DOD Civilian Personnel
Competency Gap Analyses and Other Actions Needed to Enhance DOD's Strategic Workforce Plans
Gao ID: GAO-11-827T July 14, 2011
In Process
In DOD's 2009 overall civilian workforce plan, GAO found that the department had assessed the critical skills of its existing civilian workforce. Specifically, DOD's plan discussed 22 mission-critical occupations that, according to DOD, represented the results of the department's assessment of critical skills. However, GAO found that DOD had not completed (1) an assessment of gaps in the existing or projected overall civilian workforce, (2) a plan of action identifying recruiting and retention goals and funding, and (3) an assessment of its progress in implementing the legislative requirement for the plan using results-oriented performance measures. For example, DOD's plan only discussed competency gap analyses for 3 of its 22 mission-critical occupations. Moreover, while DOD's plan identified recruiting and retention goals, GAO found that some of these goals were not based on competency gap analyses and the plan lacked information regarding needed funding to achieve these goals. Additionally, GAO found that although other DOD documents--for example, DOD's Civilian Human Capital Management Report for Fiscal Year 2009--provided some information on performance measures, DOD's plan did not report on the progress the department made on specific goals using results-oriented performance metrics. GAO found that DOD's senior leader workforce plan included a plan of action to address gaps in critical skills and competencies that included changes in the number of personnel authorized in categories of the senior leader workforce. Specifically, DOD's plan identified changes needed in the number of personnel authorized and, at the time of GAO's review, stated that it expected executive requirements to increase by more than 400 positions by fiscal year 2015. However, GAO found that while DOD had conducted a baseline review to assess and validate its civilian senior leader requirements, it did not document its analysis or summarize the results of its review--resulting in a recommendation that DOD do so in future reviews. DOD generally concurred with this recommendation. GAO will be evaluating DOD's progress in implementing the recommendation, especially in light of the impact of the Secretary of Defense's efficiency initiatives that propose reductions in the number of senior leaders. GAO also found that the department had not assessed the critical skills for its existing and future senior leader workforce. While the plan notes the need for skills in areas such as leadership and management, it does not provide details for these skills and does not identify skills related to senior leader or scientific and professional positions. With regard to DOD's acquisition workforce plan, GAO found that DOD identified the need to increase the size of its acquisition workforce (totaling about 118,000 civilians, as of September 2009) by 20,000 personnel by fiscal year 2015. To do so, DOD outlined its strategies for growing the acquisition workforce through retention, new hiring, and in-sourcing, which involves the conversion of functions currently performed by contractor personnel to performance by federal civilians. DOD, however, had not (1) completed assessments of the skills and competencies of its acquisition workforce; (2) included in its plan an assessment of what the appropriate mix of its total acquisition workforce should be; and (3) at the time of our report, included information on the funding needed to achieve DOD's human capital initiatives for the acquisition workforce.
GAO-11-827T, DOD Civilian Personnel: Competency Gap Analyses and Other Actions Needed to Enhance DOD's Strategic Workforce Plans
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United States Government Accountability Office:
GAO:
Testimony:
Before the Committee on Armed Services, House of Representatives:
For Release on Delivery:
Expected at 1:00 p.m. EDT:
Thursday, July 14, 2011:
DOD Civilian Personnel:
Competency Gap Analyses and Other Actions Needed to Enhance DOD's
Strategic Workforce Plans:
Statement of Brenda S. Farrell, Director:
Defense Capabilities and Management:
and:
John P. Hutton, Director:
Acquisition and Sourcing Management:
GAO-11-827T:
GAO Highlights:
Highlights of GAO-11-827T, a testimony before the Committee on Armed
Services, House of Representatives.
Why GAO Did This Study:
Since 2001, strategic human capital management for federal agencies
has been on GAO‘s high-risk list. Although some progress has been
made, GAO reported in February 2011 that the area remains on the high-
risk list because of the need for agencies, including DOD, to address
current and emerging skill gaps that are undermining their ability to
fulfill their missions. The Department of Defense (DOD) had about
718,000 civilians as of March 2010, which includes its senior leader
and acquisition workforces. DOD has noted that approximately 30
percent of its civilian workforce”and 90 percent of its senior leader
workforce”will be eligible to retire by March 31, 2015.
The National Defense Authorization Act for Fiscal Year 2010 required
(1) DOD to report on plans for its overall civilian, senior leader,
and acquisition workforces for 2009 through 2012; (2) DOD to address a
series of legislative requirements for each workforce; and (3) GAO to
review and report on these plans. DOD has informed GAO that it expects
to issue its next set of plans in September 2011. In anticipation of
these plans, it is helpful to understand key issues identified during
GAO‘s review of DOD‘s 2009 plans.
This statement discusses DOD‘s progress in addressing selected
legislative requirements, especially as they relate to the human
capital management challenges included in GAO‘s 2011 high-risk report
and the federal government‘s current budget environment. Specifically,
this statement summarizes GAO‘s observations on DOD‘s plans for its
(1) overall civilian, (2) senior leader, and (3) acquisition
workforces.
What GAO Found:
In DOD‘s 2009 overall civilian workforce plan, GAO found that the
department had assessed the critical skills of its existing civilian
workforce. Specifically, DOD‘s plan discussed 22 mission-critical
occupations that, according to DOD, represented the results of the
department‘s assessment of critical skills. However, GAO found that
DOD had not completed (1) an assessment of gaps in the existing or
projected overall civilian workforce, (2) a plan of action identifying
recruiting and retention goals and funding, and (3) an assessment of
its progress in implementing the legislative requirement for the plan
using results-oriented performance measures. For example, DOD‘s plan
only discussed competency gap analyses for 3 of its 22 mission-
critical occupations. Moreover, while DOD‘s plan identified recruiting
and retention goals, GAO found that some of these goals were not based
on competency gap analyses and the plan lacked information regarding
needed funding to achieve these goals. Additionally, GAO found that
although other DOD documents”for example, DOD‘s Civilian Human Capital
Management Report for Fiscal Year 2009”provided some information on
performance measures, DOD‘s plan did not report on the progress the
department made on specific goals using results-oriented performance
metrics.
GAO found that DOD‘s senior leader workforce plan included a plan of
action to address gaps in critical skills and competencies that
included changes in the number of personnel authorized in categories
of the senior leader workforce. Specifically, DOD‘s plan identified
changes needed in the number of personnel authorized and, at the time
of GAO‘s review, stated that it expected executive requirements to
increase by more than 400 positions by fiscal year 2015. However, GAO
found that while DOD had conducted a baseline review to assess and
validate its civilian senior leader requirements, it did not document
its analysis or summarize the results of its review”resulting in a
recommendation that DOD do so in future reviews. DOD generally
concurred with this recommendation. GAO will be evaluating DOD‘s
progress in implementing the recommendation, especially in light of
the impact of the Secretary of Defense‘s efficiency initiatives that
propose reductions in the number of senior leaders. GAO also found
that the department had not assessed the critical skills for its
existing and future senior leader workforce. While the plan notes the
need for skills in areas such as leadership and management, it does
not provide details for these skills and does not identify skills
related to senior leader or scientific and professional positions.
With regard to DOD‘s acquisition workforce plan, GAO found that DOD
identified the need to increase the size of its acquisition workforce
(totaling about 118,000 civilians, as of September 2009) by 20,000
personnel by fiscal year 2015. To do so, DOD outlined its strategies
for growing the acquisition workforce through retention, new hiring,
and in-sourcing, which involves the conversion of functions currently
performed by contractor personnel to performance by federal civilians.
DOD, however, had not (1) completed assessments of the skills and
competencies of its acquisition workforce; (2) included in its plan an
assessment of what the appropriate mix of its total acquisition
workforce should be; and (3) at the time of our report, included
information on the funding needed to achieve DOD‘s human capital
initiatives for the acquisition workforce.
View [hyperlink, http://www.gao.gov/products/GAO-11-827T] or key
components. For more information, contact Brenda S. Farrell at (202)
512-3604 or farrellb@gao.gov or John P. Hutton at (202) 512-7773 or
huttonj@gao.gov.
[End of section]
Chairman McKeon, Ranking Member Smith, and Members of the Committee:
Thank you for providing us the opportunity to be here today to discuss
our issued work on the Department of Defense's (DOD) strategic human
capital management of its large, diverse civilian workforce. This
workforce performs a wide variety of duties and responsibilities,
including mission-essential combat support functions, such as
logistics support and maintenance, that traditionally have been
performed by the uniformed military. A key component of this workforce
also provides deployable civilian experts to Afghanistan, Iraq, and
other theaters of operation. We initially included strategic human
capital management for all federal civilians on our high-risk list in
2001[Footnote 1] because of the long-standing lack of leadership in
this area. While significant steps have been taken, the area remains
high risk governmentwide[Footnote 2] because of a need to develop and
implement plans to address current and emerging critical skill gaps
that are undermining agencies' abilities to meet their vital missions.
The federal government's current budget and long-term fiscal pressures
underscore the importance of a strategic and efficient approach to
human capital management--an approach that would help ensure the
recruitment and retention of individuals with the needed critical
skills. DOD's civilian workforce is no exception. According to the
department, as of March 2010, DOD's total civilian workforce included
about 718,000 full-time civilians. Approximately 30 percent of DOD's
civilian workforce--and 90 percent of its senior leaders--will be
eligible to retire by March 31, 2015, according to DOD.
Over the years, Congress has required DOD to conduct human capital
planning efforts for its overall civilian, senior leader, and
acquisition workforces[Footnote 3] and provided various tools to help
manage the department's use of contractors, which augments DOD's total
civilian workforce.[Footnote 4] While the specific requirements vary
for each category, recent legislation--the National Defense
Authorization Act (NDAA) for Fiscal Year 2010[Footnote 5]--required
DOD to assess the skills, competencies, and gaps; projected workforce
trends; and needed funding, among other things (see app. I for the
specific requirements set forth in the act). The legislation also
required us to assess and report on DOD's workforce plans. To date, we
have issued three reports in response to prior legislation.[Footnote
6] Our review of DOD's 2009 workforce plans found that some progress
has been made by specifically addressing more than one-third of the
legislative requirements. Most of the remaining requirements, however,
were partially addressed--including key requirements such as
conducting competency gap analyses, identifying funding needs, and
assessing progress. Moreover, we have emphasized in our work that
effective human capital planning can enable DOD to have the right
people, with the right skills, doing the right jobs, in the right
places, at the right time by making flexible use of its internal
workforce and appropriately using contractors.
Furthermore, the NDAA for Fiscal Year 2010[Footnote 7] required us to
review and report on DOD's workforce plans for 2009 through 2012 no
later than 180 days after DOD's submission of the plans to the
congressional defense committees. DOD has informed us that it expects
to issue its next set of workforce plans in September 2011. In
anticipation of our review of the department's next strategic
workforce plan, it is helpful to understand key issues identified
during our review of DOD's 2009 plans. In today's statement, we will
discuss the department's progress in addressing selected legislative
requirements, especially as they relate to human capital management
challenges included in our most recent high-risk report and the
federal government's current budget and long-term fiscal pressures.
Specifically, we will summarize our observations on DOD's plans for
its (1) overall civilian workforce, (2) senior leader workforce, and
(3) acquisition workforce.
For this testimony, we primarily relied on our September 2010 review
of DOD's 2009 workforce plans.[Footnote 8] For that report, we
analyzed the plans and compared them with the requirements in section
1108(a) of the NDAA for Fiscal Year 2010 for DOD to submit a strategic
workforce plan. Specifically, we analyzed DOD's 2009 Civilian Human
Capital Strategic Workforce Plan, key sections of DOD's Acquisition
Workforce Improvement Strategy,[Footnote 9] and other relevant
information, including a supplemental draft report on funding of the
acquisition workforce and DOD's Civilian Human Capital Management
Report for Fiscal Year 2009 that was submitted to the Office of
Personnel Management. We considered a requirement to be "addressed" if
DOD demonstrated, through evidence, that it discussed all aspects of
the legislative requirement in its workforce plan. In several
instances, "any" was a key word in the legislative requirement, and we
considered those requirements addressed if DOD discussed one or more
actions that demonstrated the requirements. Additionally, we
considered the requirement to be "partially addressed" if DOD provided
evidence that it discussed some aspects of the legislative
requirement, and "not addressed" if DOD did not discuss aspects of the
requirements in the workforce plan. Furthermore, we took steps to
ensure that the data upon which DOD based its workforce assessments
and gap analyses were sufficiently reliable for the purposes of our
review.[Footnote 10] In addition, we interviewed relevant officials in
the Office of the Under Secretary of Defense for Personnel and
Readiness' Office of Civilian Personnel Policy and the Civilian
Personnel Management Service and the Office of the Under Secretary of
Defense for Acquisition, Technology and Logistics. We also interviewed
officials from the Office of the Secretary of Defense's functional
communities--which include human resources, intelligence, and
financial management--the Defense Acquisition University, and Defense
Procurement and Acquisition Policy, as well as senior staff in
acquisition career functional communities for contracting and
production, quality, and manufacturing. Finally, we reviewed prior GAO
reports assessing DOD's human capital strategic planning efforts.
We conducted the work supporting our September 2010 report from
December 2009 through September 2010 in accordance with generally
accepted government auditing standards. Those standards require that
we plan and perform the audit to obtain sufficient, appropriate
evidence to provide a reasonable basis for our findings and
conclusions based on our audit objectives. We believe that the
evidence obtained provided a reasonable basis for our findings and
conclusions based on our audit objectives.
DOD Addressed Some Requirements for Its Overall Civilian Workforce,
but Partially Addressed Those Related to Competency Gaps, Recruiting
and Retention Goals, and Performance Measures:
In DOD's 2009 overall civilian workforce plan, GAO found that the
department had addressed some legislative requirements, including
assessing the critical skills of its existing civilian workforce.
Specifically, the department's plan discusses 22 mission-critical
occupations that, according to DOD ,represented the results of its
assessment of critical skills.[Footnote 11] According to DOD, mission-
critical occupations are those occupations that are key to current and
future mission requirements, as well as those that present a challenge
regarding recruitment and retention rates and for which succession
planning is needed. However, during our prior review of DOD's 2008
plan,[Footnote 12] DOD officials told us that enterprisewide mission-
critical occupations referred to both critical skills and critical
competencies, and at that time, the department was working on guidance
to define those terms and various other workforce planning terms.
Nonetheless, at the time of our review of DOD's 2009 plan, the
guidance had not yet been completed and issued.
Key legislative requirements that DOD's plan partially addressed
included (1) an assessment of gaps in the existing or projected
overall civilian workforce;[Footnote 13] (2) a plan of action
identifying specific recruiting and retention goals and funding--
especially in areas identified as critical skills and competencies;
and (3) an assessment of the department's progress in implementing the
workforce plan, using results-oriented performance measures. Although
some aspects of the legislative requirements were addressed, DOD still
has significant work to do to fully meet the requirements. For
example, while the plan included gap analyses related to the number of
personnel needed for some of the 22 mission-critical occupations, the
department had only discussed competency gap analyses for 3 of its 22
mission-critical occupations--language, logistics management, and
information technology management. As we have previously reported, it
is essential that gap analyses for strategic workforce planning
include an evaluation of gaps--not only in the numbers of personnel
needed, but also in the critical skills and competencies needed by the
workforce.
Furthermore, we found that DOD's overall civilian workforce plan
identified recruiting and retention goals for each mission-critical
occupation--that is, the number of positions needed. However, we found
that most of these recruiting and retention goals were not based on
competency gap analyses--especially since, as we have previously
noted, competency gap analyses were discussed for only 3 of the 22
mission-critical occupations. We further reported that the
department's plan lacked information regarding the funding needed to
achieve DOD's recruitment and retention goals.
Lastly, regarding assessments of the department's progress, we found
that DOD's plan did not report on the department's progress in
implementing the overall civilian workforce plan, using results-
oriented performance metrics. We noted, however, that other DOD
documents provided some information on performance measures related to
the workforce plan. For example, DOD's Civilian Human Capital
Management Report for Fiscal Year 2009[Footnote 14] provided a metric
for measuring progress toward DOD's goal of having a mission-ready
workforce. Regarding the overall civilian workforce plan, we found
that DOD identified a number of specific strategies for developing,
training, deploying, compensating, and motivating the civilian
workforce, but it did not specify the performance measures to
determine how and if the strategies were implemented. Moreover,
although DOD's plan stated that the department would set performance
measures in 2010 and monitor progress by the fourth quarter of fiscal
years 2010, at the time of our review, DOD had not provided
information concerning any additional performance measures.
DOD Addressed Some Requirements for Its Senior Leader Workforce, but
Not Those Related to Assessing the Critical Skills of the Existing and
Future Workforces:
Our review of DOD's 2009 senior leader workforce plan found that the
department included (1) an assessment of the projected trends in the
senior leader workforce based on expected losses through retirement
and other attrition and (2) a plan of action to address the gaps in
critical skills and competencies that included changes in the number
of personnel authorized in categories of the senior leader workforce.
More specifically, DOD's 2009 senior leader workforce plan included,
among other things, trend projections for the Senior Executive
Service, Senior Leader, Science and Professional, and intelligence
community segments of the senior leader workforce.
Additionally, DOD's plan included a plan of action to address the gaps
in critical skills and competencies that identified changes needed in
the number of personnel authorized and stated, at the time of GAO's
review, that DOD expected executive requirements to increase by more
than 400 positions by fiscal year 2015. In particular, that plan
identified the need for 240 additional senior leader allocations for
fiscal year 2010 to satisfy emerging mission needs--including
allocations for increased medical requirements and to backfill
positions previously held by general flag officers who have been or
will be deployed. The plan also identified a need for 25 senior leader
allocations to address shortfalls in the acquisition workforce.
However, in our November 2010 report[Footnote 15] that focused
specifically on requirements for DOD's senior leader workforce, we
found that while DOD had conducted a baseline review to assess and
validate its civilian senior leader workforce requirements, it did not
document its analysis or summarize the results of its review. Further,
while DOD reported to Congress that this was a rigorous analysis of
its senior leader workforce, we found that some of the components'
information was incomplete and DOD was unable to provide documentation
of an analysis summarizing its results. Similarly, DOD's intelligence
community, in 2007, issued guidance for assessing its senior workforce
needs but also did not summarize its analysis. As a result, we
recommended in our November 2010 report that in future reviews of
DOD's civilian senior leader workforce, the Secretary of Defense
direct the Office of the Under Secretary of Defense for Personnel and
Readiness to document the analysis conducted. DOD generally concurred
with this recommendation stating that it will document analyses
conducted in future reviews of its civilian senior leaders. We also
recommended that the Secretary of Defense direct the Under Secretary
of Defense for Intelligence to finalize and issue common criteria for
the military service intelligence elements and the defense
intelligence agencies to use in their assessments of Defense
Intelligence Senior Executive Service requirements. DOD concurred with
our recommendation. We will be evaluating DOD's progress in
implementing the recommendations, especially in light of the impact of
the Secretary of Defense's efficiency initiatives,[Footnote 16] which
call for a reduction in the number of senior leaders.
Finally, key legislative requirements that the department did not
address in its senior leader workforce plan included (1) an assessment
of critical skills that will be needed in the future within the senior
leader workforce and (2) an assessment of the critical skills of the
existing senior leader workforce. Specifically, DOD's plan did not
identify critical skills related to Senior Leader and Scientific and
Professional positions and did not address the requirement to conduct
an assessment of critical skills of the existing and future senior
leader workforce. While the plan notes the need for skills in areas
such as leadership and management, it does not provide details for
these skills and does not identify skills related to senior leader or
scientific and professional positions.
DOD Addressed Some Requirements for Its Acquisition Workforce, but
Partially Addressed Those Related to Competency Gaps, Appropriate
Workforce Mix, and Funding Needs:
In our February 2011 high-risk report, we noted that among the actions
DOD needed to take to improve outcomes on the billions of dollars
spent annually on goods and services was to ensure that its
acquisition workforce was adequately sized, trained, and equipped to
meet the department's needs. With regard to DOD's acquisition
workforce plan, we found that DOD identified the need to increase the
size of its acquisition workforce (totaling about 118,000 civilians as
of September 2009) by 20,000 personnel by fiscal year 2015. To do so,
DOD outlined its strategies for growing the acquisition workforce
through retention, new hiring, and in-sourcing, which involves the
conversion of functions currently performed by contractor personnel to
performance by government personnel. DOD, however, had not yet (1)
completed assessments of the skills and competencies of its
acquisition workforce; (2) included in its plan an assessment of what
the appropriate mix of its total acquisition workforce should be; and
(3) at the time of our report, included information on the funding
needed to achieve DOD's human capital initiatives for the acquisition
workforce.
In our September 2010 report, we found that DOD's plan partially
addressed the legislative requirements to assess the critical skills
and competencies of its acquisition workforce. A DOD official
responsible for the acquisition workforce plan indicated that DOD did
not differentiate skills and competencies, but rather considered
skills to be an integral part of the competencies. As such, conducting
competency assessments would embody an assessment of the requisite
skills. In that regard, DOD reported that it had completed the
competency assessment of its contracting career field, but not the
assessments of the remaining 12 career fields, which were in various
stages of progress.
Similarly, we noted in our September 2010 report that the plan only
partially addressed the need to assess the appropriate mix of
civilian, military, and contractor personnel. The plan provided
detailed information about the civilian workforce, information on
military personnel currently serving in the acquisition workforce,
identified specific guidance that was in place for determining the
appropriate workforce mix, and indicated that initiatives had begun
that were aimed at inventorying the use of contractors across all 13
career fields. The plan, however, did not identify specific growth
targets for military personnel or provide data on the current or
future contractor personnel in DOD's total acquisition workforce.
This leads us to a related point about DOD's use of the inventory of
contractor services as a workforce planning tool. Congress has passed
legislation in recent years to improve the department's ability to
manage its services acquisitions; to make more strategic decisions
about the right workforce mix of military, civilian, and contractor
personnel; and to better align resource needs through the budget
process to achieve that mix. For example, section 807 of the NDAA for
Fiscal Year 2008 required DOD to annually compile and review an
inventory of activities performed pursuant to contracts for services
to help provide better insights into, among other things, the number
of contractors providing services to the department and the functions
they are performing.[Footnote 17] Additionally, DOD is to review the
inventories and, among other things, identify activities that should
be considered for conversion to performance by DOD civilian employees.
As such, the inventories and the associated review processes are to
help support development of DOD's annual strategic workforce plan.
In January 2011, we reported on the approach DOD used to compile its
fiscal year 2009 inventories and how the inventories had been reviewed
and used to inform workforce decisions.[Footnote 18] We found that DOD
had implemented a more uniform approach to compile its fiscal year
2009 inventories to reduce inconsistencies in how components compiled
their fiscal year 2008 inventories. To do so, in May 2010 the Office
of the Under Secretary of Defense for Acquisition, Technology and
Logistics (AT&L) issued guidance to the Navy, Air Force, and other
components that specified the categories of services to be included in
the inventories; instructed them to use the Federal Procurement Data
System-Next Generation (FPDS-NG)[Footnote 19] as the basis for most of
the inventory data requirements; and provided a formula to estimate
the number of contractor full-time equivalent personnel working under
those contracts. This guidance also authorized the Army to continue to
use its existing process, which incorporates data reported by
contractors through the Army's Contractor Manpower Reporting
Application (CMRA) system, as the basis for its inventory. The CMRA is
a system that is designed to collect information on labor hour
expenditures by function, funding source, and mission supported on
contracted efforts. DOD officials identified continuing limitations
associated with the fiscal year 2009 inventories, including the
inability of FPDS-NG, which was to be used by DOD components other
than the Army, to provide information for all of the required data
elements. DOD was also concerned about AT&L's estimating approach.
Additionally, we found that the military departments differed both in
their approaches to reviewing the activities performed by contractors
and the extent to which they have used the inventories to inform
workforce decisions. Overall, the Army had used the inventories to a
greater degree than the other military departments.
AT&L's May 2010 guidance stated that the Department recognized the
need and benefit of collecting actual contractor manpower data and was
committed to do so. Further, AT&L stated it would work with the Office
of the Under Secretary of Defense for Personnel and Readiness and
other organizations to issue preliminary guidance and a proposed plan
of action by August 2010. However, at the time of our review of the
fiscal year 2009 inventories, DOD had not yet done so. In response, we
recommended that DOD develop and issue a plan of action to collect
manpower data and, in the interim, improve its estimating approach.
Developing such a plan would provide an important tangible step in
meeting the inventory requirements, especially since the absence of a
way forward hinders DOD's ability to use the inventories as a tool to
inform decision making. Earlier this year, Congress appropriated $2
million to the Air Force and the Navy to leverage the Army's
Contractor Manpower Reporting Application, modified as appropriate for
service-specific requirements, for documenting the number of full-time
contractor employees.[Footnote 20] DOD was also to report to the
defense committees on its plans for documenting the number of full-
time contractor employees, but a DOD official indicated that they have
not yet done so.
Finally, with respect to DOD's acquisition workforce plan, we found
that DOD, at the time of our September 2010 report, did not include
information on the funding needed to achieve DOD's human capital
initiatives for the acquisition workforce. We have previously included
in our recommendations to DOD that the department align activities
with resources to guide its efforts to implement its strategic
workforce plan. Without a funding plan, DOD may not be able to fund
its best strategies that address legislative requirements and meet its
workforce needs, and given today's fiscal climate, there is increased
pressure to ensure that funds are allocated to the best strategies.
DOD released a separate report on September 14, 2010, after we had
concluded our audit work.
DOD officials indicate that they expect to issue their next
acquisition workforce report in September 2011. As part of our planned
review of the overall civilian workforce, we intend to determine DOD's
progress in assessing (1) the critical skills and competencies of the
civilian workforce; (2) gaps in that workforce; (3) the appropriate
mix of military, civilian, and contractor personnel capabilities; and
(4) implementation, using results-oriented performance measures. As
part of our planned review of the senior leader workforce, we intend
to determine DOD's progress in assessing (1) changes in the number of
personnel authorized in the senior leader workforce--to include
changes identified in DOD's baseline reviews, as well as senior leader
position reductions identified in DOD's efficiency initiatives; (2)
the critical skills and competencies of the senior leader workforce;
and (3) gaps in that workforce. As part of our planned review of the
acquisition workforce plan, we intend to assess DOD's progress toward
achieving the planned workforce growth, its progress in completing the
remaining competency assessments, and whether the funds currently
budgeted for these efforts will be sufficient to achieve DOD's targets.
Concluding Observations:
In conclusion Mr. Chairman, in each of its 2009 workforce plans, DOD
has taken some positive steps, such as identifying mission-critical
occupations and projecting workforce trends. DOD has made limited
progress, however, in identifying the skills and competency gaps of
its workforce. Until DOD identifies the critical skills and
competencies and the actual gaps in these, it will be difficult, for
example, for the department to develop effective recruitment,
retention, and investment strategies. Furthermore, without using
results-oriented performance measures, DOD will be unable to assess
the progress of its planning efforts. Thoughtful decision making and
sound strategic planning are essential given the current budget
environment. Ensuring that DOD is able to achieve its mission within
available resources requires it has a workforce with the right skills
and capabilities.
Chairman McKeon, Ranking Member Smith, this concludes our prepared
statement. We would be happy to respond to any questions that you or
other Members of the Committee may have at this time.
Contacts and Acknowledgments:
For future questions about this statement, please contact Brenda S.
Farrell, Director, Defense Capabilities and Management, on (202) 512-
3604 or farrellb@gao.gov or John P. Hutton, Director, Acquisition and
Sourcing Management, on (202) 512-7773 or huttonj@gao.gov. Contact
points for our Offices of Congressional Relations and Public Affairs
may be found on the last page of this statement. Individuals who made
key contributions to this statement include Marion A. Gatling,
Assistant Director; Timothy J. DiNapoli, Assistant Director; Mae F.
Jones; Lonnie J. McAllister; Brian D. Pegram; Terry L. Richardson;
John Van Schaik; Jennifer L. Weber; and Rebecca A. Wilson.
[End of section]
Appendix I: National Defense Authorization Act for Fiscal Year 2010
Requirements Applicable to DOD Civilian Workforces:
Over the years, Congress has passed legislation requiring the
Department of Defense (DOD) to conduct human capital planning efforts
for the department's overall civilian workforce, its senior leader
workforce, and its acquisition workforce. Most recently, in October
2009, section 1108 of the National Defense Authorization Act (NDAA)
for Fiscal Year 2010 required DOD to develop and submit a strategic
plan to shape and improve the department's civilian workforce, and to
include separate chapters for the senior leader workforce and the
defense acquisition workforce.[Footnote 21] Table 1 provides a summary
of the NDAA for Fiscal Year 2010 requirements and how they apply to
the overall, senior leader, and acquisition workforces.
Table 1: Summary of National Defense Authorization Act for Fiscal Year
2010 Requirements Applicable to Overall Civilian, Senior Leader, and
Acquisition Workforces:
An assessment of: Critical skills and competencies that will be needed
in the future within the civilian workforce by DOD to support national
security requirements and effectively manage the department during the
7-year period following the year in which the plan is submitted;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
An assessment of: The appropriate mix of military, civilian, and
contractor personnel capabilities;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
An assessment of: The critical skills and competencies of the existing
workforce of the department and projected trends in that workforce
based on expected losses through retirement and other attrition;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
An assessment of: Gaps in the existing or projected workforce of the
department that should be addressed to ensure that the department has
continued access to the critical skills and competencies it needs;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
An assessment of: Use of results-oriented performance measures, of the
progress of the department in implementing the strategic workforce
plan under this section during the previous year;
Overall civilian workforce: Applicable;
Senior leader workforce: [Empty];
Acquisition workforce: [Empty].
A plan of action that includes: Specific recruiting and retention
goals, especially in areas identified as critical skills and
competencies, including the program objectives of the department to be
achieved through such goals and the funding needed to achieve such
goals;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
A plan of action that includes: Specific strategies for developing,
training, deploying, compensating, and motivating the civilian
workforce of the department, including the program objectives of the
department to be achieved through such strategies and the funding
needed to implement such strategies;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
A plan of action that includes: Any incentives necessary to attract or
retain any civilian personnel possessing the skills and competencies
identified;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
A plan of action that includes: Any changes in the number of personnel
authorized in any category of personnel in the senior leader workforce
or in the acquisition workforce that may be needed to address such
gaps and effectively meet the needs of the department;
Overall civilian workforce: [Empty];
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
A plan of action that includes: Any changes in resources or in the
rates or methods of pay for any category of personnel in the senior
leader workforce or in the acquisition workforce that may be needed to
address inequities and ensure that the department has full access to
appropriately qualified personnel to address such gaps and meet the
needs of the department;
Overall civilian workforce: [Empty];
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
A plan of action that includes: Any legislative changes that may be
necessary to achieve the goals;
Overall civilian workforce: Applicable;
Senior leader workforce: Applicable;
Acquisition workforce: Applicable.
Specific strategies for: Developing, training, deploying,
compensating, motivating, and designing career paths and career
opportunities;
Overall civilian workforce: [Empty];
Senior leader workforce: Applicable;
Acquisition workforce: [Empty].
Specific steps that the department has taken or plans to take to:
Ensure that such workforce is managed in compliance with the
requirements of section 129 of this title;
Overall civilian workforce: [Empty];
Senior leader workforce: Applicable;
Acquisition workforce: [Empty].
Specific steps that the department has taken or plans to take to:
Develop appropriate career paths for civilian employees in the
acquisition field;
Overall civilian workforce: [Empty];
Senior leader workforce: [Empty];
Acquisition workforce: Applicable.
Specific steps that the department has taken or plans to take to:
Implement the requirements of section 1722a with regard to members of
the armed forces in the acquisition field;
Overall civilian workforce: [Empty];
Senior leader workforce: [Empty];
Acquisition workforce: Applicable.
A plan for funding: Needed improvements in the acquisition workforce
of the department through the period of the future-years defense
program, including a specific identification of funding provided in
the DOD Acquisition Workforce Fund, along with a description of how
such funding is being implemented and whether it is being fully used
and a description of any continuing shortfalls in funding available
for the acquisition workforce;
Overall civilian workforce: [Empty];
Senior leader workforce: [Empty];
Acquisition workforce: Applicable.
Any additional matter: The Secretary of Defense considers necessary to
address;
Overall civilian workforce: Applicable;
Senior leader workforce: [Empty];
Acquisition workforce: [Empty].
Submittals: From secretaries of the military services and heads of the
defense agencies regarding each of the above legislative requirements;
Overall civilian workforce: Applicable;
Senior leader workforce: [Empty];
Acquisition workforce: [Empty].
Total requirements;
Overall civilian workforce: 11;
Senior leader workforce: 12;
Acquisition workforce: 13.
Source: GAO analysis of DOD data.
Note: Critical skills and competencies of the existing and future
workforces--lines 1 and 3 above--were divided into five items: (1)
critical skills for the future workforce, (2) critical competencies
for the future workforce, (3) critical skills for the existing
workforce, (4) critical competencies for the existing workforce, and
(5) projected trends. Thus, total requirements were 14 for the overall
workforce, 15 for the senior leader workforce, and 16 for the
acquisition workforce.
[End of table]
[End of section]
Footnotes:
[1] See GAO, Major Management Challenges and Program Risks: A
Governmentwide Perspective, [hyperlink,
http://www.gao.gov/products/GAO-01-241] (Washington, D.C.: January
2001).
[2] GAO, High-Risk Series: An Update, [hyperlink,
http://www.gao.gov/products/GAO-11-278] (Washington, D.C.: February
2011).
[3] For the purposes of this testimony, senior management, functional,
and technical personnel will be referred to as the senior leader
workforce. In addition, DOD has identified 13 acquisition functional
career fields as constituting the acquisition workforce, consistent
with the authority provided under the Defense Acquisition Workforce
Improvement Act. Pub. L. No. 101-510, § 1202(a) (1990) (codified, as
amended, at 10 U.S.C. § 1721 (a),(b) 2011).
[4] Pub.L. No. 109-163,§ 1122 (2006); Pub. L. No. 109-364,§ 1102
(2006); Pub. L. No. 110-181, § 851 (2008); Pub. L. No. 111-84, § 1108
(2009).
[5] Pub. L. No. 111-84, § 1108(a) (2009). This act incorporated
reporting requirements from the fiscal year 2006, fiscal year 2007,
and fiscal year 2008 National Defense Authorization Acts, established
some new requirements, and repealed the previous legislation.
[6] See GAO, Human Capital: Further Actions Needed to Enhance DOD's
Civilian Strategic Workforce Plan, [hyperlink,
http://www.gao.gov/products/GAO-10-814R] (Washington, D.C.: Sept. 27,
2010); Human Capital: Opportunities Exist to Build on Recent Progress
to Strengthen DOD's Civilian Human Capital Strategic Plan, [hyperlink,
http://www.gao.gov/products/GAO-09-235] (Washington, D.C.: Feb. 10,
2009); and The Department of Defense's Civilian Human Capital
Strategic Plan Does Not Meet Most Statutory Requirements, [hyperlink,
http://www.gao.gov/products/GAO-08-439R] (Washington, D.C.: Feb. 6,
2008).
[7] Pub. L. No. 111-84, § 1108(a) (2009).
[8] [hyperlink, http://www.gao.gov/products/GAO-10-814R].
[9] The Acquisition Workforce Improvement Strategy plan provided
summary information on DOD's acquisition human capital management
efforts, as well as information by military department, selected
defense agencies, and 8 of the 13 functional career fields that
constitute 90 percent of the defense acquisition workforce. We
assessed key sections of the plan, which covered defense acquisition
workforce strategies, analytics, and initiatives, and appendixes that
covered the contracting and production quality and manufacturing
career fields; the Army, Navy, Air Force, and Defense Contract
Management Agency workforces; and acquisition career paths, critical
acquisition functions, and defense acquisition workforce awards. We
reviewed the appendixes related to the other career fields included in
the strategy--such as business (cost estimating and financial
management), information technology, and life cycle logistics--but did
not assess them for the purposes of this report.
[10] Specifically, we relied on previous data reliability assessments
from GAO, DOD Civilian Personnel: Comprehensive Strategic Workforce
Plans Needed, [hyperlink, http://www.gao.gov/products/GAO-04-753]
(Washington, D.C.: June 30, 2004), and DOD Personnel: Documentation of
the Army's Civilian Workforce-Planning Model Needed to Enhance
Credibility, [hyperlink, http://www.gao.gov/products/GAO-03-1046]
(Washington, D.C.: Aug. 22, 2003). We also conducted interviews with
responsible agency officials concerning the completeness and
reliability of data presented in the strategic workforce plan.
[11] In our 2010 review, we treated mission-critical occupations as
the department's critical skills and evaluated critical competencies
separately.
[12] [hyperlink, http://www.gao.gov/products/GAO-09-235].
[13] Our body of work has consistently defined a workforce gap
analysis as referring to gaps in critical skills and competencies
needed now and in the future workplace. Competency gap analyses enable
an agency to develop specific strategies to address workforce needs,
and measuring progress demonstrates the contribution of workforce
planning in achieving program goals. See [hyperlink,
http://www.gao.gov/products/GAO-09-235] and [hyperlink,
http://www.gao.gov/products/GAO-04-753] and GAO, Human Capital: A
Guide for Assessing Strategic Training and Development Efforts in the
Federal Government, [hyperlink,
http://www.gao.gov/products/GAO-04-546G] (Washington, D.C.: Mar.
2004), and A Model of Strategic Human Capital Management, [hyperlink,
http://www.gao.gov/products/GAO-02-373SP] (Washington, D.C: Mar. 15,
2002).
[14] Specifically, that report stated that the success indicator for
measuring annual progress toward a mission-ready workforce will be
achieved when 85 percent of the staffing projections are met within
certain targeted mission-critical occupations--a measure that
according to DOD was met by eight mission-critical occupations.
Further, that report stated that DOD hopes to assess all mission-
critical occupations against this measure in future years.
[15] GAO, Human Capital: Opportunities Exist for DOD to Enhance Its
Approach for Determining Civilian Senior Leader Workforce Needs,
[hyperlink, http://www.gao.gov/products/GAO-11-136] (Washington, D.C.:
Nov. 4, 2010).
[16] DOD, Department of Defense (DOD) Efficiency Initiatives Memo
(Washington, D.C.: Aug. 16, 2010).
[17] Pub. L. No. 110-181.
[18] GAO, Defense Acquisitions: Further Action Needed to Better
Implement Requirements for Conducting Inventory of Service Contract
Activities, [hyperlink, http://www.gao.gov/products/GAO-11-192]
(Washington, D.C.: Jan. 14, 2011).
[19] FPDS-NG is the federal government's primary data system for
tracking information on contracting actions.
[20] Department of Defense and Full-Year Continuing Appropriations
Act, 2011, Pub. L. No. 112-10, § 8108 (2011).
[21] Pub. L. No. 111-84, § 1108(a) (2009). The act incorporated
reporting requirements from the fiscal year 2006, fiscal year 2007,
and fiscal year 2008 National Defense Authorization Acts, established
some new requirements, and repealed the previous legislation.
[End of section]
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