Equal Employment Opportunity
DHS Has Opportunities to Better Identify and Address Barriers to EEO in Its Workforce Gao ID: GAO-09-639 August 31, 2009Under MD-715, federal agencies are to identify and eliminate barriers that impede free and open competition in their workplaces. EEOC defines a barrier as an agency policy, principle, or practice that limits or tends to limit employment opportunities for members of a particular gender, race, ethnic background, or disability status. According to EEOC's instructions, many employment barriers are built into the organizational and operational structures of an agency and are embedded in the day-to-day procedures and practices of the agency. In its oversight role under MD-715, EEOC provides instructions to agencies on how to complete their barrier analyses and offers other informal assistance. Based on agency submissions of MD-715 reports, EEOC provides assessments of agency progress in its Annual Report on the Federal Workforce, feedback letters addressed to individual agencies, and the EEO Program Compliance Assessment (EPCA).
DHS has generally relied on workforce data and has not regularly included employee input from available sources to identify "triggers," the term EEOC uses for indicators of potential barriers. GAO's analysis of DHS's MD-715 reports showed that DHS generally relied on workforce data to identify 13 of 15 triggers, such as promotion and separation rates. According to EEOC, in addition to workforce data, agencies are to regularly consult a variety of sources, such as exit interviews, employee groups, and employee surveys, to identify triggers. Involving employees helps to incorporate insights about operations from a frontline perspective in determining where potential barriers exist. DHS does not consider employee input from such sources as employee groups, exit interviews, and employee surveys in conducting its MD-715 analysis. Data from the governmentwide employee survey and DHS's internal employee survey are available, but DHS does not use these data to identify triggers. By not considering employee input on DHS personnel policies and practices, DHS is missing opportunities to identify potential barriers. Once a trigger is revealed, agencies are to investigate and pinpoint actual barriers and their causes. In 2007, through its departmentwide barrier analysis, DHS identified four barriers: (1) overreliance on the Internet to recruit applicants, (2) overreliance on noncompetitive hiring authorities, (3) lack of recruitment initiatives that were directed at Hispanics in several components, and (4) nondiverse interview panels. GAO's analysis of DHS's 2007 and 2008 MD-715 reports showed that DHS has articulated planned activities to address identified barriers, has modified nearly all of its original target completion dates by a range of 12 to 21 months, and has not completed any planned activities; although officials reported completing other activities in fiscal year 2007 and 2008 associated with its EEO program. Nearly half of the planned activities involve collaboration between the civil rights and human capital offices. DHS said that it modified the dates because of staffing shortages. In order to ensure that agency programs are effectively and efficiently implemented, it is important for agencies to implement internal control activities, such as establishing and tracking implementation goals with timelines. This allows agencies to pinpoint performance shortfalls and gaps and suggest midcourse corrections. DHS has not developed project plans with milestones beyond what is included in its MD-715 report and its Human Capital Strategic Plan. These documents include only the anticipated outcomes and target completion dates, not the essential activities needed to achieve the outcome. Identifying the critical phases of each planned activity necessary to achieve the intended outcome with interim milestones could help DHS ensure that its efforts are moving forward and manage any needed midcourse corrections, while minimizing modification of target dates. DHS uses a variety of means to oversee and support components, including providing written feedback on draft reports to components that are required to prepare their own MD-715 reports, conducting program audits, and convening a council of EEO directors from each of the components.
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Report to the Chairman, Committee on Homeland Security, House of
Representatives:
United States Government Accountability Office:
GAO:
August 2009:
Equal Employment Opportunity:
DHS Has Opportunities to Better Identify and Address Barriers to EEO in
Its Workforce:
GAO-09-639:
GAO Highlights:
Highlights of GAO-09-639, a report to the Chairman, Committee on
Homeland Security, House of Representatives.
Why GAO Did This Study:
The federal government is faced with a workforce that is becoming
increasingly eligible for retirement. GAO has reported that it is
important for federal agencies, including the Department of Homeland
Security (DHS), to use available flexibilities to acquire, develop,
motivate, and retain talented individuals who reflect all segments of
society and our nation‘s diversity. The Equal Employment Opportunity
Commission‘s (EEOC) Management Directive (MD) 715, provides that in
order to attract and retain top talent, federal agencies are to
identify barriers to equal employment opportunity (EEO) in the
workplace, execute plans to eliminate barriers, and report annually to
EEOC.
In response to a request to determine the extent to which DHS has taken
steps to identify and address barriers to EEO and how DHS oversees and
supports component agencies in identifying and addressing barriers, GAO
reviewed DHS‘s MD-715 reports and EEOC guidance on MD-715 and
interviewed officials from DHS‘s civil rights and human capital offices
responsible for EEO.
What GAO Found:
DHS has generally relied on workforce data and has not regularly
included employee input from available sources to identify ’triggers,“
the term EEOC uses for indicators of potential barriers. GAO‘s analysis
of DHS‘s MD-715 reports showed that DHS generally relied on workforce
data to identify 13 of 15 triggers, such as promotion and separation
rates. According to EEOC, in addition to workforce data, agencies are
to regularly consult a variety of sources, such as exit interviews,
employee groups, and employee surveys, to identify triggers. Involving
employees helps to incorporate insights about operations from a
frontline perspective in determining where potential barriers exist.
DHS does not consider employee input from such sources as employee
groups, exit interviews, and employee surveys in conducting its MD-715
analysis. Data from the governmentwide employee survey and DHS‘s
internal employee survey are available, but DHS does not use these data
to identify triggers. By not considering employee input on DHS
personnel policies and practices, DHS is missing opportunities to
identify potential barriers. Once a trigger is revealed, agencies are
to investigate and pinpoint actual barriers and their causes. In 2007,
through its departmentwide barrier analysis, DHS identified four
barriers: (1) overreliance on the Internet to recruit applicants, (2)
overreliance on noncompetitive hiring authorities, (3) lack of
recruitment initiatives that were directed at Hispanics in several
components, and (4) nondiverse interview panels.
GAO‘s analysis of DHS‘s 2007 and 2008 MD-715 reports showed that DHS
has articulated planned activities to address identified barriers, has
modified nearly all of its original target completion dates by a range
of 12 to 21 months, and has not completed any planned activities;
although officials reported completing other activities in fiscal year
2007 and 2008 associated with its EEO program. Nearly half of the
planned activities involve collaboration between the civil rights and
human capital offices. DHS said that it modified the dates because of
staffing shortages. In order to ensure that agency programs are
effectively and efficiently implemented, it is important for agencies
to implement internal control activities, such as establishing and
tracking implementation goals with timelines. This allows agencies to
pinpoint performance shortfalls and gaps and suggest midcourse
corrections. DHS has not developed project plans with milestones beyond
what is included in its MD-715 report and its Human Capital Strategic
Plan. These documents include only the anticipated outcomes and target
completion dates, not the essential activities needed to achieve the
outcome. Identifying the critical phases of each planned activity
necessary to achieve the intended outcome with interim milestones could
help DHS ensure that its efforts are moving forward and manage any
needed midcourse corrections, while minimizing modification of target
dates.
DHS uses a variety of means to oversee and support components,
including providing written feedback on draft reports to components
that are required to prepare their own MD-715 reports, conducting
program audits, and convening a council of EEO directors from each of
the components.
