its entirety without further permission from GAO. Because this work
may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this
material separately.
September 8, 2006:
The Honorable Terry Everett:
Chairman:
Subcommittee on Strategic Forces:
Committee on Armed Services:
House of Representatives:
Subject: Defense Acquisitions: DOD Needs to Establish an Implementing
Directive to Publish Information and Take Actions to Improve DOD
Information on Critical Acquisition Positions:
Dear Mr. Chairman:
During the course of our work for you examining the space acquisition
workforce, we learned that the Department of Defense (DOD) may not be
periodically publishing a list of designated critical acquisition
positions as required by statute. We are bringing this matter to your
attention not only because it is a requirement to publish this data,
but because having it is critical to effectively managing DOD's current
workforce. To ensure that an organization's workforce is able to meet
its mission, the organization must develop strategies to address
management challenges such as any gaps that may exist in personnel
resources. Strategic workforce management entails having accurate and
comprehensive data concerning the workforce,[Footnote 1] and especially
concerning those positions deemed critical to the success of the
organization's mission. Operating without this critical information may
result in flawed decisions regarding this part of the workforce and may
put the organization's ability to sustain its mission or function
effectively at risk.
The designation "critical acquisition positions," according to the 1990
Defense Acquisition Workforce Improvement Act (DAWIA)[Footnote 2],
refers to certain senior-level military and civilian positions that
carry significant responsibility and primarily consist of supervisory,
oversight, and management duties in the DOD acquisition system. They
are a key factor in ensuring that DOD acquisitions--some of which are
very expensive and critical to the success of current combat
operations--are effectively managed. In accordance with DAWIA and as
was later codified in Title 10 of the United States Code, the Secretary
of Defense is required to periodically publish a list of critical
acquisition positions. The service Secretaries are responsible to
ensure that the individuals who hold these positions have the
appropriate skills, experience, and rank to perform their duties
effectively. According to a DOD instruction on the reporting of DOD
acquisition personnel data, the services are required to provide data
on their critical acquisition positions to the Defense Manpower Data
Center (DMDC).[Footnote 3] In the course of conducting a broader review
of the space acquisition workforce at your request, we also we sought
to determine whether DOD is publishing a list of these positions.
We gathered information regarding critical acquisition positions during
an engagement we are conducting for you on the space acquisition
workforce. In response to your June 2005 request, we conducted a review
of the Air Force portion of DOD's space acquisition workforce. One of
our objectives was to determine the extent to which the Air Force's
space acquisition workforce is managed using a strategic workforce
planning approach. While conducting our work, we learned that DOD may
not have published a list of critical acquisition positions, as
required by statute. In order to address the broader issue of whether
the workforce, including that segment that occupies critical
acquisition positions, is managed under a strategic approach, we then
investigated whether DOD had the ability to identify whether these
critical positions were filled. To do this, we interviewed officials in
the Office of the Under Secretary of Defense for Acquisition,
Technology, and Logistics, Alexandria, Virginia; as well as a database
management official at the Defense Manpower Data Center, Monterey,
California. In keeping with the space cadre focus of our original
request, we also discussed the issue with officials in the office of
the Assistant Secretary of the Air Force for Acquisition. We asked each
of these officials for lists of space-related critical acquisition
positions, compared the answers we received to each other and to Air
Force Space Command's space professional database, and examined these
lists for internal consistency. We conducted our review from October
2005 through June 2006 in accordance with generally accepted government
auditing standards. We expect to issue our final report on strategic
management of the space acquisition workforce in September 2006.
Results in Brief:
It is not clear that the Secretary of Defense has published a list of
critical acquisition positions, as he is required to do by Title 10 of
the U.S. Code. In reviewing the DAWIA requirement to publish the data,
officials in the Office of the Under Secretary of Defense for
Acquisition, Technology, and Logistics (AT&L) said that the information
on critical acquisition positions is publicly available through DMDC;
however, they were unsure whether this availability constitutes
compliance with the DAWIA requirement to publish the data. We believe
that the information has not been published in a more direct method
because the Secretary and Deputy Secretary of Defense have not
established a specific implementing policy to direct AT&L to create
such a list and to publish it.[Footnote 4] The Director of AT&L
Workforce and Career Management stated that he planned to seek a legal
interpretation of the DAWIA requirement in order to clarify whether
AT&L needed to produce a paper document or DMDC's information on these
positions, which is publicly available, would satisfy the requirement
to "publish" the information. In any event, however, we found that AT&L
and DMDC data on these positions may not be accurate. We asked DMDC for
information on critical acquisition positions, but DMDC officials told
us that the services, including the Air Force and the civilian
personnel data reporting system, were not providing them accurate
information. For example, of those personnel who are reported, it is
not clear how many work for organizations outside the military
services, such as the joint staff or defense agencies.[Footnote 5]
Additionally, when we asked AT&L to list space-related critical
acquisition positions, we received two different replies, each
containing data that were nearly a year old. According to the AT&L June
2006 Human Capital Strategic Plan, AT&L will be undertaking a number of
initiatives, including actions to improve the accuracy of the
acquisition personnel data that reside at DMDC. Having accurate
personnel information is critical to an organization's analyzing its
workforce and determining what actions need to be taken to improve it.
