GAO 

United States Government Accountability Office

Report to the Chairman, Committee on 

Homeland Security, House of 

Representatives 

EQUAL 

EMPLOYMENT 

OPPORTUNITY 

DHS Has 

Opportunities to 

Better Identify and 

Address Barriers to 

EEO in Its Workforce 

August 2009 

GAO-09-639 
What GAO Found

United States Government Accountability Office

Why GAO Did This Study

Highlights

Accountability Integrity Reliability

August 2009

EQUAL EMPLOYMENT OPPORTUNITY

DHS Has Opportunities to Better Identify and Address

Barriers to EEO in Its Workforce 

Highlights of GAO-09-639, a report to the 

Chairman, Committee on Homeland 

Security, House of Representatives 

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 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. 

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 MD715 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. 

View GAO-09-639 or key components.

For more information, contact Yvonne D. 

Jones at (202) 512-6806 or jonesy@gao.gov. 
Page i GAO-09-639 

Contents 

Letter 1

Background 3 

DHS Has Generally Relied on Workforce Data and Has Not 

Regularly Included Employee Input in Identifying Potential 

Barriers 5 

DHS Has Identified Planned Activities to Address Barriers, but Has 

Modified Nearly All of Its Target Completion Dates 12 

DHS Reports Using a Variety of Means to Oversee and Support 

Components 19 

Conclusions 22 

Recommendations for Executive Action 22 

Agency Comments 22 

Appendix I Comments from the Department of Homeland 

Security 24 

Appendix II GAO Contact and Staff Acknowledgments 26 

 

 

Tables 

Table 1: Triggers Identified in DHS’s 2008 Management Directive 

715 Report 7 

Table 2: DHS-Identified Barriers, Planned Activities, and Target 

Completion Dates 15 

Figures 

Figure 1: DHS Officials with Primary Responsibility for DHS 

Departmentwide EEO and Diversity Activities 4 

Figure 2: Barrier Identification Process 6 

Figure 3: Barrier Elimination and Assessment 13 

 Equal Employment Opportunity 
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 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 

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Page ii GAO-09-639 Equal Employment Opportunity
Page 1 GAO-09-639 

 

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.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.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.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 

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, GAO-09-271 (Washington, D.C.: January 2009). 

3

GAO, Homeland Security: Overview of Department of Homeland Security Management 

Challenges, GAO-05-573T (Washington, D.C.: Apr. 20, 2005). 

 Equal Employment Opportunity 
 

of society and our nation’s diversity.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 2012.5

 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. 

 

4

GAO, Human Capital: Federal Workforce Challenges in the 21st Century, 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, GAO-09-206 (Washington, D.C.: 

Feb. 24, 2009).

Page 2 GAO-09-639 Equal Employment Opportunity
 

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. 

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 MD715, 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).6

 

Background 

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. 

 

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. 

Page 3 GAO-09-639 Equal Employment Opportunity
 

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 

Source: GAO, based on information obtained from DHS.

Civil Rights and Civil

Liberties Officer

Under Secretary

for Management

Deputy Officer

for EEO Programs

Chief Human

Capital Officer

Executive Director,

Human Resources

Management and Services

Secretary of

Homeland Security

Co-chairs of the Diversity Policy and Planning Subcouncil

Chair of the DHS Diversity Council

Office of the 

Under Secretary 

for Management

Office of Civil 

Rights and Civil 

Liberties

Page 4 GAO-09-639 Equal Employment Opportunity
 

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. 

According to EEOC’s MD-715 instructions, barrier identification is a twopart 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. 

DHS Has Generally 

Relied on Workforce 

Data and Has Not 

Regularly Included 

Employee Input in 

Identifying Potential 

Barriers 

Page 5 GAO-09-639 Equal Employment Opportunity
 

Figure 2: Barrier Identification Process 

Source: GAO modification of EEOC guidance.

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

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

STEP ONE

STEP TWO

Note: EEOC concurred with GAO’s modification of EEOC’s guidance. 

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.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 

 

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. 

Page 6 GAO-09-639 Equal Employment Opportunity
 

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 Groups affected Source 

1. Participation rates in the total workforce 

were below participation rates in the 

civilian labor force (CLF)a 

Total females and White females Analysis of workforce data 

2. Participation rates among officials and 

managersb

 were below participation 

rates in the relevant civilian labor force 

(RCLF)c

Total females and White females Analysis of workforce data 

3. Participation rates among 

professionalsb

 were below participation 

rates in the RCLF 

Total females and White females Analysis of workforce data 

4. Participation rates among service 

workersb

 were below participation rates 

in the RCLF 

Total females and White females Analysis of workforce data 

5. Participation rates among General 

Schedule (GS) grades GS-14 and GS15 and the Senior Executive Service 

(SES) were below participation rates in 

DHS’s total GS workforce population 

GS-14: Hispanic males 

GS-15: Hispanic males 

SES: Hispanic males, females 

(collectively), African American females, 

and African American males 

Analysis of workforce data 

6. Participation rates among cross-cutting, 

high-profile occupationsd

 were below 

participation rates in the RCLF 

Total females and White females Analysis of workforce data 

7. Participation rates among new hires by 

type of appointmente were below 

participation rates in the CLF 

Total females and White females Analysis of workforce data 

8. Award rates of quality salary increases 

were below participation rates in DHS’s 

permanent workforce 

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 

Analysis of workforce data 

9. Separation rates (voluntary and 

involuntary) were higher than 

participation rates in DHS’s permanent 

workforce 

Voluntary: Total females, White females, 

African American males, and African 

American females 

Involuntary: African American males and 

total females 

Analysis of workforce data 

10. Participation rates (temporary and 

permanent workers) were below the 

“federal high” in DHS’s total workforcef 

DHS employees with targeted disabilitiesg Analysis of workforce data 

Page 7 GAO-09-639 Equal Employment Opportunity
 

Trigger Groups affected Source 

11. Physical barriers to employment DHS employees with targeted disabilities MD-715 self-assessment checklist (part G) 

and comments made at a disability 

awareness training for managers 

12. Separation rates (total and voluntary) 

exceeded participation rates in DHS’s 

permanent workforce 

DHS employees with disabilities and 

targeted disabilities 

Analysis of workforce data 

13. Promotion rates (competitive and 

noncompetitive) were below 

participation rates in DHS’s permanent 

workforce 

DHS employees with disabilities and 

targeted disabilities 

Analysis of workforce data 

14. Participation rates were below the 

“federal high” in DHS’s temporary 

workforce 

DHS employees with disabilities and 

targeted disabilities 

Analysis of workforce data 

15. Increased incidents of workplace 

harassment, discrimination, and 

violence 

Muslims, Arabs, South Asians, and Sikhs 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. 

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)8

 or the agency’s total 

 

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. 

Page 8 GAO-09-639 Equal Employment Opportunity
 

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,9

 Federal Equal Employment Opportunity Recruitment 

 

9

Pub. L. No. 107-174 (May 15, 2002). 

Page 9 GAO-09-639 Equal Employment Opportunity
 

Program,10 Executive Order 13171 on Hispanic employment in the federal 

government, Disabled Veterans Affirmative Action Program,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.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 

 

105 C.F.R. §§ 720.201-207. 

115 C.F.R. §§ 720.301-307. 

12GAO, High-Risk Series: Strategic Human Capital Management, GAO-03-120 

(Washington, D.C.: January 2003). 

Page 10 GAO-09-639 Equal Employment Opportunity
 

survey in off years.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.14According 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.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 

 

13According 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. 

14GAO, Result-Oriented Cultures, Creating a Clear Linkage between Individual 

Performance and Organizational Success, GAO-03-488 (Washington, D.C.: Mar. 14, 2003). 

15According 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. 

Page 11 GAO-09-639 Equal Employment Opportunity
 

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.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. 

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 

DHS Has Identified 

Planned Activities to 

Address Barriers, but 

Has Modified Nearly 

All of Its Target 

Completion Dates 

 

16To 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. 

Page 12 GAO-09-639 Equal Employment Opportunity
 

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 

Source: GAO modification of EEOC guidance.

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

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

STEP THREE

STEP FOUR

Note: EEOC concurred with GAO’s modification of EEOC’s guidance. 

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 2008.17 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—

 

17Two of the planned activities were listed under multiple barriers. 

Page 13 GAO-09-639 Equal Employment Opportunity
 

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.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. 

 

18GAO, Equal Employment Opportunity: Improved Coordination Needed between EEOC 

and OPM in Leading Federal Workplace EEO, GAO-06-214 (Washington, D.C.: June 16, 

2006). 

Page 14 GAO-09-639 Equal Employment Opportunity
 

Table 2: DHS-Identified Barriers, Planned Activities, and Target Completion Dates 

Identified barrier Planned activitiesa

Modified target 

completion date from 

2008 MD-715 report and 

(original date from 2007 

MD-715 report) 2008 update 

1. Partner with OCHCO to “Implement an 

enterprise-wide recruitment strategy.”

b

(09/30/2009) No 2008 update was listed for this 

planned activity. 

2. Partner with OCHCO to “Deploy applicant 

flow tool to analyze recruitment and hiring 

results.”

12/31/2009 

(09/30/2008) 

OCHCO indicated that it is 

working toward a redeployment of 

the e-Recruitment System.

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 

12/31/2010 

(09/30/2009) 

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. 

Overreliance on the 

Internet to recruit 

applicants for crosscutting, high-profile 

occupations.

4. Develop a financial grid with information 

about the employee group(s) targets for a 

specific recruitment tactic.d 

12/31/2010 

(03/30/2009) 

See #3. 

1. Coordinate with OCHCO to ensure that 

the applicant flow tool has the capability to 

capture the additional data identified in 

#2. 

12/31/2009 

(09/30/08) 

CHCO indicated it is working 

toward a redeployment of the eRecruitment System. 

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

12/31/2010 

(09/30/2009) 

CRCL will identify any specific 

follow-on actions required after 

the potential barriers are 

confirmed. 

Overreliance of 

noncompetitive hiring 

authorities. 

3. Have the DHS Corporate Recruitment 

Council target candidates for components 

that have low participation rates.e

12/31/2010 N/Af 

1. Partner with OCHCO to “Implement an 

enterprise-wide recruitment strategy.”

b

(09/30/2009) CRCL participated in the DHS 

Corporate Recruitment Council, 

which in fiscal year 2008 targeted 

five major categories of 

candidates to target. 

Lack of specific 

recruitment initiatives 

directed to Hispanics 

in several 

components. 

2. Coordinate with OCHCO to ensure that 

the applicant flow tool has the capability to 

capture the additional data identified 

under item #3. 

12/31/2009 

(12/31/2008) 

OCHCO indicated that it is 

working towards a redeployment 

of the e-Recruitment System. 

Page 15 GAO-09-639 Equal Employment Opportunity
 

Identified barrier Planned activitiesa

Modified target 

completion date from 

2008 MD-715 report and 

(original date from 2007 

MD-715 report) 2008 update 

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

12/31/2010 

(09/30/2009) 

CRCL will identify any specific 

follow-on actions required after 

the potential barriers are 

confirmed. 

4. Develop departmentwide guidance to 

address the issue of levels of education 

among Hispanics in the pipeline. 

12/31/2010 

(03/31/2009) 

No 2008 update was listed for this 

planned activity. 

5. Have the DHS Corporate Recruitment 

Council target candidates for components 

that have underrepresentation.e

12/31/2010 N/Af 

1. Collaborate with OCHCO in the 

development of guidelines that addresses 

the diversity/composition of interview 

panels. 

12/31/2009 

(09/30/2008) 

No 2008 update was listed for this 

planned activity. 

Nondiverse interview 

panels. 

2. Collect additional data to determine the 

impact of nondiverse interview panels.c 

12/31/2010 

(09/30/2009) 

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. 

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 MD715 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 

Page 16 GAO-09-639 Equal Employment Opportunity
 

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.19 These activities help ensure that management 

 

19GAO, Standards for Internal Control in the Federal Government, 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. 

Page 17 GAO-09-639 Equal Employment Opportunity
 

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.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.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. 

 

20GAO, Results-Oriented Cultures: Implementation Steps to Assist Mergers and 

Organizational Transformations, GAO-03-669 (Washington, D.C.: July 2, 2003). 

21GAO, Department of Homeland Security: A Comprehensive and Sustained Approach 

Needed to Achieve Management Integration, GAO-05-139 (Washington, D.C.: Mar. 16, 

2005). 

Page 18 GAO-09-639 Equal Employment Opportunity
 

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.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 payfor-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. 

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 

DHS Reports Using a 

Variety of Means to 

Oversee and Support 

Components 

 

22Diversity networks are also called advisory, advocacy, support, affinity, or resources 

groups. 

Page 19 GAO-09-639 Equal Employment Opportunity
 

components’ MD-715 reports into a departmentwide MD-715 report.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 

 

23According 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. 

Page 20 GAO-09-639 Equal Employment Opportunity
 

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.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. 

 

24The results of the Coast Guard review are for official use only. 

Page 21 GAO-09-639 Equal Employment Opportunity
 

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. 

We recommend that the Secretary of Homeland Security take the 

following two actions: Recommendations for 

Executive Action • 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. 

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. 

Agency Comments 

Page 22 GAO-09-639 Equal Employment Opportunity
 

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 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, 

Yvonne D. Jones 

Director, Strategic Issues 

Page 23 GAO-09-639 Equal Employment Opportunity
Appendix I: Comments from the Department Appendix I: Comments from the Department of Homeland Security 

of Homeland Security 

Page 24 GAO-09-639 Equal Employment Opportunity 
Appendix I: Comments from the Department 

of Homeland Security 

Page 25 GAO-09-639 Equal Employment Opportunity
Appendix II: 

A

GAO Contact and Staff 

cknowledgments 

Page 26 GAO-09-639 

Appendix II: GAO Contact and Staff 

Acknowledgments 

Yvonne D. Jones, (202) 512-6806 or jonesy@gao.gov

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. 

 Equal Employment Opportunity 

GAO Contact 

Acknowledgments 

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