What GAO Recommends:
GAO recommends that DHS (1) develop a strategy to regularly include
employee input in identifying potential barriers to EEO and (2)
establish interim milestones for completing planned activities to
address identified barriers. DHS agreed with our recommendations.
View [hyperlink, http://www.gao.gov/products/GAO-09-639] or key
components. For more information, contact Yvonne D. Jones at (202) 512-
6806 or jonesy@gao.gov.
[End of section]
Contents:
Letter:
Background:
DHS Has Generally Relied on Workforce Data and Has Not Regularly
Included Employee Input in Identifying Potential Barriers:
DHS Has Identified Planned Activities to Address Barriers, but Has
Modified Nearly All of Its Target Completion Dates:
DHS Reports Using a Variety of Means to Oversee and Support Components:
Conclusions:
Recommendations for Executive Action:
Agency Comments:
Appendix I: Comments from the Department of Homeland Security:
Appendix II: GAO Contact and Staff Acknowledgments:
Tables:
Table 1: Triggers Identified in DHS's 2008 Management Directive 715
Report:
Table 2: DHS-Identified Barriers, Planned Activities, and Target
Completion Dates:
Figures:
Figure 1: DHS Officials with Primary Responsibility for DHS
Departmentwide EEO and Diversity Activities:
Figure 2: Barrier Identification Process:
Figure 3: Barrier Elimination and Assessment:
Abbreviations:
CLF: Civilian Labor Force:
CRCL: Office of Civil Rights and Civil Liberties:
DHS: Department of Homeland Security:
EEO: Equal Employment Opportunity:
EEOC: Employment Opportunity Commission:
EPCA: EEO Program Compliance Assessment:
FHCS: Federal Human Capital Survey:
FMFIA: Federal Managers' Financial Integrity Act of 1982:
LOB: Lines of Business:
MD: Management Directive:
OCHCO: Office of the Chief Human Capital Officer:
OPM: Office of Personnel Management:
RCLF: Relevant Civilian Labor Force:
SES: Senior Executive Service:
USM: Under Secretary for Management:
[End of section]
United States Government Accountability Office:
Washington, DC 20548:
August 31, 2009:
The Honorable Bennie G. Thompson:
Chairman:
Committee on Homeland Security:
House of Representatives:
Dear Mr. Chairman:
Since March 2003, when it was created from a disparate group of 22
agencies with multiple missions, values, and cultures, the Department
of Homeland Security (DHS) has faced enormous challenges related to
protecting the nation from terrorism while organizing its predecessor
agencies--several with existing program and management challenges--
into a coherent and integrated department.[Footnote 1] Because these
challenges could have serious consequences for the security of our
country, we designated DHS's implementation and transformation as a
high-risk area in 2003. While progress has been made, DHS's
implementation and transformation remains on the high-risk list today.
[Footnote 2]
One key challenge DHS has faced is effectively and strategically
managing its large workforce (about 216,000 employees) to respond to
current and emerging 21st century issues. Strategic human capital
management must be the centerpiece of any serious change management
strategy.[Footnote 3] The federal government is faced with a workforce
that is becoming increasingly eligible for retirement. We have reported
that it is important for federal agencies, including DHS, to use
available flexibilities to acquire, develop, motivate, and retain
talented individuals who reflect all segments of society and our
nation's diversity.[Footnote 4] While DHS overall has a low proportion--
20 percent--of workers eligible to retire by 2012, attention to
strategic human capital management is still important as 50 percent or
more of its customs and border agents, who serve in a mission-critical
occupation, are eligible to retire by 2012.[Footnote 5] According to
the Equal Employment Opportunity Commission (EEOC), to attract,
develop, and retain a top-quality workforce, agencies must ensure that
their workforces are free of barriers to equal employment opportunity
(EEO). Through Management Directive (MD) 715, EEOC provides that as
part of a model EEO program, to prevent unlawful discrimination,
federal agencies are to identify barriers to EEO in the workplace,
execute plans to eliminate barriers, and report annually to EEOC.
As agreed, we present our findings on (1) the extent to which DHS has
taken steps, according to its MD-715 reports, to identify barriers to
EEO in the workplace; (2) the extent to which DHS has taken steps to
address identified barriers and what progress has been reported; and
(3) how DHS oversees and supports component agencies in identifying and
addressing barriers. We reviewed DHS's MD-715 reports for fiscal years
2004 through 2008, and analyzed DHS's identified barriers and plans to
address those barriers obtained from its fiscal year 2007 and 2008
reports. Because it was beyond the scope of this engagement, we did not
evaluate the accuracy of the data contained in the workforce data
tables, the extent to which DHS identified all potential barriers, or
the extent to which plans to eliminate barriers or activities would
address identified barriers. In addition, we reviewed DHS policies,
guidance, directives, and diversity plans related to identifying and
addressing barriers; the 2008 Federal Human Capital Survey (FHCS)
results for DHS; and DHS's 2007 internal employee survey results. We
interviewed DHS officials from its Office of Civil Rights and Civil
Liberties (CRCL) and the Office of the Chief Human Capital Officer
(OCHCO). We also reviewed MD-715 and EEOC instructions and guidance on
MD-715, and interviewed EEOC officials from its Office of Federal
Operations. We obtained information from the Office of Personnel
Management's (OPM) Strategic Human Resource Policy Division on the
availability of FHCS data to federal agencies.
We conducted this performance audit from January 2009 to August 2009 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 provides a reasonable basis for our findings and
conclusions based on our audit objectives.
Background:
Under MD-715, federal agencies are to identify and eliminate barriers
that impede free and open competition in their workplaces. EEOC defines
a barrier as an agency policy, principle, or practice that limits or
tends to limit employment opportunities for members of a particular
gender, race, ethnic background, or disability status. According to
EEOC's instructions, many employment barriers are built into the
organizational and operational structures of an agency and are embedded
in the day-to-day procedures and practices of the agency. In its
oversight role under MD-715, EEOC provides instructions to agencies on
how to complete their barrier analyses and offers other informal
assistance. Based on agency submissions of MD-715 reports, EEOC
provides assessments of agency progress in its Annual Report on the
Federal Workforce, feedback letters addressed to individual agencies,
and the EEO Program Compliance Assessment (EPCA).[Footnote 6]
At DHS, the Officer for CRCL, through the Deputy Officer for EEO
Programs, is responsible for processing complaints of discrimination;
establishing and maintaining EEO programs; fulfilling reporting
requirements as required by law, regulation, or executive order; and
evaluating the effectiveness of EEO programs throughout DHS. Consistent
with these responsibilities, the Officer for CRCL, through the Deputy
Officer for EEO Programs, is responsible for preparing and submitting
DHS's annual MD-715 report.
In addition, the Deputy Officer for EEO Programs and the Under
Secretary for Management (USM) are also responsible for diversity
management at DHS. Under the USM, the Chief Human Capital Officer is
responsible for diversity management and has assigned these duties to
the Executive Director of Human Resources Management and Services.
According to CRCL's Deputy Officer for EEO Programs, CRCL and OCHCO
collaborate on a number of EEO and diversity activities through
participation in work groups, involvement in major projects, policy and
report review, and participation on the Diversity Council and its
Diversity Policy and Planning Subcouncil. Figure 1 shows the officials
who are primarily responsible for EEO and diversity management at DHS.
Figure 1: DHS Officials with Primary Responsibility for DHS
Departmentwide EEO and Diversity Activities:
[Refer to PDF for image: illustration]
Top level:
Secretary of Homeland Security.