Without accurate data on critical acquisition positions, DOD decisions
regarding the management of these positions may be flawed. Moreover,
without maintaining and periodically publishing a list of critical
acquisition positions as well as maintaining a reliable methodology for
identifying who occupies these positions, the Secretary of Defense
cannot ensure that key positions in critical programs are filled by
individuals of sufficient expertise and experience. Further, he cannot
be in a sound position to assure Congress that these positions are
adequately filled.
We are making recommendations to publish DOD critical acquisition
position data as required by statute, and to improve the accuracy of
that data. In its comments, AT&L concurred with our recommendations.
AT&L comments are reprinted in enclosure I.
Background:
Congress enacted the Defense Acquisition Workforce Improvement Act
(DAWIA) as part of the fiscal 1991 Defense Authorization Act. DAWIA
directed the Secretary of Defense to establish policies and procedures
for the effective management of people serving in DOD acquisition
positions[Footnote 6] and delegated implementation of the law to the
Under Secretary for Acquisition, Technology, and Logistics.[Footnote 7]
DAWIA also required that the Secretary of Defense designate which
positions are critical acquisition positions, and periodically publish
a list of the positions so designated.[Footnote 8]
Within DOD, the Office of the Under Secretary for Acquisition,
Technology, and Logistics office (AT&L) is responsible for establishing
DOD acquisition workforce policies and procedures and for maintaining a
suitable management information system to ensure that the DOD
acquisition workforce is effectively managed. To better manage the
acquisition workforce, AT&L issued its Human Capital Strategic Plan in
June 2006, which includes initiatives to improve its data management of
the DOD acquisition workforce. The Defense Manpower Data Center (DMDC),
also within DOD, is responsible for maintaining all automated records
on DOD personnel, and it provides personnel, manpower, training, and
financial data to the Office of the Secretary of Defense, including
AT&L. DOD components report information on critical acquisition
positions to DMDC, but AT&L can also request this information from the
DOD components.
DOD Instruction 5000.55 implements a DOD-wide capability for
monitoring, reporting, and tracking the composition, education,
experience, and training status of the acquisition workforce. It also
establishes uniform procedures for submitting manpower, personnel, and
assignment information on selected civilian and military positions and
personnel of DOD. DMDC is designated as the custodian of all the
information to be collected according to the instruction. DOD
components are required to establish and maintain accurate management
information systems to record this data, and they are required to
submit records on acquisition positions and acquisition personnel to
DMDC.
AT&L's June 2006 Human Capital Strategic Plan contains initiatives to
improve its ability to analyze its workforce. Goal 3 of the plan
includes such efforts as reviewing data requirements and reviewing the
accuracy of data submitted to DMDC.
It Is Not Clear That DOD Has Published Critical Acquisition Positions:
It is not clear that DOD has published a list of its critical
acquisition positions, though it is required to do so by Title 10 of
the U.S. Code. DMDC officials told us that the information is available
to the public through DMDC; however they indicated that they were not
sure that this method meets the requirements of the statute. We believe
that the information has not been published in a more direct way
because DOD has not established a specific implementing policy to
direct AT&L to create such a list and to publish it. For lack of an
implementing policy, AT&L is still trying to determine what the
requirement to publish entails.
DMDC receives, from the services and other DOD activities such as
defense agencies, position information that includes critical
acquisition position designators. But DMDC and AT&L told us they
believe that information is inaccurate. Officials told us that the
services report only data about filled civilian positions to DMDC, and
that DMDC receives no information to indicate how many total positions,
including vacant ones, exist. DMDC also expressed uncertainty regarding
how many of the personnel who work for defense agencies are reported.
Thus, not only is the data list not published, but the information that
is available regarding critical acquisition positions may not be
accurate.
In the course of our review of the space acquisition workforce, we
asked AT&L to list space-related critical acquisition positions, and
received two different replies, each containing nearly year-old data.