Next level:
Office of Civil Rights and Civil Liberties:
* Civil Rights and Civil Liberties Officer;
* Deputy Officer for EEO Programs (Co-chair of the Diversity Policy and
Planning Subcouncil).
Office of the Under Secretary for Management:
* Under Secretary for Management (Chair of the DHS Diversity Council);
* Chief Human Capital Officer;
* Executive Director, Human Resources Management and Services (Co-chair
of the Diversity Policy and Planning Subcouncil).
Source: GAO, based on information obtained from DHS.
[End of figure]
The DHS Diversity Council is composed of the members of the DHS
Management Council, which is chaired by the USM and includes component
representatives--generally a component's equivalent of a chief
management officer or chief of staff. The Diversity Council charter
gives the DHS Management Council the responsibility of meeting as the
Diversity Council at least bimontly. CRCL's Deputy Officer for EEO
Programs and OCHCO's Executive Director of Human Resources Management
and Services chair the Diversity Council's Policy and Planning
Subcouncil, which includes at least one member from each DHS component
represented on the Management Council. The Diversity Policy and
Planning Subcouncil meets every 2 weeks and is to identify, research,
and analyze workforce diversity issues, challenges, and opportunities
and report and make recommendations to the Diversity Council on DHS
diversity strategies and priorities.
DHS Has Generally Relied on Workforce Data and Has Not Regularly
Included Employee Input in Identifying Potential Barriers:
According to EEOC's MD-715 instructions, barrier identification is a
two-part process. First, using a variety of sources, an agency is to
identify triggers. Second, the agency is to investigate and pinpoint
actual barriers and their causes. According to EEOC officials, this
should be an ongoing process. Figure 2 shows the barrier identification
steps under MD-715.
Figure 2: Barrier Identification Process:
[Refer to PDF for image: illustration]
Step One:
Identify potential barriers:
* Analyze various sources of information to identify triggers or
indicators of potential barriers. Sources can include:
– Workforce data tables;
– Surveys of employees on workplace issues;
– Input from employee groups;
– Exit interviews;
– Local reports in surrounding news periodicals;
* Identify possible causes of triggers.
Step Two:
Investigate to pinpoint actual barriers and causes:
* Investigate possible causes of triggers using relevant sources–also
called conducting a ’barrier analysis“;
* Pinpoint barriers and their causes.
Source: GAO modification of EEOC guidance.
Note: EEOC concurred with GAO's modification of EEOC's guidance.
[End of figure]
Our review of DHS's MD-715 reports for each of the fiscal years 2004
through 2007 showed that in 2004 DHS identified 14 triggers, which were
present in each subsequent year. According to DHS's MD-715 reports, DHS
identified 13 of the 14 triggers based on its analysis of participation
rates contained in the workforce data tables.[Footnote 7] The remaining
trigger--incomplete accessibility studies on all facilities--was
identified based on responses to the self-assessment checklist
contained in the MD-715 form and comments made at disability awareness
training for managers. In addition, in 2008, DHS identified one new
trigger based on a joint statement from EEOC, the Department of
Justice, and the Department of Labor related to heightened incidents of
harassment, discrimination, and violence in the workplace against
individuals who are or are perceived to be Arab, Muslim, Middle
Eastern, South Asian, or Sikh. Table 1 shows a summary of DHS-
identified triggers and the sources of information from which they were
identified.
Table 1: Triggers Identified in DHS's 2008 Management Directive 715
Report:
Trigger: 1. Participation rates in the total workforce were below
participation rates in the civilian labor force (CLF)[A];
Groups affected: Total females and White females;
Source: Analysis of workforce data.
Trigger: 2. Participation rates among officials and managers[B] were
below participation rates in the relevant civilian labor force
(RCLF)[C];
Groups affected: Total females and White females;
Source: Analysis of workforce data.
Trigger: 3. Participation rates among professionals[B] were below
participation rates in the RCLF;
Groups affected: Total females and White females;
Source: Analysis of workforce data.
Trigger: 4. Participation rates among service workers[B] were below
participation rates in the RCLF;
Groups affected: Total females and White females;
Source: Analysis of workforce data.
Trigger: 5. Participation rates among General Schedule (GS) grades GS-
14 and GS-15 and the Senior Executive Service (SES) were below
participation rates in DHS's total GS workforce population;
Groups affected: GS-14: Hispanic males; GS-15: Hispanic males; SES:
Hispanic males, females (collectively), African American females, and
African American males;
Source: Analysis of workforce data.
Trigger: 6. Participation rates among cross-cutting, high-profile
occupations[D] were below participation rates in the RCLF;
Groups affected: Total females and White females;
Source: Analysis of workforce data.
Trigger: 7. Participation rates among new hires by type of
appointment[E] were below participation rates in the CLF;
Groups affected: Total females and White females;
Source: Analysis of workforce data.
Trigger: 8. Award rates of quality salary increases were below
participation rates in DHS's permanent workforce;
Groups affected: Total males, Hispanic males, White males, African
American males, American Indian/Alaskan Native males, American
Indian/Alaskan Native females, and males identified as two or
more/other races;
Source: Analysis of workforce data.
Trigger: 9. Separation rates (voluntary and involuntary) were higher
than participation rates in DHS's permanent workforce;
Groups affected: Voluntary: Total females, White females, African
American males, and African American females; Involuntary: African
American males and total females;
Source: Analysis of workforce data.
Trigger: 10. Participation rates (temporary and permanent workers) were
below the "federal high" in DHS's total workforce[F];
Groups affected: DHS employees with targeted disabilities[G];
Source: Analysis of workforce data.
Trigger: 11. Physical barriers to employment;
Groups affected: DHS employees with targeted disabilities;
Source: MD-715 self-assessment checklist (part G) and comments made at
a disability awareness training for managers.
Trigger: 12. Separation rates (total and voluntary) exceeded
participation rates in DHS's permanent workforce;
Groups affected: DHS employees with disabilities and targeted
disabilities;
Source: Analysis of workforce data.
Trigger: 13. Promotion rates (competitive and noncompetitive) were
below participation rates in DHS's permanent workforce;
Groups affected: DHS employees with disabilities and targeted
disabilities;
Source: Analysis of workforce data.
Trigger: 14. Participation rates were below the "federal high" in DHS's
temporary workforce;
Groups affected: DHS employees with disabilities and targeted
disabilities;
Source: Analysis of workforce data.
Trigger: 15. Increased incidents of workplace harassment,
discrimination, and violence;
Groups affected: Muslims, Arabs, South Asians, and Sikhs;
Source: November 19, 2001, EEOC, Department of Justice and Department
of Labor "Joint Statement Against Employment Discrimination in the
Aftermath of the September 11 Terrorist Attacks".
Source: GAO analysis of DHS's 2007 and 2008 MD-715 reports.
[A] The CLF is defined as those 16 and older (including federal
workers) who are employed or looking for work and are not in the
military or institutionalized.
[B] EEOC uses nine occupational categories for the federal workforce--
officials and managers, professionals, technicians, sales,
administrative support workers, craft workers, operatives, laborers,
and service workers. See EEOC publication for definitions of the nine
occupational categories.
[C] EEOC defines the RCLF as the available pool in the CLF for a
specific occupation, including geographic considerations of the
recruitment area.
[D] According to DHS's 2008 MD-715 report, cross-cutting, high-profile
occupations within DHS are mission-critical occupations that reside in
multiple organizational elements or by their very nature are high-
profile occupations, for example, transportation security officers.
[E] Types of appointment include permanent, temporary, and
nonappropriated funds.
[F] EEOC has designated the "federal high" as the benchmark for
comparing an agency's employment of individuals with targeted
disabilities. The federal high is of a federal agency (with 500 or more
permanent employees) that had the highest participation rate of
employees with targeted disabilities during the prior fiscal year. For
2008, the federal high was 2.65 percent.
[G] According to EEOC, to encourage the hiring, placement, and
advancement of selected individuals with disabilities in affirmative
action planning, EEOC has identified nine categories of targeted
disabilities: (1) deafness; (2) blindness; (3) missing extremities; (4)
partial paralysis; (5) complete paralysis; (6) convulsive disorders;
(7) mental retardation; (8) mental illness; and (9) distortion of limb,
spine, or both.
[End of table]
To identify triggers, agencies are to prepare and analyze workforce
data tables comparing participation rates to designated benchmarks
(such as representation in the civilian labor force (CLF)[Footnote 8]
or the agency's total workforce) by gender, race, ethnicity, or
disability status in various subsets of their workforces (such as by
grade level or major occupations and among new hires, separations,
promotions, and career development programs). According to EEOC's MD-
715 instructions, participation rates below a designated benchmark for
a particular group are triggers. Along with the workforce data tables,
according to EEOC's MD-715 instructions, agencies are to regularly
consult additional sources of information to identify areas where
barriers may operate to exclude certain groups. Other sources of
information include, but are not limited to:
* EEO complaints and EEO-related grievances filed;
* findings of discrimination on EEO complaints;
* surveys of employees on workplace environment issues;
* exit interview results;
* surveys of human resource program staff, managers, EEO program staff,
counselors, investigators, and selective placement coordinators;
* input from agency employee and advocacy groups and union officials;
* available government reports (i.e., those of EEOC, GAO, OPM, the
Merit Systems Protection Board, and the Department of Labor); and:
* local and national news reports.
EEOC officials said that these sources may reveal triggers that may not
be present in the workforce data tables. Several of the above-listed
sources provide direct employee input on employee perceptions of the
effect of agency policies and procedures. For example, according to
EEOC instructions, employee surveys may reveal information on
experiences with, perceptions of, or difficulties with a practice or
policy within the agency. Further, EEOC's instructions state that
reliance solely on workforce profiles and statistics will not meet the
mandate of MD-715. When workforce data and other sources of information
indicate that a barrier may exist, agencies are to conduct further
inquiry to identify and examine the factors that caused the situation
revealed by workforce data or other sources of information.
To identify triggers, CRCL stated that it regularly reviews complaint
data it must submit annually to EEOC and data collected from reports
CRCL is required to submit under various statutes, executive orders,
and initiatives, including the Notification and Federal Employee
Antidiscrimination and Retaliation Act,[Footnote 9] Federal Equal
Employment Opportunity Recruitment Program,[Footnote 10] Executive
Order 13171 on Hispanic employment in the federal government, Disabled
Veterans Affirmative Action Program,[Footnote 11] White House
Initiative on Historically Black Colleges and Universities, and White
House Initiative on Tribal Colleges and Universities. According to CRCL
officials, in the past, CRCL has also relied upon the DHS online
departmental newsletter, periodicals, and news media to identify
triggers.
We have previously reported that successful organizations empower and
involve their employees to gain insights about operations from a
frontline perspective,increase their understanding and acceptance of
organizational goals and objectives, and improve motivation and
morale.[Footnote 12] Obtaining the input of employees in identifying
triggers would provide a frontline perspective on where potential
barriers exist. Employee input can come from a number of sources
including employee groups, exit interviews, and employee surveys. CRCL
said that it does not consider input from employee groups in conducting
its MD-715 analysis, but the Diversity Council's Diversity Policy and
Planning Subcouncil has recently begun to reach out to form
partnerships with employee associations such as the National
Association of African-Americans in the Department of Homeland
Security. In addition, according to DHS's 2008 MD-715 report, DHS does
not currently have a departmentwide exit survey, but according to a
senior OCHCO official, OCHCO plans to develop a prototype exit survey
with the eventual goal of proposing its use throughout DHS.
Although DHS does not have the structures in place to obtain employee
input departmentwide from employee groups and exit surveys, DHS could
use the FHCS and DHS's internal employee survey to obtain employee
input in identifying potential barriers. OPM administers the FHCS
biennially in even-numbered years, and DHS administers its own internal
survey in off years.[Footnote 13] Both surveys collect data on
employees' perceptions of workforce management, organizational
accomplishments, agency goals, leadership, and communication. We have
previously reported that disaggregating employee survey data in
meaningful ways can help track organizational priorities.[Footnote
14]According to information from officials in OPM's Division for
Strategic Human Resources Policy, which administers and analyzes the
FHCS, results by gender, national origin, and race are available at the
agency level (i.e., DHS) on each agency's secure site.[Footnote 15]
DHS's internal survey also collects demographic data on race, gender,
and national origin of respondents. DHS could analyze responses from
the FHCS and its internal employee survey by race, gender, and national
origin to determine whether employees of these groups perceive a
personnel policy or practice as a possible barrier. For example, one
question on the 2008 FHCS asked whether supervisors or team leaders in
the employee's work unit support employee development. Fifty-eight
percent of DHS respondents agreed and 21 percent disagreed with the
statement. The 2007 DHS internal survey asked whether employees receive
timely information about employee development programs. Thirty-nine
percent of respondents provided a positive response; 35 percent
provided a negative response. Although a CRCL staff member reviews the
FHCS and DHS's internal survey data as part of an OCHCO employee
engagement working group, the staff member does not review DHS
responses based on race, gender, and national origin. Responses based
on demographic group could indicate whether a particular group
perceives a lack of opportunity for employee development and suggest a
need to further examine these areas to determine if barriers exist.
Without employee input on DHS personnel policies and practices, DHS is
missing opportunities to identify potential barriers. Regular employee
input could help DHS to identify potential barriers and enhance its
efforts to acquire, develop, motivate, and retain talent that reflects
all segments of society and our nation's diversity.
DHS Identified Workforce Barriers in 2007:
In fiscal year 2007, DHS conducted its first departmentwide barrier
analysis. This effort involved further analysis of the triggers
initially identified in 2004 to determine if there were actual barriers
and their causes. According to DHS's 2007 MD-715 report, DHS limited
its barrier analysis to an examination of policies and management
practices and procedures that were in place during fiscal year 2004.
Therefore, according to the report, policies, procedures, and practices
that were established or used after fiscal year 2004 were outside the
scope of this initial barrier analysis.[Footnote 16] Based on triggers
DHS identified in 2004, DHS's departmentwide barrier analysis
identified the following four barriers:
1. Overreliance on the Internet to recruit applicants.
2. Overreliance on noncompetitive hiring authorities.
3. Adequacy of responses to Executive Order 13171, Hispanic Employment
in the Federal Government; specifically, in several components that
there was no evidence of specific recruitment initiatives that were
directed at Hispanics.
4. Nondiverse interview panels; specifically, interview panels that did
not reflect the diversity of applicants.
DHS Has Identified Planned Activities to Address Barriers, but Has
Modified Nearly All of Its Target Completion Dates:
According to EEOC guidance, barrier elimination is vital to achieving
the common goal of making the federal government a model employer. Once
an agency identifies a likely factor (or combination of factors)
adversely affecting the employment opportunities of a particular group,
it must decide how to respond. Barrier elimination is the process by
which an agency removes barriers to equal participation at all levels
of its workforce. EEOC's instructions provide that in MD-715 reports,
agencies are to articulate objectives accompanied by specific action
plans and planned activities that the agency will take to eliminate or
modify barriers to EEO. Each action item must set a completion date and
identify the one high-level agency official who is responsible for
ensuring that the action item is completed on time. In addition,
according to EEOC's instructions, agencies are to continuously monitor
and adjust their action plans to ensure the effectiveness of the plans
themselves, both in goal and execution. This will serve to determine
the effectiveness of the action plan and objectives. Figure 3 shows the
barrier elimination and assessment steps under MD-715.
Figure 3: Barrier Elimination and Assessment:
[Refer to PDF for image: illustration]
Step Three:
Barrier elimination:
* Determine whether barriers are job related and consistent with
business necessity; if not, plan to eliminate barriers;
* Devise a plan to address barrier causes;
* Report plan and progress to EEOC on an annual basis.
Step Four:
Assess success of plan:
* Track progress of barrier elimination”progress should be measurable;
* Hold agency officials accountable;
* Periodically assess the plan;
* Make adjustments to plan as necessary.
Source: GAO modification of EEOC guidance.
Note: EEOC concurred with GAO's modification of EEOC's guidance.
[End of figure]
DHS Modified Nearly All Target Completion Dates on Planned Actions to
Address Barriers:
Our analysis of DHS's MD-715 2007 and 2008 reports showed DHS
articulated 12 different planned activities to address the identified
barriers, including 1 new planned activity in 2008.[Footnote 17] Of the
12 planned activities, 2 relate to recruitment practices and
strategies, specifically implementing a departmentwide recruitment
strategy and targeting recruitment where there are low participation
rates. Two other planned activities relate to the development of
additional guidance, specifically on composition of interview panels
and increasing educational opportunities. For each barrier, DHS
identifies at least one planned activity--eight in total--related to
collecting and analyzing additional data. According to DHS's 2007 and
2008 MD-715 reports, DHS's primary objective is to capture and analyze
the additional data needed to link the barriers to the relevant
triggers.
In addition, of the 12 different planned activities, 5 involve
collaboration between CRCL and OCHCO. One planned activity to address
overreliance on the use of the Internet to recruit applicants calls for
the development of an applicant flow tool to gather data on applicants,
which would enable CRCL and OCHCO to analyze recruitment and hiring
results. According to CRCL, its staff collaborate with OCHCO by
evaluating and providing feedback on development of the tool. We have
previously reported on the benefits of coordination and collaboration
between the EEO and the human capital offices within agencies.[Footnote
18] During our previous work reviewing coordination of federal
workplace EEO, an EEOC official commented that a review of barrier
analyses in reports submitted under MD-715 showed that the highest-
quality analyses had come from agencies where there was more
coordination between staff of the human capital and EEO offices.
Table 2 shows DHS's planned activities, the identified barriers to
which they relate, and the target completion dates.
Table 2: DHS-Identified Barriers, Planned Activities, and Target
Completion Dates:
Identified barrier:
Overreliance on the Internet to recruit applicants for cross-cutting,
high-profile occupations;
Planned activities[A]:
1. Partner with OCHCO to "Implement an enterprise-wide recruitment
strategy."[B];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): (09/30/2009);
2008 update: No 2008 update was listed for this planned activity.
Planned activities[A]:
2. Partner with OCHCO to "Deploy applicant flow tool to analyze
recruitment and hiring results";
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2009; (09/30/2008);
2008 update: OCHCO indicated that it is working toward a redeployment
of the e-Recruitment System.
Planned activities[A]:
3. Collect and analyze additional data that could more conclusively
demonstrate a link between overreliance on online recruiting media and
equality of opportunity for applicants[C];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010; (09/30/2009);
2008 update: A lesson learned in fiscal year 2008 was that targeted
recruiting can be done more efficiently over the Internet and that DHS
needs to develop an online methodology in fiscal year 2009 to reach
active candidates looking for jobs and passive (not actively looking)
candidates who have the appropriate skills and education.
Planned activities[A]:
4. Develop a financial grid with information about the employee
group(s) targets for a specific recruitment tactic[D];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010; (03/30/2009);
2008 update: See #3.
Identified barrier:
Overreliance of noncompetitive hiring authorities;
Planned activities[A]:
1. Coordinate with OCHCO to ensure that the applicant flow tool has the
capability to capture the additional data identified in #2;
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2009; (09/30/08);
2008 update: CHCO indicated it is working toward a redeployment of the
e-Recruitment System.
Planned activities[A]:
2. Collect and analyze additional data that would more conclusively
demonstrate a link between overreliance on noncompetitive hiring
authorities and equality of opportunity for applicants[C];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010; (09/30/2009);
2008 update: CRCL will identify any specific follow-on actions required
after the potential barriers are confirmed.
Planned activities[A]:
3. Have the DHS Corporate Recruitment Council target candidates for
components that have low participation rates[E];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010;
2008 update: N/A[F].
Identified barrier:
Lack of specific recruitment initiatives directed to Hispanics in
several components;
Planned activities[A]:
1. Partner with OCHCO to "Implement an enterprise-wide recruitment
strategy"[B];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): (09/30/2009);
2008 update: CRCL participated in the DHS Corporate Recruitment
Council, which in fiscal year 2008 targeted five major categories of
candidates to target.
Planned activities[A]:
2. Coordinate with OCHCO to ensure that the applicant flow tool has the
capability to capture the additional data identified under item #3;
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2009; (12/31/2008);
2008 update: OCHCO indicated that it is working towards a redeployment
of the e-Recruitment System.
Planned activities[A]:
3. Collect additional data that could more conclusively demonstrate a
link between problematic/insufficient responses to Executive Order
13171 and equality of opportunity for applicants and employees[C];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010; (09/30/2009);
2008 update: CRCL will identify any specific follow-on actions required
after the potential barriers are confirmed.
Planned activities[A]:
4. Develop departmentwide guidance to address the issue of levels of
education among Hispanics in the pipeline;
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010; (03/31/2009);
2008 update: No 2008 update was listed for this planned activity.
Planned activities[A]:
5. Have the DHS Corporate Recruitment Council target candidates for
components that have underrepresentation[E];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010;
2008 update: N/A[F].
Identified barrier:
Nondiverse interview panels;
Planned activities[A]:
1. Collaborate with OCHCO in the development of guidelines that
addresses the diversity/composition of interview panels;
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2009; (09/30/2008);
2008 update: No 2008 update was listed for this planned activity.
Planned activities[A]:
2. Collect additional data to determine the impact of nondiverse
interview panels[C];
Modified target completion date from 2008 MD-715 report and (original
date from 2007 MD-715 report): 12/31/2010; (09/30/2009);
2008 update: CRCL will identify any specific follow-on actions required
after the potential barriers are confirmed.
Source: GAO analysis of DHS's 2007 and 2008 MD-715 reports.
[A] DHS has identified 12 unique planned activities. The planned
activities listed total 14 because 2 planned activities are listed
twice.
[B] This planned activity is listed twice.
[C] In the fiscal year 2008 MD-715 report, DHS specifies the additional
information to obtain.
[D] According to DHS's 2008 MD-715 report, the financial grid will
identify the cost-effectiveness and human capital yield that results
from using a specific recruitment tactic to acquire specific employee
groups. Also, the grid data will produce information about the
investment costs allocated for each recruitment tactic for each
employee group as well as information about the number of contacts made
using a specific approach.
[E] This planned activity is listed twice.
[F] Not applicable. This planned activity was first identified in the
fiscal year 2008 MD-715 report; therefore, it could not have been
modified in the 2008 report.
[End of table]
For the planned activities identified in its 2007 MD-715 report, DHS
has modified the target date for all but one of them. As reported in
the 2008 MD-715 report, the original target completion dates have been
delayed anywhere from 12 to 21 months. In addition, since DHS filed its
2008 MD-715 report, DHS modified one of the target dates it had
previously modified in its 2008 report. DHS has not completed any of
the planned activities articulated in its 2007 and 2008 MD-715 reports.
According to CRCL officials, although it has not completed any planned
activities to address identified barriers, DHS has completed some
planned activities identified in fiscal years 2007 and 2008 related to
improving its EEO program.
According to CRCL, DHS modified target dates primarily because of
staffing shortages in both CRCL and OCHCO, including the retirement in
2008 of three senior CRCL officials (including the Deputy Officer for
EEO Programs) and extended absences of the remaining two staff. In
addition, according to senior officials, during fiscal year 2008, OCHCO
experienced significant staff shortages and budgetary issues and lost
its contract support. According to the Deputy Officer for EEO Programs,
fiscal year 2009 is a rebuilding year. CRCL is adding five new
positions, in addition to the existing three, to the CRCL unit
responsible for preparing and submitting DHS's MD-715 reports and
implementing MD-715 planned activities. According to CRCL, once it is
fully staffed, it will be able to expand services and operations.
DHS has not established interim milestones for the completion of
planned activities to address barriers. According to DHS officials, its
MD-715 reports and Human Capital Strategic Plan represent the extent of
DHS project plans and milestones for completing planned activities.
These documents include only the anticipated outcome, not the essential
activities needed to achieve the outcome. For example, in DHS's 2007
and 2008 MD-715 reports, CRCL identifies an applicant flow tool to
analyze recruitment and hiring results as a planned activity to address
the barrier of overreliance on the use of the Internet to recruit
applicants. DHS's Human Capital Strategic Plan also identifies an
applicant flow tool to analyze recruitment and hiring results as an
action to achieve its departmentwide diversity goal. DHS does not
articulate interim steps, with milestones, to achieve this outcome in
either document.
In order to help ensure that agency programs are effectively and
efficiently implemented, it is important that agencies implement
effective internal control activities.[Footnote 19] These activities
help ensure that management directives are carried out. We have
previously reported that it is essential to establish and track
implementation goals and establish a timeline to pinpoint performance
shortfalls and gaps and suggest midcourse corrections. Further, it is
helpful to focus on critical phases and the essential activities that
need to be completed by a given date.[Footnote 20] In addition, we
recommended in our 2005 report on DHS's management integration that DHS
develop a management integration strategy. Such a strategy would
include, among other things, clearly identifying the critical links
that must occur among initiatives and setting implementation goals and
a timeline to monitor the progress of these initiatives and to ensure
that the necessary links occur.[Footnote 21] Identifying the critical
phases of each planned activity necessary to achieve the intended
outcome with interim milestones could help DHS ensure that its efforts
are moving forward and manage any needed midcourse corrections, while
minimizing modifications of target completion dates.
DHS Reports Progress on EEO and Diversity Initiatives:
According to CRCL and OCHCO officials, DHS is making progress on
initiatives relating to (1) outreach and recruitment, (2) employee
engagement, and (3) accountability. DHS's Executive Director of Human
Resources Management and Services told us that DHS is currently
implementing a targeted recruitment strategy based on representation
levels, which includes attending career fairs and entering into
partnerships with organizations such as the Black Executive Exchange
Program. CRCL officials also said that CRCL staff participate on the
Corporate Recruitment Council, which meets each month and includes
recruiters from each of the components. In addition, according to the
Human Capital Strategic Plan diversity goal, DHS plans to establish a
diversity advisory network of external stakeholders. According to CRCL,
this effort includes specific outreach and partnership activities with
such groups as the National Association for the Advancement of Colored
People, Blacks in Government, League of United Latin American Citizens,
Organization of Chinese Americans, Federal Asian Pacific American
Council, Federally Employed Women, National Organization of Black Law
Enforcement Executives, and Women in Federal Law Enforcement.
DHS has also reported progress on employee engagement efforts. The
Executive Director of Human Resources Management and Services also told
us that DHS is in the planning stages of forming a department-level
employee council comprising representatives from each diversity network
at each of DHS's components.[Footnote 22] In addition, according to
DHS's Human Capital Strategic Plan, DHS will incorporate questions into
its internal employee survey specifically addressing leadership and
diversity. The planned completion for this effort is the first quarter
of fiscal year 2010.
To address accountability, the Executive Director of Human Resources
Management and Services said that DHS added a Diversity Advocate core
competency as part of DHS's fiscal year 2008 rating cycle for Senior
Executive Service (SES) performance evaluations. Under DHS's SES pay-
for-performance appraisal system, ratings on this and other core
competencies affect SES bonuses and pay increases. According to DHS's
Competency Illustrative Guidance, the standard provides for each senior
executive to promote workforce diversity, provide fair and equitable
recognition and equal opportunity, and promptly and appropriately
address allegations of harassment or discrimination. According to the
Executive Director of Human Resources Management and Services, OCHCO is
currently developing plans, with the participation of CRCL, to
implement a similar competency in 2010 for managers and supervisors,
although the specific details on implementation are not yet finalized.
DHS Reports Using a Variety of Means to Oversee and Support Components:
According to MD-715 and its implementing guidance, a parent agency is
to ensure that its components implement the provisions of MD-715 and
make a good faith effort to identify and remove barriers to equality of
opportunity in the workplace. Among other requirements, the parent
agency is responsible for ensuring that its reporting components--those
that are required to submit their own MD-715 reports--complete those
reports. The parent agency is also responsible for integrating the
components' MD-715 reports into a departmentwide MD-715 report.
[Footnote 23] According to officials from EEOC's Office of Federal
Operations, how a department oversees and manages this process is at
the discretion of the department. In addition, to ensure management
accountability, the agency, according to MD-715, should conduct regular
internal audits, at least annually, to assess, among other issues,
whether the agency has made a good faith effort to identify and remove
barriers to equality of opportunity in the workplace.
At DHS, according to the DHS Acting Officer for CRCL and the Deputy
Officer for EEO Programs, component EEO directors do not report
directly to CRCL but to their respective component heads. While this
EEO organizational structure is similar to other cross-cutting lines of
business (LOB), other cross-cutting LOBs have indirect reporting
relationships, established through management directives, between the
component LOB head and the DHS LOB chief for both daily work and annual
evaluation. In contrast, the Deputy Officer for EEO Programs stated
that he relies on a collaborative relationship with the EEO directors
of the components to carry out his responsibilities. According to the
Deputy Officer for EEO Programs, component EEO programs have supported
department-wide initiatives when asked to join such efforts.
On February 4, 2008, the Secretary of Homeland Security delegated
authority to the Officer for CRCL to integrate and manage the DHS EEO
Program, and currently a management directive interpreting the scope of
this authority is awaiting approval. The Deputy Officer for EEO
Programs stated that until the management directive is approved and
implemented, the actual effect of the delegated authority is unclear.
Lacking direct authority, the Deputy Officer stated that he relies on a
collaborative relationship with the EEO directors of the components to
carry out his responsibilities. According to the Deputy Officer for EEO
Programs, one means of collaboration with the components is through the
EEO Council, which meets monthly and is chaired by the Deputy Officer
for EEO Programs and is composed of the EEO directors from each
component. The Deputy Officer for EEO Programs said that he uses the
EEO Council to share best practices, enhance cooperation, and enforce
accountability.
To assist the components in their MD-715 analyses, according to CRCL
officials, CRCL prepares the workforce data tables for each of the
components required to submit its own MD-715 report. CRCL obtains the
data from OCHCO and sends them to a contractor to create the workforce
data tables. According to CRCL officials, DHS is pursuing an automated
information management system that will allow CRCL to conduct in-house
centralized workforce data analysis at the component level.
To ensure timely submissions of component MD-715 reports, DHS's CRCL
sets internal deadlines by which reporting components are to submit
their final MD-715 reports. CRCL instructs the components to follow
EEOC guidance in completing their reports. CRCL also gives components
the option of submitting a draft report for CRCL to review and provide
technical guidance on before the final report is submitted. For those
components that have submitted draft reports, CRCL has provided written
comments that could be incorporated into the components' final reports.
A CRCL official told us that for fiscal year 2009 draft submissions,
CRCL will continue this practice and encourage components to submit
draft reports.
Since DHS was formed in 2003, CRCL has completed a full EEO program
evaluation of the Federal Law Enforcement Training Center (FLETC) in
fiscal year 2007, which focused on FLETC's EEO Office's operations and
activities. In fiscal year 2008, CRCL conducted the audit work on a
full program evaluation of the Federal Emergency Management Agency's
Equal Rights Office's operations and activities, but to date CRCL has
not issued the audit report. In fiscal year 2006, CRCL conducted a
partial evaluation of the Transportation Security Administration's
Office for Civil Rights, which focused on EEO counseling, complaint
tracking, and alternative dispute resolution. In addition, in fiscal
year 2009, a contractor issued a report describing the findings of a
program review of the U.S. Coast Guard's Office of Civil Rights.
[Footnote 24] The Deputy Officer for EEO Programs told us that CRCL
intends to conduct program reviews of the EEO programs at all
operational components by 2010, although no schedule for completing
these audits has been established.
Conclusions:
Input from employee groups reflects the perspective of the individuals
directly affected by employment policies and procedures and could
provide valuable insight into whether those policies and procedures may
be barriers to EEO. Because CRCL does not regularly include employee
input from available sources, such as the FHCS and DHS's internal
employee survey, it is missing opportunities to identify potential
barriers to EEO. For barriers DHS has already identified, it is
important for DHS to ensure the completion of planned activities
through effective internal control activities, including the
identification of critical schedules and milestones that need to be
completed by a given date. Effective internal controls could help DHS
ensure that its efforts are moving forward, manage any needed midcourse
corrections, and minimize modifications of target completion dates.
Additional staff, which DHS plans to add in 2009, could help DHS
implement effective internal control activities.
Recommendations for Executive Action:
We recommend that the Secretary of Homeland Security take the following
two actions:
* Direct the Officer for CRCL to develop a strategy to regularly
include employee input from such sources as the FHCS and DHS's internal
survey in identifying potential barriers to EEO.
* Direct the Officer for CRCL and the CHCO to identify essential
activities and establish interim milestones necessary for the
completion of all planned activities to address identified barriers to
EEO.
Agency Comments:
We provided a draft of this report to the Secretary of Homeland
Security for review and comment. In written comments, which are
reprinted in appendix I, the Director of DHS's Departmental GAO/OIG
Liaison Office agreed with our recommendations. Regarding the first
recommendation, the Director agreed that DHS should develop a
departmentwide strategy to regularly include employee input from the
FHCS and DHS internal employee survey to identify barriers, but noted
that DHS component EEO programs already use employee survey data to
develop annual action plans to address identified management issues.
Regarding the second recommendation, the Director wrote that CRCL has
already begun revising its plans to identify specific steps and interim
milestones to accomplish the essential activities. DHS also provided
technical comments, which we incorporated as appropriate.
As agreed with your office, unless you publicly announce the contents
of this report earlier, we plan no further distribution until 30 days
from the report date. At that time, we will send copies to the
Secretary of Homeland Security and other interested parties. The report
also will be available at no charge on GAO's Web site at [hyperlink,
http://www.gao.gov].
If you or your staff have any questions concerning this report, please
contact me at (202) 512-6806 or jonesy@gao.gov. Contact points for our
Offices of Congressional Relations and Public Affairs may be found on
the last page of this report. Staff who made major contributions to
this report are listed in appendix II.
Sincerely yours,
Signed by:
Yvonne D. Jones:
Director, Strategic Issues:
[End of section]
Appendix I: Comments from the Department of Homeland Security:
U.S. Department of Homeland Security:
Washington, DC 20528:
July 13, 2009:
Ms. Yvonne D. Jones:
Director, Strategic Issues:
United States Government Accountability Office:
Washington, DC 20548:
Dear Ms. Jones:
Thank you for the opportunity to review and comment on the U.S.
Government Accountability Office, s (GAO) Draft Report GAO-09-639,
entitled DHS Has Opportunities to Better Identify and Address Barriers
to EEO in its Workforce. The Department of Homeland Security (DHS) and
the Office for Civil Rights and Civil Liberties (CRCL) concurs with
GAO's proposed recommendations.
Below, we address the specific GAO recommendations:
GAO Recommendation #1: Direct the Officer for CRCL to develop a
strategy to regularly include employee input from such sources as the
Federal Human Capital Survey (FHCS) and DHS's internal survey in
identifying potential barriers to EEO.
DHS Response: Concur. CRCL agrees DHS should develop a department-wide
strategy to regularly include employee input from the FHCS and DHS
Employee Satisfaction Survey as part of DHS's regular barrier analyses.
CRCL notes, however, DHS component EEO and human capital programs
already use employee survey data to develop annual action plans to
address identified management issues. DHS's components track and report
the results of their action plans on a quarterly basis. CRCL also notes
DHS has relied upon, and will continue to examine the DHS Today on-line
departmental newsletter, periodicals, and news media as a means to
identify potential triggers.
GAO Recommendation #2: Direct the Officer of CRCL and the Chief Human
Capital Officer (CHCO) to identify essential activities and establish
interim milestones necessary for the completion of all planned
activities to address identified barriers to EEO.
DHS Response: Concur. Although CRCL included an action plan in DHS's FY
2008 MD-715 report, CRCL has already begun revising the plan to include
specific steps to accomplish the essential activities, as well as
interim milestones. Also, DHS component EEO programs have previously
identified and implemented action plans with milestones to address
their component specific barriers to EEO.
We thank you for considering our comments on this important issue. We
look forward to working with the GAO on future Homeland Security
issues.
Sincerely,
Signed by:
Jerald E. Levine:
Director:
Departmental GAO/OIG Liaison Office:
[End of section]
Appendix II: GAO Contact and Staff Acknowledgments:
GAO Contact:
Yvonne D. Jones, (202) 512-6806 or jonesy@gao.gov:
Acknowledgments:
In addition to the contact named above, Belva Martin, Acting Director;
Amber Edwards; Karin Fangman; Melanie H. Papasian; Tamara F. Stenzel;
and Greg Wilmoth made key contributions to this report.
[End of section]
Footnotes:
[1] DHS comprises 16 major components: Directorate for National
Protection and Programs, Directorate for Science and Technology,
Directorate for Management, Office of Policy, Office of Health Affairs,
Office of Intelligence and Analysis, Office of Operations Coordination,
Federal Law Enforcement Training Center, Domestic Nuclear Detection
Office, Transportation Security Administration, U.S. Customs and Border
Protection, U.S. Citizenship and Immigration Services, U.S. Immigration
and Customs Enforcement, U.S. Coast Guard, Federal Emergency Management
Agency, and U.S. Secret Service.
[2] GAO, High-Risk Series: An Update, [hyperlink,
http://www.gao.gov/products/GAO-09-271] (Washington, D.C.: January
2009).
[3] GAO, Homeland Security: Overview of Department of Homeland Security
Management Challenges, [hyperlink,
http://www.gao.gov/products/GAO-05-573T] (Washington, D.C.: Apr. 20,
2005).
[4] GAO, Human Capital: Federal Workforce Challenges in the 21st
Century, [hyperlink, http://www.gao.gov/products/GAO-07-556T]
(Washington, D.C.: Mar. 6, 2007).
[5] GAO, Older Workers: Enhanced Communication among Federal Agencies
Could Improve Strategies for Hiring and Retaining Experienced Workers,
[hyperlink, http://www.gao.gov/products/GAO-09-206] (Washington, D.C.:
Feb. 24, 2009).
[6] EPCA, which was released in January 2009, provided EEOC's
assessment of the performance of selected federal agencies' EEO
programs, including DHS, during fiscal year 2006 and evaluated agencies
on selected indicators under each model element of MD-715. EPCA also
provided outcome indicators based on selected responses from OPM's
fiscal year 2006 FHCS. According to EEOC, it has removed the EPCA Web
page because EEOC is evaluating the appropriate use of the EPCA program
indicators in an attempt to ensure that the indicators chosen are
accurate measures of the performance of agency EEO programs.
[7] Although DHS identified a number of triggers based on workforce
data, DHS did not include in its 2008 MD-715 submission required data
tables on (1) applicants and new hires for major occupations, (2)
selections for internal competitive promotions, (3) internal selections
for senior-level positions, and (4) participation in career development
programs. CRCL officials stated that DHS did not submit these tables
because DHS does not currently track the data necessary to complete
these tables. DHS is in the process of testing and implementing new
systems to collect and analyze applicant flow data, which would enable
it to complete the tables on hiring and promotions. According to
documents from OCHCO, implementation of these systems is expected by
the first quarter of fiscal year 2011.
[8] The CLF is defined as those 16 and older (including federal
workers) who are employed or looking for work and are not in the
military or institutionalized.
[9] Pub. L. No. 107-174 (May 15, 2002).
[10] 5 C.F.R. §§ 720.201-207.
[11] 5 C.F.R. §§ 720.301-307.
[12] GAO, High-Risk Series: Strategic Human Capital Management,
[hyperlink, http://www.gao.gov/products/GAO-03-120] (Washington, D.C.:
January 2003).
[13] According to OPM's Web site, the FHCS, which was first
administered in 2002, is administered to full-time, permanent employees
of the major agencies represented on the President's Management Council
and the small/independent agencies that accepted an invitation to
participate in the survey. For the 2008 survey, these agencies made up
approximately 97 percent of the executive branch workforce. Of the
417,128 employees receiving surveys, 212,223 completed the survey for a
governmentwide response rate of 51 percent. According to DHS's summary
of results, DHS's internal survey was electronically administered to
all permanent civilian DHS employees as of August 2007. A total of
65,753 of 141,160 eligible employees responded to the survey for a
response rate of 47 percent.
[14] GAO, Result-Oriented Cultures, Creating a Clear Linkage between
Individual Performance and Organizational Success, [hyperlink,
http://www.gao.gov/products/GAO-03-488] (Washington, D.C.: Mar. 14,
2003).
[15] According to OPM's responses, results by age, supervisory status,
and work location departmentwide are also available on an agency's
internal secure site. At the component level, results for each question
are available on each agency's internal secure site and results by some
demographic groups are available at the request of the agency, provided
results for any group contain at least 10 respondents. When there are
fewer than 10 respondents in a group, OPM stated that it would
typically combine demographic groups (i.e., minority/nonminority,
nonsupervisors/supervisors, etc.) and then create a report.
[16] To date, DHS has not conducted any other barrier analyses.
According to CRCL officials, DHS has not conducted subsequent barrier
analyses because of resource limitations, such as staffing and limited
funding to contract for this activity.
[17] Two of the planned activities were listed under multiple barriers.
[18] GAO, Equal Employment Opportunity: Improved Coordination Needed
between EEOC and OPM in Leading Federal Workplace EEO, [hyperlink,
http://www.gao.gov/products/GAO-06-214] (Washington, D.C.: June 16,
2006).
[19] GAO, Standards for Internal Control in the Federal Government,
[hyperlink, http://www.gao.gov/products/GAO/AIMD-00-21.3.1]
(Washington, D.C.: November 1999). We used the criteria in these
standards, issued pursuant to the requirements of the Federal Managers'
Financial Integrity Act of 1982 (FMFIA), to provide the overall
framework for establishing and maintaining internal control in the
federal government. Pub. L. No. 97-255, 96 Stat. 814. Also pursuant to
FMFIA, the Office of Management and Budget issued Circular No. A-123,
revised December 21, 2004, to provide the specific requirements for
assessing and reporting on internal controls. Internal control
standards and the definition of internal control in Circular No. A-123
are based on the aforementioned GAO standards.
[20] GAO, Results-Oriented Cultures: Implementation Steps to Assist
Mergers and Organizational Transformations, [hyperlink,
http://www.gao.gov/products/GAO-03-669] (Washington, D.C.: July 2,
2003).
[21] GAO, Department of Homeland Security: A Comprehensive and
Sustained Approach Needed to Achieve Management Integration,
[hyperlink, http://www.gao.gov/products/GAO-05-139] (Washington, D.C.:
Mar. 16, 2005).
[22] Diversity networks are also called advisory, advocacy, support,
affinity, or resources groups.
[23] According to MD-715 guidance, components with a certain amount of
autonomy from their parent agencies are to prepare their own MD-715
reports. Components are to submit these reports to their headquarters
for inclusion in the agencywide report and must also file a copy with
EEOC. DHS has eight reporting components that must prepare and submit
their own MD-715 reports. DHS reporting components are the Federal
Emergency Management Agency, Federal Law Enforcement Training Center,
Transportation Security Administration, U.S. Citizenship and
Immigration Services, U.S. Coast Guard, U.S. Customs and Border
Protection, U.S. Immigration and Customs Enforcement, and U.S. Secret
Service.
[24] The results of the Coast Guard review are for official use only.
[End of section]
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