We noted inconsistencies between the two AT&L lists. The Air Force
portion of the first submission contained only data bearing Space
Command Unit Identifier Codes, meaning that critical acquisition
positions at the National Reconnaissance Office and other offices or
commands were omitted. Although the second submission, which AT&L
provided two weeks later, contained more unit identifier codes, we
noted that the total number and the number of Air Force positions both
declined. Therefore, it appears that the data that is available is not
a full, internally consistent, or accurate listing of space-related
critical acquisition positions.
We also asked the Office of the Assistant Secretary of the Air Force
for Acquisition for information on Air Force critical acquisition
positions because of our work for you on the space acquisition
workforce. That office was able to identify critical acquisition
positions within U.S. Air Force Space Command, but we believe the list
was incomplete because Space Command's space professional database
shows that there are also senior-level space-related acquisition
positions in other Air Force major commands. Since the Under Secretary
of Defense for AT&L relies on inputs from the services and DMDC to
compile his list, gaps in Air Force data would likely indicate the
existence of gaps in departmentwide knowledge.
Without maintaining and periodically publishing a list of critical
acquisition positions and assuring a reliable methodology for
identifying who occupies them, the Secretary of Defense cannot ensure
that key positions in critical programs are filled by individuals of
sufficient expertise and experience, or be in a sound position to
assure Congress that these positions are adequately filled.
In June 2006, AT&L issued its Human Capital Strategic Plan, which
includes a number of initiatives to improve its ability to analyze and
manage the DOD acquisition workforce. The Director of AT&L Workforce
and Career Management stated that the goal is to have the data reported
as required by DOD 5000.55 and to move to a Web-based system to improve
transparency of the DOD acquisition workforce. The Director stated that
DOD components have raised concerns about the quality of the data that
resides with DMDC. The Director also stated that in a few months AT&L
will be issuing a report on the status of its human capital plan
initiatives.
Recommendations:
In order to ensure that DOD has data needed to effectively plan and
manage its space acquisition workforce, we recommend that the Secretary
of Defense take the following two actions:
* Direct that the Under Secretary of Defense for AT&L issue
implementing instructions that establish the method by which
information on critical acquisition positions will be published.
* Direct the Under Secretary of Defense for AT&L, as part of its Human
Capital Strategic Plan, to include in its initiatives a review of the
accuracy of critical acquisition position data that DOD components
submit to DMDC; identify the causes of any inaccuracies; and take
corrective actions to ensure that this information is accurate and
complete.
Agency Comments:
In written comments on a draft of this report, DOD concurred with our
recommendations. These comments are reprinted in enclosure I.
We are sending copies of this report to the Secretaries of Defense, the
Army, the Navy, and the Air Force; the Commandant of the Marine Corps,
and the DOD components. Copies will be made available to others upon
request. In addition, this report will be available at no charge on our
Web site at [Hyperlink, http://www.gao.gov].
Major contributors to this report are Lorelei St. James, Assistant
Director; Gabrielle Carrington, Linda Keefer, Julie Matta, Sally
Newman, and Cheryl Weissman. Contact points for our Offices of
Congressional Relations and Public Affairs may be found on the last
page of this report. If you or your staff have any questions about this
report, please contact me at 202-512-5431 or DAgostinoD@gao.gov.
Sincerely yours,
Signed by:
Davi M. D'Agostino:
Director, Defense Capabilities and Management:
Signed by:
Cristina Chaplain:
Director, Acquisition Sourcing and Management:
[End of Section]
Enclosure I: Comments from the Department of Defense:
Department Of Defense:
Defense Acquisition University:
Office Of The President:
9820 Belvoir Road:
Fort Belvoir, Va 22060-5565:
August 31, 2006:
Ms. Davi M. D'Agostino:
Director, Defense Capabilities and Management:
U.S. Government Accountability Office:
441 G. Street, NW:
Washington, DC 20548:
Dear Ms. D'Agostino:
This is the Department of Defense (DoD) response to the GAO draft
report, "Defense Acquisitions: DoD Needs to Establish an Implementing
Directive to Publish Information and Take Actions to Improve DoD
Information on Critical Acquisition Positions," dated August 7, 2006
(GAO Code 350898/GAO-987R):
The Department concurs with each recommendation as outlined in the
enclosed. The Department appreciates the opportunity to comment on the
draft report.
Sincerely,
Signed by:
Frank J. Anderson, Jr.
President:
Enclosure:
As stated:
GAO Draft Report-Dated August 7, 2006 GAO Code 350898/GAO-06-987R:
"Defense Acquisitions: DoD Needs to Establish an Implementing Directive
to Publish Information and Take Actions to Improve DoD Information on
Critical Acquisition Positions"
Department Of Defense Comments To The Recommendations:
Recommendation 1: The GAO recommended that the Secretary of Defense
direct the Under Secretary of Defense for Acquisition, Technology and
Logistics to issue implementing instructions that establish the method
by which information of critical acquisition positions will be
published. (page 7/GAO Draft Report):
DOD Response: Concur. We are establishing a publishing method which
will require posting the list of Critical Acquisition Positions through
the AT&L workforce web site. We intend the first posting to be
completed by 31 December 2006.
Recommendation 2: The GAO recommended that the Secretary of Defense
direct the Under Secretary of Defense for Acquisition, Technology and
Logistics, as part of its Human Capital Strategic Plan, to include in
its initiatives a review of the accuracy of critical acquisition
position data that DoD components submit to DMDC; identify the causes
of any inaccuracies; and take corrective actions to ensure that this
information is accurate and complete. (page 8/GAO Draft Report):
DOD Response: Concur. We note that the AT&L Human Capital Strategic
Plan issued in June 2006, as referenced by the GAO, includes Goal #3 -
"Establish a comprehensive, data-driven workforce analysis and decision-
making capability." The supporting initiatives include improving data
management, quality, analysis, and transparency. These initiatives will
address Critical Acquisition Positions. Our plan calls for updated
policy and guidance on workforce data by November 2006.
[End of Section]
(350898):
FOOTNOTES
[1] GAO, Social Security Administration: Strategic Workforce Planning
Needed to Address Human Capital Challenges Facing the Disability
Determination Services, GAO-04-121 (Washington, D.C.: Jan. 27, 2004).
[2] National Defense Authorization Act for Fiscal Year 1991, Pub. L.
No. 101-510, §§ 1201-1211 (1990) (codified as amended at 10 U.S.C. §§
1701-1764). In 1990, Congress passed DAWIA in order to enhance the
quality and professionalism of the defense acquisition workforce. DAWIA
specifies the minimum qualification standards of those personnel
performing functions integral to the acquisition process, formalizes
career paths for personnel who wish to pursue careers in acquisition,
and defines critical or senior management acquisition positions.
[3] DODI 5000.55 § 5.3.3.
[4] AT&L officials expressed uncertainty about what the requirement to
publish entails. An implementing policy might include such a
definition.
[5] Defense agencies are not service-specific and typically conduct
operations that are DOD-wide, such as the Defense Logistics Agency,
which provides certain DOD-wide logistics operations.
[6] 10 U.S.C. §1701.
[7] 10 U.S.C. §1702.
[8] 10 U.S.C. §1733 (b).
GAO's Mission:
The Government Accountability Office, the investigative arm of
Congress, exists to support Congress in meeting its constitutional
responsibilities and to help improve the performance and accountability
of the federal government for the American people. GAO examines the use
of public funds; evaluates federal programs and policies; and provides
analyses, recommendations, and other assistance to help Congress make
informed oversight, policy, and funding decisions. GAO's commitment to
good government is reflected in its core values of accountability,
integrity, and reliability.
Obtaining Copies of GAO Reports and Testimony:
The fastest and easiest way to obtain copies of GAO documents at no
cost is through the Internet. GAO's Web site ( www.gao.gov ) contains
abstracts and full-text files of current reports and testimony and an
expanding archive of older products. The Web site features a search
engine to help you locate documents using key words and phrases. You
can print these documents in their entirety, including charts and other
graphics.
Each day, GAO issues a list of newly released reports, testimony, and
correspondence. GAO posts this list, known as "Today's Reports," on its
Web site daily. The list contains links to the full-text document
files. To have GAO e-mail this list to you every afternoon, go to
www.gao.gov and select "Subscribe to e-mail alerts" under the "Order
GAO Products" heading.
Order by Mail or Phone:
The first copy of each printed report is free. Additional copies are $2
each. A check or money order should be made out to the Superintendent
of Documents. GAO also accepts VISA and Mastercard. Orders for 100 or
more copies mailed to a single address are discounted 25 percent.
Orders should be sent to:
U.S. Government Accountability Office
441 G Street NW, Room LM
Washington, D.C. 20548:
To order by Phone:
Voice: (202) 512-6000:
TDD: (202) 512-2537:
Fax: (202) 512-6061:
To Report Fraud, Waste, and Abuse in Federal Programs:
Contact:
Web site: www.gao.gov/fraudnet/fraudnet.htm
E-mail: fraudnet@gao.gov
Automated answering system: (800) 424-5454 or (202) 512-7470:
Public Affairs:
Jeff Nelligan, managing director,
NelliganJ@gao.gov
(202) 512-4800
U.S. Government Accountability Office,
441 G Street NW, Room 7149
Washington, D.C. 20548:
