# Recent Reports

Reports News from the GAO

- Clinical Research: FDA Should Evaluate Its Efforts to Recruit and Retain Its Inspection Workforce What GAO FoundThe Food and Drug Administration (FDA) conducts inspections to, among other things, help ensure the quality and integrity of clinical research used to support drugs seeking marketing approval in the U.S. FDA's clinical research inspections peaked in fiscal year 2017 but have since declined. FDA officials attributed this decrease to the COVID-19 pandemic and not having enough investigators.Number of FDA Clinical Research Inspections Related to Drugs, Fiscal Year 2014 through March 1, 2023From fiscal years 2012 through 2020, FDA classified 3 percent of clinical research inspections as having serious deficiencies that would warrant regulatory actions. Investigators GAO spoke with were frustrated that problems they identified (e.g., failure to follow research protocols) did not result in more serious classifications. FDA is limited in its ability to cite serious deficiencies for a common type of study supporting generic drugs. Specifically, the regulations for these studies do not include certain requirements for basic study conduct, such as record retention and following study protocols. FDA has started the process of revising these regulations. Having effective requirements will be important to help ensure high-quality research.FDA has faced challenges recruiting and retaining investigators, resulting in fewer inspections and a less experienced workforce. For example, FDA was unable to complete about 30 percent of one type of common inspection within the requested time frames from fiscal year 2018 through July 2023, according to agency information. FDA officials and the investigators GAO spoke with identified low compensation and high amounts of travel as contributing to these challenges. FDA has taken steps to increase recruitment and retain investigators, such as increased compensation and student loan repayment. The agency recently made progress recruiting new investigators, but attrition has been a persistent problem and it can take new investigators up to a year to independently conduct inspections. Although FDA made progress, the agency has not formally evaluated its efforts to determine their effectiveness. Such an evaluation could help FDA determine whether it is using the most appropriate tools to maintain its workforce. GAO has cited workforce as a concern across multiple FDA programs and sustained attention in this area will be critical.Why GAO Did This StudyClinical research—clinical trials and other studies involving human subjects—for drugs seeking FDA approval can occur in the U.S. or overseas. During inspections, FDA goes on-site, such as to hospitals or other health care settings, to examine research protocols and records as well as the entity and facility involved in the research. Challenges in other FDA inspection programs contributed to GAO placing FDA medical product oversight on its High-Risk List in 2009.GAO was asked to review FDA's inspections of clinical research. This report, among other objectives, describes inspections FDA conducted from fiscal years 2012 through 2023; describes the frequency with which FDA identified serious deficiencies during inspections; and examines FDA's efforts to maintain its investigator workforce. For this work, GAO examined FDA data and documents and interviewed FDA officials. GAO also interviewed 15 out of about 100 investigators, selected to represent diversity among the different investigator positions and tenure with FDA.
- Central America: USAID Should Strengthen Staffing and Fraud Risk Management for Initiative Addressing Migration to the U.S. What GAO FoundIn November 2021, the U.S. Agency for International Development (USAID) announced Centroamérica Local (CL), an initiative to empower local organizations in El Salvador, Guatemala, and Honduras to implement programs addressing root causes of migration to the U.S. GAO's review of all 18 CL grants and other awards from August 2021 through June 2023 found each included elements aligning with at least one of five pillars of the  U.S. Strategy for Addressing the Root Causes of Migration in Central America  (Root Causes Strategy). GAO also found USAID consulted with local stakeholders, including implementing partners and mission staff, in developing CL. Stakeholders told GAO that USAID's CL project development process—“co-creation”—is more collaborative than prior localization efforts and better addresses local needs.U.S. Agency for International Development (USAID) Application and Co-Creation ProcessThe El Salvador, Guatemala, and Honduras missions assessed staffing levels and requested additional positions to support localization. However, their staffing to oversee CL and other localization efforts has gaps resulting from resource constraints, such as space limitations. For example, in Guatemala, the new embassy compound is too small to accommodate all USAID mission staff. USAID has taken short-term measures, such as allowing one mission to hire short-term contractors. However, mission officials said they will need to hire additional staff to oversee the growing number of smaller awards for CL. Identifying long-term solutions to the missions' staffing shortages would help ensure adequate oversight of CL.The El Salvador, Guatemala, and Honduras missions have taken steps to identify and mitigate risks, including fiduciary, programmatic, reputational, and fraud risks that could affect CL. However, the missions have not followed GAO's leading practices for assessing fraud risk. The missions considered and documented some fraud risk through annual risk management processes but have not examined program-specific fraud risks. Also, missions and implementing partners have access to fraud awareness training, but attendance is not mandated or tracked because USAID does not require it agencywide. As a result, USAID lacks assurance that its missions and partners know how to identify and mitigate key fraud risks to CL-related programs.Why GAO Did This StudyHundreds of thousands of Salvadoran, Guatemalan, and Honduran nationals are encountered at the southwest U.S. land border each year. In July 2021, the White House launched the Root Causes Strategy to address economic, governance, and security factors driving migration to the U.S. from Central America. In November 2021, USAID announced CL, a 5-year, $300 million initiative. Through CL, USAID seeks to empower local organizations in El Salvador, Guatemala, and Honduras to address root causes of migration by, among other things, advancing economic growth, improving governance, and strengthening security.GAO was asked to review USAID's implementation of CL. Although the initiative is too new for an evaluation of its effectiveness, this report examines, among other things, the extent to which USAID (1) integrated elements of the Root Causes Strategy and consulted local stakeholders in developing CL; (2) assessed and adjusted its staffing levels for grant management and program oversight; and (3) identified risks to CL, including fraud risks. GAO reviewed USAID documents, analyzed USAID data, and interviewed USAID officials in Central America and Washington, D.C. GAO also interviewed local stakeholders in El Salvador, Guatemala, and Honduras.
- Coast Guard: Action Needed to Evaluate Efforts to Address Sexual Assault and Harassment What GAO FoundThe Coast Guard has taken action to address sexual assault and harassment but has not developed a plan to assess its efforts. In a 2020 internal investigation called “Operation Fouled Anchor,” the Coast Guard examined 102 separate allegations of sexual assault from 1990 to 2006 at the Coast Guard Academy and concluded that the academy often mishandled these cases. More recently, service members reported a total of 263 sexual harassment allegations between September 2020 through April 2023, according to Coast Guard data. After media reporting on Operation Fouled Anchor in June 2023, the Commandant directed a 90-day review of policy processes, practices, and service culture relevant to countering sexual assault and harassment in the Coast Guard. The resulting report identified areas for organizational improvement to ensure a culture of accountability and transparency. In November 2023, the Commandant directed the Coast Guard to implement 33 initial actions by certain dates to address the findings of the review and help ensure service members have an experience free from sexual assault and harassment (see figure). The actions span six categories, including training, the academy, and information and data. According to Coast Guard officials, they have completed five actions as of February 2024.Number of Coast Guard Planned Actions Each Month to Respond to Sexual Assault and Harassment and Selected Examples The Commandant-directed actions include administering a Coast Guard-wide survey and analyzing survey results. However, the service has not developed an evaluation plan to assess the results of its 33 initial actions. According to Coast Guard officials, they have had discussions about assessing the results of the actions but have not developed plans or mechanisms to do so because measuring culture change is difficult. However, these officials identified certain resources, such as employee surveys and Department of Defense officials, that could prove useful in this effort.Developing an evaluation plan and mechanisms for assessing the effectiveness of actions taken to improve its culture of accountability and transparency would better ensure that Coast Guard has the information it needs to evaluate whether the actions are helping service members have an experience free from sexual assault and harassment. Further, taking these steps would help ensure the service is improving its culture, which could assist in the recruitment and retention of its workforce.Why GAO Did This StudyThe Coast Guard is a maritime military service within the Department of Homeland Security that employs more than 55,000 personnel. Sexual assault and harassment have a negative effect on the victims, negatively affect retention, and disrupt mission readiness.This statement discusses the Coast Guard's recent efforts to address sexual assault and harassment.GAO analyzed Coast Guard documents, interviewed agency officials, and reviewed prior GAO reports on Department of Defense and Coast Guard efforts to prevent sexual assault and harassment. We also compared Coast Guard efforts to the Commandant instruction on internal controls as well as federal internal control standards.
- Human Capital: Characteristics and Administration of the Federal Wage System What GAO FoundThe Federal Wage System (FWS) and General Schedule (GS) pay system cover about 192,455 federal blue-collar wage grade and 1.5 million federal white-collar GS employees as of 2023, respectively. Each pay system has its own separate laws, regulations, and policies that govern how it is to be administered.FWS employees receive an annual pay adjustment based on pay comparisons between FWS and private sector jobs in defined wage areas that require similar skills and responsibilities. Congressional actions have capped the FWS pay adjustments so they do not exceed the average GS pay adjustment since fiscal year 1979. This is due to budgetary concerns, according to Office of Personnel Management (OPM) officials.Since fiscal year 2004, congressional actions have required FWS employees to receive at least the same wage schedule adjustment in percentage terms that GS employees receive where they work. According to OPM and Department of Defense (DOD) officials, linking FWS pay adjustments to GS pay adjustments has resulted in FWS pay rates that are below or above prevailing (market) levels.Average Wage Schedule Rates Compared to Prevailing Wage Rates for Nonsupervisory Employees in Appropriated Fund (AF) Wage Areas for Fiscal Year 2023Note: Employees in AF wage areas are generally funded from the Treasury. In some cases, data showed that the average wage rates were both above and below prevailing (or market) rates where there are multiple wage schedules associated with a single AF wage area.The process for administering the FWS includes: (1) establishing and combining wage areas, (2) conducting wage surveys, and (3) setting wage schedules. OPM defines wage areas based on geographic concentrations of FWS employees and private employment. Designated by OPM, DOD conducts annual surveys to collect data from private sector establishments within the wage areas and sets hourly pay rates for the wage schedules.Why GAO Did This StudyThe Prevailing Rate Systems Act of 1972 established the FWS for federal blue-collar employees who work in trade, craft, and labor. The act's underlying principles are to set pay rates for federal blue-collar workers in line with local prevailing (or market) rates and provide equal pay for substantially equal work. However, subsequent actions by Congress have limited the maximum pay adjustments granted to certain FWS employees, tying them to the average GS pay adjustment.The Joint Explanatory Statement for the James M. Inhofe National Defense Authorization Act for Fiscal Year 2023 includes a provision for GAO to review the administration of the FWS. This report describes (1) characteristics of the FWS and GS pay systems and how they compare, and (2) the process for administering the FWS.GAO reviewed legislation; OPM regulations, memorandums, guidance, and documentation; DOD guidance, data, and documentation; and Federal Prevailing Rate Advisory Committee reports. GAO also interviewed OPM and DOD officials and Federal Prevailing Rate Advisory Committee members (comprised of agency and labor management representatives) who provide input to OPM on defining wage areas.DOD and OPM provided technical comments on a draft of this report, which GAO incorporated as appropriate.For more information, contact Yvonne D. Jones at (202) 512-6806 or jonesy@gao.gov.
- Special Operations Forces: Documented Policies and Workforce Planning Needed to Strengthen Civilian Oversight What GAO FoundSince 2019, the Department of Defense (DOD) has increased the Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict's (ASD-SO/LIC) oversight responsibilities for U.S. Special Operations Command (SOCOM). DOD has also increased resources for the Secretariat for Special Operations, which assists the ASD-SO/LIC in conducting oversight. However, as of September 2023, the Secretariat's staffing levels remained below the 80–94 full-time equivalent levels the Secretariat identified as required to oversee SOCOM.Comparison of Secretariat Staffing Levels with Required Levels, as of September 2023Note: Per the 2022 staffing assessment, the expanded requirement includes a 20-percent adjustment for unanticipated workload and staff availability (e.g., leave and training) for some functions.In November 2023, the Secretariat finalized a staffing plan required by statute, including milestones to reach 69 full-time equivalents by early 2024. However, the finalized plan does not fully incorporate some key principles for strategic workforce planning, such as aligning with long-term goals, identifying critical skill gaps, and developing strategies to address them. Developing a staffing plan that incorporates these principles would help ensure that the Secretariat hires the personnel required to meet its future needs for overseeing SOCOM.Section 922 of the National Defense Authorization Act for Fiscal Year 2017 strengthened the ASD-SO/LIC's service secretary-like role for overseeing SOCOM's activities. The Secretariat developed 57 benchmarks for implementing section 922 and reported completing 49 of them as of January 2023. However, according to officials, the respective work process policies for the Secretariat and SOCOM are not always documented for two reasons. First DOD's Office of the Director of Administration and Management has concerns about ASD-SO/LIC's authority to issue guidance. However, the ASD-SO/LIC has broad statutory and regulatory authority under its charter to establish DOD-wide policy. Second, the Secretariat does not have a systematic approach for identifying and documenting its oversight policies. Implementing a systematic approach for documenting policies would help ensure consistent oversight.The Secretariat has at times had limited input into how its hiring, office space, and IT needs are met because of confusion about ASD-SO/LIC's administrative role, given ASD-SO/LIC's unique position within DOD. Until the ASD-SOLIC and the Under Secretary of Defense for Policy clarify that administrative role, the Secretariat will continue to have limited input into its administrative services—affecting its ability to effectively oversee SOCOM.Why GAO Did This StudyCongress established the ASD-SO/LIC in 1986 to oversee SOCOM's special operations activities. Section 922 of the National Defense Authorization Act for Fiscal Year 2017 strengthened the ASD-SO/LIC's service secretary-like role in overseeing SOCOM's activities, such as budgeting and programming.Senate Report 117-130 includes a provision for GAO to review DOD's implementation of section 922. GAO examined the extent to which the Secretariat for Special Operations has (1) hired the staff needed to oversee SOCOM, (2) reported on its implementation of section 922 reforms and documented its oversight policies, and (3) faced challenges related to obtaining administrative support services.GAO analyzed fiscal years 2019–2023 Secretariat staffing levels. GAO also compared the Secretariat's staffing plan with strategic workforce planning principles, and ASD-SO/LIC's policies and practices with leading principles for interagency collaboration.
- DHS Employee Misconduct: Actions Needed to Better Assess Differences in Supervisor and Non-Supervisor Discipline What GAO FoundSelected Department of Homeland Security (DHS) components have some controls in place to ensure consistent adjudication of employee misconduct, but gaps exist. GAO assessed selected components' controls for (1) documenting the disciplinary adjudication process, (2) training employees responsible for the disciplinary adjudication process, (3) evaluating these employees' performance, and (4) monitoring misconduct data. Of the four selected DHS components, the Federal Emergency Management Agency and U.S. Secret Service have implemented all four controls. U.S. Customs and Border Protection (CBP) and U.S. Citizenship and Immigration Services (USCIS) have not. GAO found that CBP policies do not fully detail the disciplinary process for all employees. USCIS lacks a process to periodically monitor and analyze misconduct data. By strengthening these controls, the agencies can better ensure consistent and fair adjudication of employee discipline cases.DHS has not assessed disciplinary outcomes between supervisors and non-supervisors. However, GAO's analysis of selected DHS components' data for cases of alleged misconduct found that supervisors were less likely to be disciplined than non-supervisors. DHS officials noted possible explanations, including that allegations brought against supervisors may not be substantiated or may be unfounded. Although DHS requires components to provide data to the department on whether an allegation was substantiated, the components did not report complete or consistent information on this to DHS. Because DHS also does not require components to report data on supervisory status, it is not positioned to analyze substantiation to better identify and address reasons for the differences in disciplinary outcomes. By clarifying guidance for reporting misconduct data, DHS could better position components to report complete and consistent information. By also requiring components to report data on supervisory status and analyzing these data, DHS would be positioned to better identify the reasons for any differences in disciplinary outcomes.Estimated Average Chance of Discipline by Supervisory Status at Selected Department of Homeland Security (DHS) Components, Fiscal Years 2020–2022Why GAO Did This StudyEmployee misconduct can detract from an agency's mission, negatively impact employee morale, and damage an agency's reputation. DHS is the third-largest cabinet-level department, employing more than 240,000 staff in a broad range of jobs. As such, it is important for DHS to effectively address misconduct, while also respecting employees' due process rights.The National Defense Authorization Act for Fiscal Year 2022 includes a provision for GAO to review DHS's disciplinary outcomes for supervisors and non-supervisors. This report examines the extent that (1) selected DHS components have controls to ensure consistent and equitable adjudication of misconduct cases for employees and (2) DHS has assessed for any differences in disciplinary outcomes for supervisors and non-supervisors. GAO selected four DHS components based on factors such as mission type, variation in workforce size, unionization, and hiring authorities. GAO reviewed their disciplinary processes, interviewed officials, and analyzed data on disciplinary outcomes for fiscal years 2020 through 2022.
- Federal Hiring: USA Staffing System Supports Hiring Needs, but Actions Are Needed to Strengthen Training and Program Management What GAO FoundThe Office of Personnel Management's (OPM) USA Staffing system is one of several talent acquisition systems available to federal agencies. USA Staffing assists with recruitment, assessment, and evaluation of potential job candidates and is designed to accommodate a range of federal hiring flexibilities, authorities, and agency and office processes. Agencies that choose to use USA Staffing enter into an interagency agreement with OPM.Interagency Agreement Process for Federal Agencies Selecting USA StaffingThe Department of the Treasury (Treasury), the Department of the Interior (Interior), and the National Aeronautics and Space Administration (NASA) chose USA Staffing as their talent acquisition service for a variety of reasons. Interior and Treasury found that USA Staffing offered the best value for their agency, and NASA citing expanded features. These agencies have practices in place to help them assess USA Staffing's performance to ensure it meets their hiring needs and reported general satisfaction with its functionalities. However, the National Park Service (NPS) and the Internal Revenue Service (IRS) do not routinely solicit feedback on the USA Staffing training they provide to staff. Staff feedback could enhance NPS's and IRS's understanding of training participants' experiences, help identify problems, and improve training resources.While OPM generally implemented cybersecurity risk assessments for USA Staffing in accordance with federal guidance, it did not fully identify control weaknesses. Specifically, some agreements with agencies connecting systems to USA Staffing had expired. As a result, OPM was unaware of the security state of those systems connected with USA Staffing. GAO alerted OPM to this discrepancy and OPM took steps to assess this risk and implemented new monitoring processes to help ensure the timely renewal of agreements.OPM provides a variety of support to customers, including account management services and a help desk feature. OPM also collects feedback through surveys and its system enhancement process. However, OPM has not documented its process for updating its manual records, including the roles, responsibilities, and procedures for conducting certain quality control tasks for managing interagency agreement data. This would help OPM ensure it is sharing quality information with those responsible for making decisions regarding USA Staffing.Why GAO Did This StudyUSA Staffing provides talent acquisition services that assist with federal hiring efforts. The federal hiring process is a key element of strategic human capital management, which has been on GAO's High Risk List since 2001.GAO was asked to review OPM's USA Staffing program. This report examines 1) selected agencies' experiences with selecting and implementing USA Staffing, 2) OPM's cybersecurity risk assessment processes, and 3) OPM's processes and procedures for managing USA Staffing.GAO interviewed officials from Treasury, Interior, NASA, IRS, and NPS about their experiences selecting and using USA Staffing and related training resources. GAO selected these agencies based on the total dollar value of their interagency agreements for fiscal year 2022—the most recent data available—and their organizational structures. GAO analyzed data and documents from OPM and interviewed agency officials.
- 2023 Tax Filing: IRS Improved Customer Service, but Could Further Improve Processing and Evaluate Expedited Hiring What GAO FoundThe Internal Revenue Service (IRS) made progress in resolving prior year challenges with processing returns during the 2023 tax filing season. By April 22, 2023, IRS had processed all prior year returns and had a backlog of 6.1 million current year returns, 10.3 million fewer than at the same point in 2022. IRS also generally reduced the average number of days to process paper returns, which vary by type. However, GAO found that IRS missed its processing time goals for some returns. In addition, some IRS monitoring reports contained data errors because IRS lacked a designated official to ensure accuracy of the reports. Furthermore, although IRS introduced efforts to improve processing, the rate of errors staff made when processing returns continued to gradually increase.Tax Documents in the IRS Kansas City, MO Processing Center, May 2023IRS generally improved its customer service to taxpayers, especially telephone service, but continued to struggle in providing correspondence services. IRS customer service representatives answered 7.7 million calls during the 2023 filing season—a 65 percent increase compared to 2022—and the average time to answer a call improved from 28 to 3 minutes. However, IRS responses to taxpayer inquiries via mail continue to be delayed, with 61 percent of inquiries considered late as of the end of the filing season. Addressing GAO's 2022 recommendation to estimate time frames for resolving these delays will better set expectations for, and potentially reduce repeat inquiries from, taxpayers.During fiscal years 2022 and 2023, IRS hired about 26,000 employees for its filing season workforce. IRS used funding from COVID-19 supplemental appropriations and the Inflation Reduction Act, along with an expedited hiring authority, to fill many of these positions. IRS has requested continued use of this authority but has not evaluated its recent expanded use. Doing so could help IRS inform efforts aimed at improving its usage of this flexibility.Why GAO Did This StudyDuring the annual tax filing season, IRS processes more than 160 million individual and business tax returns. IRS also provides telephone, correspondence, online, and in-person services to tens of millions of taxpayers. Partly as a result of the COVID-19 pandemic, IRS has faced challenges in recent years processing tax returns and refunds, meeting taxpayer service demands, and hiring employees. The Inflation Reduction Act of 2022 provided IRS tens of billions of dollars in funding to improve these and other areas.GAO was asked to review IRS's performance during the 2023 filing season. This report assesses IRS's performance on (1) processing tax returns, (2) providing customer service to taxpayers, and (3) hiring staff to support filing season operations. GAO analyzed IRS documents and filing season performance data related to tax return processing, customer service, and hiring. GAO also visited two IRS processing facilities and held discussion groups with IRS staff.
- Federal Workforce: Actions Needed to Improve the Transfer of Personnel Security Clearances and Other Vetting Determinations What GAO FoundThe Office of the Director of National Intelligence (ODNI) and the Office of Personnel Management (OPM)—two agencies with key personnel vetting oversight responsibilities—do not have reliable data on the extent to which agencies have honored previously granted vetting determinations, known as reciprocity. GAO found that reciprocity data ODNI collected from agencies were inconsistent and incomplete, as described below.Data were inconsistent.  Agencies sometimes reported data to ODNI by component and other times at the agency level, according to ODNI officials. For example, in fiscal year 2019, the Treasury Department reported data by each of its components for the first two quarters but reported data at the department level in the third quarter, according to ODNI officials.	Data were incomplete.  Two of five agencies GAO analyzed did not report required data to ODNI on the frequency with which they determined individuals were ineligible for reciprocity. ODNI officials said they did not know how many agencies should report data to them, but have initiated an assessment to do so.By following best practices for evaluating the reliability of data—such as tracing a sample of data records to or from source documents to assess the accuracy and completeness of the data—ODNI could improve its oversight of security clearance reciprocity.ODNI and OPM have not fully addressed all reciprocity-related challenges that agencies and contractors face (see figure). For example, 28 of the 31 agencies GAO surveyed stated that information technology (IT) systems at times did not have complete information needed to make reciprocity determinations. If ODNI and OPM took actions to mitigate this and other challenges, agencies may be able to grant reciprocity more often and more quickly.Reciprocity Challenges That Agencies and Contractors FaceContractors reported that agencies did not provide updates when the security clearance reciprocity process was delayed. If ODNI develops and implements a plan to ensure that contractors are informed about the status of reciprocity determinations, contractors may be able to plan projects and hire personnel better, which could have positive effects on government contracts.Why GAO Did This StudyPersonnel vetting processes help ensure the trustworthiness of the federal government's workforce. Federal agencies vet personnel to determine whether they are suitable for employment or eligible to access classified information, among other things. Agencies are generally required to accept personnel vetting determinations that other agencies have previously made. This reciprocity can promote personnel mobility and help reduce skills gaps.GAO was asked to review personnel vetting reciprocity issues. This report assesses the extent to which ODNI and OPM have (1) collected reliable data on agency reciprocity in the personnel vetting processes and (2) addressed reciprocity challenges that agencies and contractors face.GAO analyzed ODNI data on reciprocity for fiscal years 2019 through 2021, and data from five agencies selected to obtain a diverse set of perspectives. GAO also surveyed a nongeneralizable sample of 31 agencies and 600 contractors (293 responded).
- Federal Telework: Interior Can Benefit from Strategic Workforce Planning and Following Key Practices What GAO FoundTelework offers benefits to federal agencies as well as to the federal workforce. These benefits include improving recruitment and retention of employees, reducing the need for costly office space, and an opportunity to better balance work and family demands. In addition, telework is a tool that agencies can use to help accomplish their missions during periods of disruption. Federal human capital officers have also identified telework as a workforce flexibility tool that can help address skills gaps by helping attract, recruit, and retain the best possible workforce.GAO initially designated strategic human capital management as a government-wide high-risk area in 2001. The Department of the Interior (Interior) faces challenges in meeting its mission due to skills gaps identified in GAO's previous work. GAO's recommendations to Interior include the need for strategic workforce planning.Telework-related challenges identified in GAO's prior work include measuring and shedding underutilized federal space; addressing information technology issues such as equipment shortages and limited network capacity; and obtaining reliable telework data. Federal agencies have long struggled to determine how much office space they need to fulfill their missions. Retaining excess and underutilized space is one of the main reasons that federal real property management has remained on GAO's High-Risk List since 2003. GAO found that agency officials continue to identify challenges to increasing space utilization, including a lack of benchmarks for full utilization that accounts for increased telework.GAO previously identified key practices federal agencies should implement to help ensure successful telework programs.Program planning.  Agencies are required to have a telework managing officer. They also need to establish measurable telework program goals.	Telework policies.  Agencies can help ensure their workforces are telework ready by establishing telework policies and guidance. To ensure that teleworkers are approved on an equitable basis, agencies should establish eligibility criteria, such as suitability of tasks and employee performance. Agencies should also have telework agreements for use between teleworkers and their managers.	Performance management.  Agencies should ensure that the same performance standards are used to evaluate both teleworkers and nonteleworkers. Agencies should also establish guidelines to minimize adverse impacts that telework can have on nonteleworkers.	Managerial support.  For telework programs to be successful, agencies need support from top management. They also need to address managerial resistance to telework.	Training and publicizing.  Telework training helps agencies ensure a common understanding of the program.	Technology.  Agencies need to make sure teleworkers have the right technology to successfully perform their duties. To that end, agencies should assess teleworker and organization technology needs, provide technical support to teleworkers, and address access and security issues.	Program evaluation.  Agencies should develop program evaluation tools and use such tools to identify problems or issues. Agencies can then use this information to make any needed adjustments to their programs.Why GAO Did This StudyFederal agencies use telework to help accomplish their missions and maintain operations. In March 2020, the Office of Management and Budget (OMB) instructed agencies to maximize the use of telework to allow federal employees to remain safe while working from alternative locations and maintaining mission critical workforce needs. Agencies have continued to adapt their operating postures since the onset of the pandemic. These adaptations vary widely in response to federal agency mission areas.In April 2023, OMB instructed federal agencies, including Interior, to increase meaningful in-person work—particularly at agency headquarters—while still using flexible operational policies such as telework. As Interior and other agencies continue to adapt to the changing work environment, it is important to understand agencies' plans and the extent to which they leverage key practices for telework.This statement discusses several previously issued reports that have highlighted (1) the potential benefits of telework, (2) the challenges of telework, and (3) leading telework practices agencies should follow as they continue to adapt their operating postures. GAO reviewed previously issued reports and testimony on federal telework at Interior and other federal agencies as well as reports and recommendations on Interior.GAO has ongoing work reviewing the implications of telework use at federal agencies. This statement reflects some of the recent policies and guidance issued by OMB and the Office of Personnel Management reviewed as part of that work.For more information, contact Dawn G. Locke at (202) 512-6806 or LockeD@gao.gov.
- Public Health Preparedness: HHS Emergency Agency Needs to Strengthen Workforce Planning What GAO FoundThe Administration for Strategic Preparedness and Response (ASPR) leads the nation's medical and public health response to emergencies. Its workforce has increased substantially to fulfill this growing role, roughly doubling from 1,000 to almost 2,000 employees from fiscal year 2019 to 2022. Contract staff contributed to most of this growth. Officials stated they used these staff to scale up quickly to respond to the COVID-19 pandemic; use will decrease as the response unwinds.ASPR Workforce by Position Type, from Fiscal Year 2019 to 2022ASPR is developing an in-house hiring office with the aim of improving its hiring capabilities. ASPR officials expect the office to be fully operational by October 2025. The office is to address four areas of concern that ASPR had with services provided by the Department of Health and Human Services (HHS) staff division: hiring costs, time-to-hire, service quality, and unique workforce needs, according to ASPR documentation and interviews. However, ASPR does not have specific goals and performance measures to use for the office, once operational, to help ensure these areas of concern will be addressed. For example, while time-to-hire had been slow in the past, officials could not provide specific goals or measures that outline how the new office will improve upon the status quo, especially given that the HHS staff division has made service improvements, according to ASPR officials. Specific goals and measures provide a framework for monitoring progress and will allow ASPR to make adjustments, if needed. In addition, ASPR intends to hire 41 human capital staff for the office by October 2025. However, it does not have tailored recruitment and hiring strategies that account for government-wide shortages of these staff.ASPR's December 2022 strategic plan prioritized strategic workforce planning, including conducting workforce assessments to identify critical skills and competencies needed to achieve the agency's mission. Further, in February 2023, ASPR announced a new organizational structure to better achieve its mission. However, ASPR has not identified critical areas in the agency that need workforce assessments nor developed a plan to conduct them. It also has not conducted an agency-wide workforce assessment to prioritize the skills and competencies of greatest need to achieve the agency's goals and mission. Without conducting these assessments, ASPR cannot be assured that its workforce has the skills and competencies in place to support its reorganization, and ultimately, to meet its mission of leading the nation's response to public health emergencies.Why GAO Did This StudyASPR is a component within HHS. GAO placed HHS's leadership and coordination of public health emergencies on its high-risk list in January 2022, in part because ASPR did not have strategic workforce planning in certain areas. ASPR has relied on an HHS staff division, and other agencies, to assist with its hiring needs.The CARES Act includes a provision for GAO to report on oversight efforts related to the COVID-19 pandemic. This report examines: (1) the size of ASPR's workforce, (2) ASPR's plans for improving its hiring capabilities, and (3) ASPR's strategic workforce planning practices.To conduct this work, GAO reviewed ASPR documentation and workforce data and interviewed HHS and Office of Personnel Management (OPM) officials. GAO assessed ASPR's actions against GAO's key principles of strategic workforce planning and agency reform and OPM guidance.
- U.S. Postal Service: Opportunities Exist to Strengthen Workforce Diversity Efforts What GAO FoundThe diversity of the U.S. Postal Service's (USPS) workforce has increased in recent years, including among its executive leaders. However, GAO's analysis—which controlled for factors such as employee tenure—found that White, non-Hispanic or Latino, and male employees generally had more positive career outcomes in USPS management than other demographic groups. For example, Hispanic or Latino employees' likelihood of promotion to middle manager roles was 28 percent less than their non-Hispanic or Latino counterparts. For Black or African American and Asian employees, the likelihood of promotion to middle manager roles was about 40 to 50 percent less than their White counterparts. In contrast, Black or African American and Asian managers were almost twice as likely as their White counterparts to be promoted to executive positions. GAO's analysis of management pay, which also controlled for relevant factors, found that many historically disadvantaged racial or ethnic groups, as well as women and employees with disabilities, earned 1 to 7 percent less than their counterparts, who were White, non-Hispanic or Latino, men, and employees without disabilities, respectively.In each of its annual reports to the Equal Employment Opportunity Commission (EEOC) from 2016 through 2022, USPS identified some triggers to achieving workforce diversity. However, lack of applicants' demographic information, which is voluntarily provided by job and promotion applicants, limited USPS's ability to identify actual barriers. USPS is developing a new data system but does not have a plan for how it will use the data.U.S. Postal Service's Diversity Practices Compared to Diversity Management Leading PracticesUSPS met or mostly met five of the nine leading practices GAO previously identified for diversity management in the workplace. For example, establishing an Executive Diversity Council was among USPS actions that demonstrated top leadership commitment. USPS partially met the remaining four leading practices. For example, while its 10-year strategic plan highlights USPS's commitment to diversity, the plan does not specify performance measures for achieving that end. Developing specific diversity-related performance measures could help USPS track its progress and identify areas where adjustments to its diversity program, practices, and policies may be warranted. In addition, USPS has developed advisory boards to facilitate USPS's workforce diversity efforts, but membership of those boards consists only of senior USPS leaders. Gathering employee feedback from all career levels and different affinity groups could help USPS better assess progress towards its goal of a diverse and inclusive workforce.Why GAO Did This StudyUSPS reports it employs one of the most diverse workforces in the nation. However, USPS has faced challenges ensuring its leadership reflects the diversity of its workforce and the U.S.GAO was asked to examine USPS's efforts to develop a diverse workforce. This report examines career outcomes for demographic groups in USPS management. It also addresses the extent to which USPS has identified barriers to achieving workforce diversity and met leading diversity management practices, among other objectives.GAO used USPS data from fiscal years 2016 through 2022 to analyze career outcomes (promotions, pay, and separations) in management by demographic groups. GAO's analyses do not completely explain the reasons for differences in career outcomes, which may result from various unobservable factors. Thus, GAO's analyses do not establish a causal relationship between demographic characteristics and career outcomes. GAO reviewed USPS reports submitted to the EEOC and assessed USPS's actions against diversity management leading practices. GAO interviewed EEOC and USPS officials.
- Artificial Intelligence: Actions Needed to Improve DOD's Workforce Management What GAO FoundThe Department of Defense (DOD) typically establishes standard definitions of its workforces to make decisions about which personnel are to be included in that workforce, and identifies its workforces by coding them in its data systems. DOD has taken steps to begin to identify its artificial intelligence (AI) workforce, but has not assigned responsibility and does not have a timeline for completing additional steps to fully define and identify this workforce. DOD developed AI work roles—the specialized sets of tasks and functions requiring specific knowledge, skills, and abilities. DOD also identified some military and civilian occupations, such as computer scientists, that conduct AI work. However, DOD has not assigned responsibility to the organizations necessary to complete the additional steps required to define and identify its AI workforce, such as coding the work roles in various workforce data systems, developing a qualification program, and updating workforce guidance. DOD also does not have a timeline for completing these additional steps. Assigning responsibility and establishing a timeline for completion of the additional steps would enable DOD to more effectively assess the state of its AI workforce and be better prepared to forecast future workforce requirements (see figure).Questions DOD Cannot Answer Until It Fully Defines and Identifies Its AI WorkforceDOD's plans and strategies address some AI workforce issues, but are not fully consistent with each other. Federal regulation and guidance state that an agency's Human Capital Operating Plan should support the execution of its Strategic Plan. However, DOD's Human Capital Operating Plan does not consistently address the human capital implementation actions for AI workforce issues described in DOD's Strategic Plan. DOD also uses inconsistent terms when addressing AI workforce issues, which could hinder a shared understanding within DOD. The military services are also developing component-level human capital plans that encompass AI and will cascade from the higher-level plans. Updating DOD's Human Capital Operating Plan to be consistent with other strategic documents would better guide DOD components' planning efforts and support actions necessary for achieving the department's strategic goals and objectives related to its AI workforce.Why GAO Did This StudyDOD has invested billions of dollars to integrate AI into its warfighting operations. This includes analyzing intelligence, surveillance, and reconnaissance data, and operating lethal autonomous weapon systems. DOD identified cultivating a workforce with AI expertise as a strategic focus area in 2018. However, in 2021 the National Security Commission on Artificial Intelligence concluded that DOD's AI talent deficit is one of the greatest impediments to the U.S. being AI-ready by the Commission's target date of 2025.House Report 117-118, accompanying a bill for the National Defense Authorization Act for Fiscal Year 2022, includes a provision for GAO to review DOD's AI workforce. This report evaluates the extent to which DOD has (1) defined and identified its AI workforce and (2) established plans and strategies to address AI workforce issues, among other objectives. GAO assessed DOD strategies and plans, reviewed laws and guidance that outline requirements for managing an AI workforce, and interviewed officials.
- Work Arrangements: Improved Collaboration Could Enhance Labor Force Data What GAO FoundFederal agency estimates vary widely with respect to the share of workers in nonstandard and contract work arrangements—that is, work that is not permanent, year-round employment with predictable full-time hours. Estimates range from less than 5 percent to over 30 percent of the total workforce, depending on the type of arrangement measured, how it is defined, and methodology used. In addition, limited data are available on worker outcomes, such as those relating to workplace safety, wages, and access to benefits. However, available data indicate that nonstandard and contract workers generally have fewer benefits and workplace protections than permanent, full-time employees.Data collection on nonstandard work arrangements is fragmented across at least seven federal agencies, which measure different populations and use varied terms and methodologies to meet specific purposes. This fragmentation contributes to limitations in data quality and results in varying estimates of nonstandard and contract work arrangements that are not directly comparable. As shown below, multiple terms may be used by one or more agencies to describe a single job—such as a dog walker—depending on specific circumstances.Selected Terms That May Be Applied to the Same Work (Dog Walker), by Federal EntityFederal agencies have taken some steps to address data limitations relating to nonstandard and contract workers, such as commissioning a panel to review a key survey of these workers. However, interagency efforts do not include an ongoing collaborative mechanism, such as a committee or working group, and have not been effective in addressing data quality issues or fragmentation. Agencies reported prioritizing the needs of their individual programs in their data collection efforts. Without an ongoing interagency collaborative mechanism in place—and agencies providing coordination and leadership for such an effort— agencies can risk working at cross purposes and lack incentives to prioritize crosscutting concerns. Data improvements from such an effort could help policymakers and others better understand this labor market segment and worker outcomes in it.Why GAO Did This StudyMillions of U.S. workers are in nonstandard work arrangements. Studies also indicate that increasing numbers of workers participate in contract arrangements, as employers outsource business functions once managed internally. Several federal agencies collect and use data on these work arrangements, with the Department of Labor having a prominent role. The Office of Management and Budget (OMB) supports, coordinates, and oversees federal statistical agencies' efforts.GAO was asked to review what data are available on these arrangements. This report examines the (1) prevalence of these work arrangements and worker outcomes, such as access to benefits; (2) data federal agencies collect and any limitations of the data; and (3) extent to which agencies have addressed limitations in available data.GAO reviewed studies on work arrangements and interviewed agency officials and a nongeneralizable sample of seven subject matter experts (selected in part for authoring widely cited studies). GAO also compared agency collaboration efforts against federal guidance and leading collaboration practices identified in its prior work.
- Quantum Technologies: Defense Laboratories Should Take Steps to Improve Workforce Planning What GAO FoundIn fiscal year 2023, seven defense laboratories reported 255 staff working all or part of their time on quantum projects. Most of these quantum workers had PhDs, were either physicists or engineers, and were a mix of mostly federal civilian employees and some contractors. Consistent with DOD's priority to expand the quantum workforce beyond the field of physics, these laboratories also had specialists from fields such as chemistry, computer science, and mathematics.The four defense laboratories conducting most of DOD's quantum work included quantum information science as part of their broader strategic workforce planning but varied in their adoption of five leading practices (see figure). One laboratory fully adopted all five, while three laboratories conducted workforce planning that was aligned with most but not all leading practices. Three laboratories did not fully adopt the leading practice of monitoring and evaluating progress because their strategic workforce plans either did not have performance measures or inconsistently applied them. One laboratory also did not fully adopt the leading practice of involving key stakeholders in workforce planning because it did not have a means to communicate its workforce goals, initiatives, and metrics for success. Better workforce planning could help these laboratories build and retain the workforce needed to maintain global leadership in quantum technologies.Defense Laboratories' Adoption of Leading Practices for Strategic Workforce PlanningAccording to GAO's questionnaire results, 41 DOD science, technology, engineering, and mathematics (STEM) education programs contributed to quantum workforce development from fiscal years 2019 through 2023. Through these programs, at least 423 students and postdoctoral researchers gained quantum work experience at defense laboratories. These programs also reported developing students through exposure to DOD quantum research, postdoctoral research funding, and training in a variety of STEM disciplines that can feed into the quantum workforce, such as physics, engineering, and computer science.Why GAO Did This StudyDOD considers quantum technologies as critical to protecting national security. Nations that lead in quantum technologies can gain a competitive edge in areas such as cryptography, sensing, and computing. To remain competitive, DOD is developing its quantum workforce.A Senate report included a provision for GAO to review DOD's quantum workforce planning and workforce development activities. This report examines (1) the size and composition of the quantum workforce at defense laboratories that conduct quantum research and development, (2) the extent to which the primary defense laboratories conducting this research and development followed leading practices for strategic workforce planning, and (3) how DOD's STEM education programs have contributed to quantum workforce development and the extent to which DOD has monitored these contributions.GAO analyzed defense laboratories' workforce data and workforce planning activities, compared workforce planning activities to GAO leading practices for strategic workforce planning, and administered a questionnaire to 86 DOD STEM education programs. GAO received responses from 59 programs.
- Veterans Health Administration: Actions Needed to Address Persistent Control Weaknesses and Related Risks in Employee Screening Processes What GAO FoundThe Veterans Health Administration (VHA) received information regarding some employees but did not have control procedures to ensure it responded as required. For example, VHA received information about some employees' controlled substance-related felony convictions and actions taken against certain employees by the Drug Enforcement Administration (DEA). VHA was required to obtain waivers from DEA for any of these employees whose job gave them access to controlled substances.Drug Enforcement Administration (DEA) Employment Waiver RequirementsaDEA registrations are required for certain health care practitioners licensed to dispense, administer, or prescribe controlled substances.GAO identified 12,569 VHA employees with indications of controlled substance-related criminal history. Of these, GAO obtained further information about a generalizable sample of 305 employees and found 50 of them had one or more controlled substance-related felony convictions. However, VHA has no policy regarding DEA employment waivers, including guidance for determining whether an employee has access to controlled substances. VHA confirmed that it did not request waivers for 48 of the 50 employees GAO identified. VHA did not confirm whether it requested waivers for the remaining two. GAO previously recommended the development of a waiver policy and, while VA agreed, it had not yet developed the policy. Therefore, in February 2023, GAO recommended that VHA establish a timeline for finalizing and implementing a waiver policy. In November 2023, VA informed GAO that it is developing a DEA waiver policy and expects to implement it in March 2024. Until VHA implements such a policy with guidance for determining whether an employee has access to controlled substances, it cannot assess whether its employees need waivers. VHA also lacks assurance that its facilities are complying with DEA regulations and controlling against theft and diversion of controlled substances.GAO also identified vulnerabilities in VHA's process for completing employee background investigations. For example, GAO found that 13 of the 305 employees in the generalizable sample did not have background investigations as required by regulation and policy. From the universe of the approximately 12,569 VHA employees, GAO estimated that about 400 (3 percent) did not have completed background investigations. As a result, in February 2023, GAO recommended that VHA establish control procedures to ensure background investigations are completed as required. In November 2023, VA informed GAO this recommendation would be implemented by March 2024.Why GAO Did This StudyThe Department of Veterans Affairs (VA) operates one of the largest health care systems in the nation, with over 9 million veterans enrolled in the VHA health care program. VHA is responsible for ensuring that its more than 400,000 health care providers and support staff are qualified, competent, and suitable to provide safe care.This testimony discusses (1) VHA's policies and procedures for dealing with employees with controlled substance-related felony convictions and the need to obtain waivers from DEA before employing these people in certain positions; and (2) VHA's suitability process, including control weaknesses associated with the conduct of background investigations.This testimony is based primarily on GAO's February 2023 report on VHA's employee screening processes. For that report, GAO analyzed a generalizable sample of 305 VHA employees employed as of January and June 2020 with indications of controlled substance-related criminal history. GAO examined court records and other documentation, reviewed regulations and policies, and interviewed officials from VHA, DEA, and other agencies. For this statement, GAO also obtained updates on actions VA has taken to address related GAO recommendations.
- Federal Workforce: Data Reveal Minor Demographic Changes 2011-2021 What GAO FoundFrom fiscal years (FY) 2011 through 2021, there have been minor increases in representation in the federal workforce of people who are Black or African American, Asian, Native Hawaiian or other Pacific Islander, American Indian or Alaska Native, and persons of more than one race (see figure). Overall, in FY 2021, representation for historically disadvantaged racial groups in the federal workforce was higher than that in the 2021 civilian labor force.Participation in the Federal Workforce by RaceNote: Native Hawaiian or other Pacific Islander increased from 0.4 percent to 0.6 percent, American Indian or Alaska Native stayed at 2 percent, and people of more than one race increased from 1.1 percent to 2.8 percent.The percentage of Hispanic employees in the federal workforce increased by 1.4 percent from FY 2011 to 2021. However, in FY 2021, federal representation of Hispanic employees was less than the civilian labor force.Hispanic Participation in the Federal Workforce Compared to Civilian Labor ForceAlso during FY 2011 to 2021, the proportion of women in the federal workforce remained relatively stable. However, in FY 2021, their representation was less than that in the civilian labor force.During FY 2011 to 2021, the representation of persons with disabilities in the federal workforce doubled and was about three times that of the representation in the FY 2021 civilian labor force.Participation of People with Disabilities in the Federal Workforce Compared to the Civilian Labor ForceAdditionally, men and women in each historically disadvantaged racial group and White women made positive gains in Senior Executive Service positions from FY 2011 to 2021 (with the exception of the Native Hawaiian or other Pacific Islander group). Historically disadvantaged groups were generally hired, promoted, and separated at higher rates in FY 2021 than in FY 2011.Why GAO Did This StudyFor years, federal leaders have highlighted the importance of fostering an inclusive workforce that reflects the diversity of the United States. Federal law prohibits discrimination against federal employees and in federal programs on the basis of race, religion, color, national origin, sex, disability, and age. Federal agencies operate equal employment opportunity programs to help ensure a fair workplace and proactively prevent employment discrimination. Issued in June 2021, Executive Order 14035 required agencies to issue new plans for diversity, equity, inclusion, and accessibility, and to hire and promote a workforce that reflects the diversity of the American public.GAO was asked to analyze demographic trends in the last decade across the federal workforce. This report describes the changes to the demographics of the federal workforce during FY 2011 through 2021 in terms of race, ethnicity, age, gender, and disability.To address this objective, GAO analyzed federal workforce data from the Office of Personnel Management's Enterprise Human Resources Integration database for FY 2011 through 2021—the most recent data available at the time of the analysis. GAO used these data to identify the racial and ethnic composition of the federal workforce over the time period. GAO also used demographic data from the Census Bureau to draw comparisons with the broader national civilian labor force.For more information about this report, contact: Dawn G. Locke, (202) 512-6806 or locked@gao.gov.
- Mental Health Services: State Should Collect Ongoing Feedback to Ensure Overseas Employees' Needs Are Being Met What GAO FoundThe Department of State and the U.S. Agency for International Development (USAID) offer several mental health services to help sustain the well-being of employees and their eligible family members based overseas. For example, State employs overseas psychiatrists—each typically serving 12 to 15 posts—and both agencies offer counseling services. Of the 16 State overseas psychiatrists who responded to a GAO survey, 12 reported that their overseas workloads increased in 2022 because of factors such as a rise in demand for care and vacant psychiatrist positions. State officials told GAO that demand for its short-term counseling services had also risen, due to the war in Ukraine, the COVID-19 pandemic, and other stressors. In addition, USAID officials reported that demand for counseling had almost doubled since 2018 in response to those crises and other factors. To meet the increased demand, State is seeking funding for additional psychiatrists and social workers, and USAID plans to increase funding for its counseling services and for programs to build resilience.Respondents to GAO's survey of psychiatrists identified several challenges related to delivery of, and access to, State's mental health services for overseas employees. (The figure shows 15 psychiatrists' ratings of such challenges.) Foreign Service members GAO surveyed reported some of the same challenges. State has undertaken efforts to address these challenges, such as conducting outreach to reduce stigma associated with mental health care.Significance of Challenges in Providing Mental Health Services to State Department Employees and Family Members Based Overseas, Reported by 15 Overseas PsychiatristsState has obtained some feedback about its mental health services from employees and their family members based overseas. For example, in 2023, State conducted two one-time surveys to identify concerns about its mental health services. USAID also surveys clients to collect feedback about the mental health services it provides. However, State does not collect ongoing feedback about all of its services to help ensure they are meeting the needs of those who receive them. Ongoing feedback about its mental health services for employees and family members overseas would help State ensure that employees maintain their ability to protect and promote U.S. interests abroad.Why GAO Did This StudyState and USAID employees based overseas often face high levels of stress due to heavy workloads and to instability or conflict in countries where they are based. As of June 2023, about 15,000 State and about 1,600 USAID personnel and family members were based overseas.GAO was asked to review State's and USAID's mental health services for employees based overseas. This report examines, among other things, (1) reported factors affecting workloads of State and USAID mental health providers, (2) reported challenges associated with delivering or obtaining mental health services overseas and efforts to address these challenges, and (3) State's monitoring of its mental health services for employees and their family members overseas to help ensure it is meeting their needs.GAO reviewed documents and interviewed officials from State and USAID. GAO surveyed 17 State overseas psychiatrists in December 2022, asking about their workload and any challenges, and received 16 responses. (State has 21 overseas psychiatrist positions, but four were vacant or recently filled.) GAO also conducted a nongeneralizable survey of Foreign Service members, asking about their experiences in obtaining mental health services, and received 437 responses.
- International Trade Administration: Global Markets Employee Focus Groups Raise Workforce Management Concerns What GAO FoundIn previous work, GAO found that the Department of Commerce should improve workforce planning and management in the International Trade Administration's (ITA) Global Markets (GM) unit. GAO found that GM had limited funding increases and a decreasing federal workforce, did not document some staffing allocation procedures, lacked a comprehensive workforce plan, and had difficulty providing core human capital services, among other issues. During audit work, GAO conducted six virtual focus group sessions with a total of 35 GM employees to obtain their perspectives on GM's workforce planning and management. Of the six focus groups, two each were composed of participants from (1) headquarters, (2) overseas, and (3) the U.S. field.The six focus groups provided a range of perspectives on several selected workforce management areas, including (1) human capital activities, (2) resources, (3) organizational structure, (4) collaboration and coordination, (5) administrative functions and technology, and (6) agency mission and impact. For example, with regard to human capital activities, focus group participants discussed issues related to hiring and recruiting; vacancies and succession planning; employee career progression; and diversity, equity, inclusion, and accessibility (DEIA). With regard to resources, headquarters participants raised concerns about the timing of the budget cycle, overseas participants highlighted increasing administrative costs, and U.S. field participants noted strong concerns about understaffing.Why GAO Did This StudyGM supports U.S. businesses by assisting them in increasing their exports and entering new international markets, advancing U.S. business interests abroad, and attracting investment in the U.S. economy. At the end of fiscal year 2021, GM had about 1,440 employees, including Foreign Commercial Service Officers in 76 countries, as well as Civil Service staff in U.S. field offices in metropolitan areas around the country and at GM headquarters in Washington, D.C.Obtaining employee input is a component of workforce management leading practices. Focus groups are not methodologically designed to measure the extent or magnitude of a problem or generalize results to a larger population of all GM employees. Nevertheless, these findings provide a cross-section of thoughts and ideas that may be similar or different across the groupings of participants.To identify these perspectives, GAO conducted six virtual focus group sessions that involved structured small-group discussions designed to gather in-depth information about specific workforce management issues. In each focus group session, GAO asked a series of discussion questions as well as five polling questions.For more information, contact Kimberly Gianopoulos at (202) 512-8612 or gianopoulosk@gao.gov.
- Immigration Courts: Actions Needed to Address Workforce Planning and Other Management Challenges What GAO FoundWithin the Department of Justice, the Executive Office for Immigration Review (EOIR) is responsible for conducting immigration proceedings to fairly, expeditiously, and uniformly administer and interpret U.S. immigration laws and regulations. EOIR has taken several steps to improve its management practices since GAO's 2017 report. This includes revising its hiring process and increasing the number of immigration judges from 338 in fiscal year 2017 to 659 as of July 2023. However, EOIR also continues to face several challenges. Specifically:Workforce planning.  In April 2023, GAO reported that EOIR had taken some steps to improve its workforce planning, which is the process of aligning human capital with mission needs and goals. However, GAO found that EOIR's practices did not fully align with key principles for strategic workforce planning.	In 2017, GAO recommended that EOIR develop a strategic workforce plan that addresses the key principles of workforce planning to better position EOIR to address staffing needs. These include identifying critical skills, developing strategies to address skills gaps, and monitoring progress. In 2023, GAO found that EOIR had not yet developed a strategic workforce plan or set workforce planning goals consistent with GAO's prior recommendation. Developing and implementing a strategic workforce plan would better position EOIR to address current and future staffing needs.		In 2023, GAO found that EOIR does not have a governance structure to guide its workforce planning efforts and hold leadership accountable for progress on workforce goals. Specifically, EOIR had not assigned and documented roles and responsibilities for workforce planning and implementation of a strategic workforce plan. Given its longstanding challenges in this area, establishing a documented governance structure for workforce planning would better position EOIR to institutionalize improvements moving forward.		Immigration judge performance appraisal program. In 2023, GAO found that   EOIR evaluated how immigration judges perform their duties but had not evaluated its overall judge performance appraisal program. EOIR revised the criteria against which it evaluates judges but it had not assessed judges' satisfaction with the program's equity, utility, and accuracy. Implementing a process to periodically evaluate its performance appraisal program for judges can better position EOIR to determine the program's effectiveness.	Electronic filing system.  As of November 2021, all immigration courts had access to an electronic filing system and, overall, court staff GAO interviewed expressed positive views of it. However, despite reporting benefits, staff stated they experience outages and delays while using one application within the system—Judicial Tools—that disrupt their work. Judges and court staff use Judicial Tools to access case information and create case orders and decisions. In 2023, GAO found that EOIR did not have a process to regularly assess whether Judicial Tools was meeting users' needs. Developing and implementing a process to regularly reassess whether Judicial Tools is meeting users' needs would help EOIR ensure that the application continues to serve the agency's needs.Why GAO Did This StudyEach year, EOIR issues decisions for hundreds of thousands of cases regarding foreign nationals charged as removable under U.S. immigration law. EOIR is facing a substantial and growing backlog of pending cases. In July 2023, EOIR had nearly 2.2 million pending cases—more than four times the number of pending cases at the start of fiscal year 2017. In 2017 and 2023, GAO reported on EOIR's management practices, including how it oversees workforce planning and IT management.This statement addresses EOIR's (1) workforce planning practices; (2) performance appraisal program for immigration and appellate immigration judges; and (3) implementation of its electronic filing system.This statement is based on GAO's 2017 and 2023 reports on EOIR's management functions (GAO-17-438 and GAO-23-105431). For those reports, GAO analyzed EOIR documents and data and interviewed EOIR officials at headquarters and at immigration courts. As of October 2023, GAO is awaiting updates from EOIR on its efforts to address prior GAO recommendations.
- Financial Technology: Agencies Can Better Support Workforce Expertise and Measure the Performance of Innovation Offices What GAO FoundFinancial technology refers to the use of technology and innovation to provide financial products and services. The Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Board of Governors of the Federal Reserve System, National Credit Union Administration (NCUA), and the Office of the Comptroller of the Currency (OCC) require many of their staff responsible for policymaking and oversight related to financial technology to have some level of technological skills, according to 181 position descriptions GAO reviewed. The skill requirements ranged from basic technological skills, such as knowledge of office software, to more specialized knowledge, such as expertise in data analysis. The agencies expressly required knowledge of financial technology in 18 of the position descriptions. GAO held focus groups with agency staff where less than half of the participants said they had financial technology-related skills.The agencies have taken some steps to incorporate leading workforce planning practices identified by GAO in prior work. For example, all of the agencies have developed programs or provided training to help develop staff knowledge of financial technology. However, the agencies have not systematically or comprehensively collected data on their policymaking and oversight staff's technological skills related to financial technology or conducted assessments to determine the financial technology skills these staff need. The agencies also have not measured the effectiveness of their financial technology training in addressing their skill needs. By fully incorporating leading workforce planning practices, the agencies could help ensure their staff have the knowledge and skills needed to effectively conduct policymaking and oversight related to financial technology.CFPB, NCUA, and OCC have offices dedicated to addressing innovation in financial technology or the financial industry more broadly. These innovation offices research and monitor industry developments and communicate with industry participants, such as through conference participation (though CFPB's and OCC's offices have recently paused or stopped some outreach and innovation-related activities). The three innovation offices, however, have not developed performance goals or measures that target their key activities. Doing so could help ensure the offices are better able to assess the effectiveness of their initiatives and the extent to which they are accomplishing their missions.All of the regulators reported using a variety of technologies to improve their supervisory capabilities. Examples include a tool that reviews compliance with certain legal requirements and the use of machine learning techniques to help identify risk. Additionally, all of the regulators had at least one strategic objective focused on improving supervision with technology. However, CFPB, the Federal Reserve, NCUA, and OCC have not developed performance measures for these objectives. Doing so could better position the agencies to gauge their progress toward enhancing their supervisory capabilities through the use of technology.Why GAO Did This StudyFinancial institutions are increasingly using financial technology. However, policymakers have raised questions about whether regulators' staff have the technological skills and expertise needed to oversee entities offering products and services that use this technology. GAO was asked to review regulators' financial technology expertise, among other issues. This report examines (1) the technological skills or expertise of regulators' staff, (2) regulators' workforce planning practices, (3) how regulators address innovation in financial technology, and (4) how regulators use technology to improve their supervisory capabilities.GAO reviewed 181 position descriptions and documentation on regulators' workforce planning, innovation offices, and supervisory technology. GAO also conducted 16 focus groups with nongeneralizable samples of policymaking and oversight staff from each agency (90 total staff across the five agencies).
- Personnel Vetting: DOD Needs a Reliable Schedule and Cost Estimate for the National Background Investigation Services Program What GAO FoundThe Department of Defense (DOD), through its Defense Counterintelligence and Security Agency (DCSA), conducts personnel vetting for the majority of the federal workforce. Since 2016, DOD has delivered some capabilities through a new information technology system—the National Background Investigation Services (NBIS) system—intended to support all phases of personnel vetting. NBIS system capabilities, once fully deployed, should enable users to complete electronic forms, manage investigations, record decisions, and more. However, DOD lacks a reliable schedule and cost estimate for NBIS.Extent to Which the National Background Investigation Services Schedule and Cost Estimate Meets Best PracticesDCSA has deployed some NBIS system capabilities, such as an eApplication, to collect the necessary data to begin a background investigation. However, NBIS was originally slated to be fully operational in 2019. In 2020, DCSA revised NBIS program milestones, but it continues to face delays. DCSA now projects that legacy systems will be decommissioned by the end of 2024. In 2021, GAO recommended that DCSA develop a reliable schedule, which DCSA has not done. The lack of progress in addressing schedule weaknesses could further delay NBIS implementation and the planned replacement of legacy systems. Moreover, GAO found the NBIS program's cost estimate from 2022 is not reliable, meaning that DCSA may be unable to accurately project NBIS costs. Given that DOD has spent over a half a billion dollars on NBIS since 2016, a reliable cost estimate would help ensure that it is collecting the data necessary to match NBIS requirements to its budget and reduce risks of cost overruns that may hinder the program's progress.DCSA has identified stakeholders for the NBIS program—including 115 federal agencies and around 13,000 industry organizations—and has worked with them while developing NBIS. Federal and industry stakeholders that responded to GAO's survey were generally satisfied with DCSA's engagement, initial training, and opportunities to provide feedback. For example, around 92 percent of respondents said they had engaged with the NBIS team. However, some stakeholders noted concerns with transitioning their respective organizations to use NBIS and the status of the NBIS system itself. Analyzing GAO's survey results could help DCSA identify areas where it can enhance its efforts to meet stakeholder needs.Why GAO Did This StudyU.S. government personnel vetting processes, such as background investigations, rely on information technology systems to process and validate data on millions of federal employees and contractor personnel. In 2016, DOD assumed responsibility for developing new systems following a 2015 cybersecurity incident that compromised data from Office of Personnel Management systems. DOD is developing the NBIS system to replace those legacy systems.House Report 117-118, accompanying a bill for the National Defense Authorization Act for Fiscal Year 2022, includes a provision for GAO to evaluate the NBIS program. GAO assessed (1) the status of NBIS system development, and the reliability of the schedule and cost estimate for the NBIS program; and (2) the extent to which DCSA is engaging stakeholders in the development of NBIS system requirements and capabilities.GAO reviewed budget documentation, assessed DCSA's schedule and cost estimate for NBIS against GAO best practices, and surveyed federal and industry security personnel at 71 organizations, with an 86 percent response rate.
- Telework: Growth Supported Economic Activity During the Pandemic, but Future Impacts Are Uncertain What GAO FoundThe percentage of workers who worked from home (teleworked) rose sharply between 2019 and 2021 (see figure). The increase was concentrated among workers with higher earnings and education and in certain occupations, according to GAO's analysis of nationally representative survey data. Specifically, GAO's analysis of the American Time Use Survey (ATUS) found that the estimated percentage of workers who teleworked for any portion of an average workday increased from 24 percent in 2019 to 38 percent in 2021. Similarly, GAO's analysis of the American Community Survey (ACS) found that the estimated percentage of workers who primarily teleworked in the prior work week more than tripled from 5.7 percent in 2019 to 17.9 percent in 2021. The extent of telework also varied across occupations. For example, 28 percent of workers in management and related occupations primarily worked from home in 2021 compared to 7.5 percent of workers in service occupations. Despite increases in telework, most workers did not telework in 2021.Estimated Percentage of U.S. Workers Who Primarily Worked from Home and Who Did Any Work at Home on an Average Workday, and during the Week, 2010–2021aData for 2020 are not shown because ACS 2020 1-year data and the 2020 annual ATUS estimates failed to meet Census Bureau's quality standards for publication.Studies GAO reviewed found that telework generally had a positive impact on worker productivity and firm performance in certain sectors, but methodological issues complicate efforts to estimate its long-term impacts. For example, a study of a Chinese call center found that telework increased productivity by 13 percent. Some studies also found that telework mitigated the negative impact of the pandemic on firm performance and the economy. Estimating the long-term impacts of telework is difficult however because some economic effects may emerge only over time. For example, studies GAO reviewed identified potential cost savings from reduced office space needs and potential collaboration challenges that could impact worker productivity or firm performance in the longer run.Why GAO Did This StudyFor many years, employers have used telework to manage their business operations and to promote a better work-life balance for their employees. In this report, telework refers to a flexible work arrangement under which employees perform their duties from a worksite—often at home—other than the location from which they would otherwise work. More recently, telework became an important part of the national response to the COVID-19 pandemic, which emerged in the U.S. in early 2020.GAO was asked to examine the impact of telework, both as it pertains to the workforce and various sectors of the economy. This report is the first in a series of reports that will respond to this request, and examines: (1) changes in the extent of telework in the United States before and during the COVID-19 pandemic, and (2) reported impacts of teleworking on worker productivity and firm performance. Subsequent reports will focus on public policies affecting telework, among other issues.GAO used the ACS and ATUS to describe trends in the use of telework from 2010 through 2021, the most recent data available at the time of the analysis in May 2023, and the growth of telework by select worker characteristics between 2019 and 2021. GAO also reviewed 44 studies that met GAO criteria for methodological rigor and examined the relationship between telework and worker productivity and firm performance.For more information, contact Michael Hoffman at (202) 512-6445 or hoffmanme@gao.gov, or John Sawyer at (202) 512-7215 or sawyerj@gao.gov.
- Unwanted Sexual Behavior: Improved Guidance, Access to Care, and Training Needed to Better Address Victims' Behavioral Health Needs What GAO FoundThe Department of Defense (DOD) and Department of Veterans Affairs (VA) offer behavioral health care to active-duty service members and veterans who experience unwanted sexual behavior. Unwanted sexual behavior includes sexual harassment, sexual assault, and domestic sexual abuse. However, several issues limit screening for and access to related care. For example:VA requires clients in VA medical facilities to be screened for military sexual trauma; DOD screens for behavioral health conditions but not specifically for experiences with unwanted sexual behavior. Without developing guidance specifying how and when DOD medical providers should screen for such experiences, DOD cannot ensure consistent patient support or care.	Service members who have experienced unwanted sexual behavior may confidentially access non-medical counseling through VA. However, longer-term medical behavioral health care requires a referral from DOD, which may deter service members from seeking care. Until DOD considers how best to enable service members to access longer-term services through VA, without a referral, some service members may not seek needed care.Analysis of separation data shows that service members who made unrestricted, formal, or some informal reports of experiences with unwanted sexual behavior left the military—voluntarily and involuntarily—at substantially higher rates than the overall active-duty population from fiscal years 2015 through 2021 (see fig.).Separation Rates for All Active-Duty Service Members Compared to Those who Reported an Experience with Unwanted Sexual Behavior, Fiscal Years 2015–2021However, multiple factors impede DOD's ability to determine if an experience with unwanted sexual behavior played a role in separation decisions. For example, certain processes related to medical examinations and higher-level reviews of involuntary separations are available only for victims of sexual assault, for specific time periods, and for certain behavioral health diagnoses. Until DOD considers potential modifications to these processes service members may be unable to benefit from actions that may affect eligibility for VA benefits.Why GAO Did This StudyService members who experience unwanted sexual behavior—sexual harassment, sexual assault, and domestic sexual abuse—during military service may suffer from chronic mental health conditions. Service members who have such experiences are also more likely to separate from the military, exacerbating DOD's critical recruitment and retention challenges.GAO was asked to review service member mental health related to experiences with unwanted sexual behavior. This report examines, among other issues, the extent to which (1) DOD and VA screen for and provide access to behavioral health care services for such experiences, and (2) such experiences play a role in voluntary and involuntary separations of service members from the military. GAO reviewed guidance, analyzed DOD and VA behavioral health care data and DOD separation data, and interviewed DOD and VA officials at the headquarters level and at a nongeneralizable sample of military installations and VA medical facilities.
- Personnel Vetting: DOD Should Improve Management and Operation of Its Background Investigation Working Capital Fund What GAO FoundThe Defense Counterintelligence and Security Agency (DCSA) uses a working capital fund (WCF) to recover the costs of providing personnel vetting products and services, such as background investigations. Defense WCFs must plan to maintain monthly cash balances within an operating range. DCSA generally did so for fiscal years 2020 through 2022. However, GAO found DCSA miscalculated one element of its operating range in fiscal year 2021, resulting in an operating range being more than five times that of other defense WCFs. If calculated correctly, DCSA could have reduced prices and saved customers hundreds of millions of dollars.Defense Working Capital Funds' Operating Ranges, Fiscal Year 2021Source: GAO analysis of Defense Counterintelligence Security Agency (DCSA) and DOD data. | GAO-23-105812DCSA implemented two of four key operating principles for effective WCF management.Assessment of DCSA's Management of Its Working Capital Fund			Key operating principle									GAO analysis								Clearly delineate roles and responsibilities									●								Ensure self-sufficiency by recovering the agency's actual costs									●								Measure performance									◐								Build in flexibility to obtain customer input and meet customer needs									◐					Legend: ● Implemented ◐ Partially ImplementedSource: GAO analysis of Defense Counterintelligence Security Agency (DCSA) documents and GAO-12-56. | GAO-23-105812GAO found that DCSA's management of its WCF is limited by the following:DCSA has not aligned performance measures with its strategic goal for its WCF or developed targets for those performance measures, hindering its ability to evaluate and improve WCF performance.	DCSA could improve its understanding of customer needs by developing a systematic and reliable method for obtaining and analyzing information on customer satisfaction with WCF performance.Why GAO Did This StudyThe U.S. government relies on over 4 million personnel with security clearances to provide critical public services, including national defense. In October 2019, the Department of Defense (DOD) became the federal government's primary background investigation service provider through a new agency, DCSA, which considers security clearances for millions of federal and contractor personnel. DCSA established a WCF to finance its personnel vetting activities.House Report 117-118, accompanying a bill for the National Defense Authorization Act for Fiscal Year 2022, included a provision for GAO to evaluate, among other things, the extent to which DCSA maintained its monthly cash balances within established operating ranges and calculated cash requirements correctly, and managed its WCF in accordance with key operating principles for WCFs.To address these objectives, GAO assessed whether WCF monthly cash balances were within operating ranges; compared DCSA's calculation of its operating range with DOD's cash management guidance; assessed DCSA's WCF management; and interviewed officials.
- Cybersecurity Workforce: National Initiative Needs to Better Assess Its Performance What GAO FoundThe National Institute of Standards and Technology's (NIST) National Initiative for Cybersecurity Education (NICE) program has taken steps to strengthen the cybersecurity workforce. For example:The program established an inventory or “framework” of necessary skills and work roles associated with cybersecurity and expanded it with stakeholder input.	The program formed public and private collaborations to connect the cybersecurity community and promote cybersecurity training and education. This included working groups and communities of interest run in part by volunteers. These groups created projects based on one of the NICE program's strategic goals or the needs of a specific cybersecurity community.	The program holds periodic webinars, quarterly forums, and multiple annual conferences to share information on cybersecurity issues.In focus group discussions with program volunteers from industry, academia, and government, participants cited what they regarded as successes, including robust community benefits. However, some participants noted challenges with the program, such as an unclear scope.NIST's process for assessing the NICE program included fully implementing the practice of involving stakeholders. However, other key practices for establishing a program-level performance process were not fully implemented. Specifically, of nine selected key performance assessment practices, NIST fully implemented one, partially implemented five, and did not implement three (see figure).National Institute of Standards and Technology (NIST) Implementation of Selected Key Practices for Establishing a Program Performance ProcessFor example, NIST did not develop performance measures for the program. According to program officials, they relied on the program's volunteer working groups to develop such measures. However, the variability in skills and approaches of the volunteers made it too difficult to accomplish. As a result, NIST was unable to demonstrate program progress. Without reliable data to manage the NICE program's performance, NIST is not in a position to effectively and efficiently identify obstacles or opportunities to sustain and improve the initiative.Why GAO Did This StudyA well-trained cybersecurity workforce is essential for government functioning. To bolster that workforce, NIST has developed the National Initiative for Cybersecurity Education (NICE). This program's mission is to foster more education and training through collaborative partnerships with private industry, academia, and government agencies.GAO was asked to review the progress the NICE program is making against its stated goals and objectives. This report examines (1) the actions NIST has taken through the NICE program to strengthen the cybersecurity workforce and (2) the extent to which NIST established a process to assess the program's performance.GAO analyzed documents related to NIST's program performance assessments and compared these to selected key performance practices identified in legislation and prior GAO work. GAO also conducted focus group interviews with active program participants about their experiences. Additionally, GAO interviewed NIST officials responsible for the program.
- Merchant Mariner Credentialing: Coast Guard Performance Measures Could Better Address Mariners' Needs What GAO FoundThe Coast Guard merchant mariner credentialing process involves multiple levels of review to ensure the mariner meets the professional qualifications for the position. A mariner may request a credential for the first time (original), renewal, duplicate, raise of grade (i.e., change in position), or new endorsement (i.e., proof of qualification for a position). For applications received from January 2018 through June 2022, the Coast Guard processed about 75 percent of credential applications in 60 days or fewer. GAO found that the Coast Guard's processing times varied due to the complexity or completeness of the application, the number of applications received, and the availability of the Coast Guard's human capital and information technology resources. For example, it generally took more time to process original credentials than other types. Also, the Coast Guard required additional information from 57 percent of applications it received, which added to the overall processing time.Over the past several years, the Coast Guard has taken steps to improve the credentialing process by, for example, streamlining part of its review process. The Coast Guard is also taking steps to modernize its information technology to help improve its overall timeliness in processing credentials and responding to mariners.The Coast Guard's key performance measures for the credentialing process which include the monthly volume of applications in progress, the monthly ratio of applications finished divided by number received, and a subset of the processing time help partially support one of its Marine Safety strategic goals of improving service to mariners, the maritime community, and the public. However, the Coast Guard does not measure the performance of its overall processing time, which reflects the time from application submission to the time the Coast Guard issues the credential. Instead, the Coast Guard measures the time spent actively processing applications and does not count the time the National Maritime Center may need to wait for information from applicants, including time allowed for applicants to complete testing requirements. Adding a measure to track performance of its overall credentialing processing time could help ensure the Coast Guard remains responsive to mariners' needs.Why GAO Did This StudyMerchant mariners play a vital role supporting the U.S. maritime commerce industry which generates nearly $5.4 trillion in economic activity. To serve on certain merchant vessels, mariners must possess a merchant mariner credential. The credential indicates the holder does not present a threat to national security and has met the qualifications necessary for the mariner's position. The U.S. Coast Guard, within the Department of Homeland Security, has responsibility for issuing credentials to qualified mariners. However, over the past several years, questions have been raised about the time it takes and the technology used to process credential applications.The James M. Inhofe National Defense Authorization Act, 2023, includes a provision for us to evaluate how the National Maritime Center processes merchant mariner credentials. This report addresses the Coast Guard's merchant mariner credentialing process, the volume and timeliness of processing applications, and how the Coast Guard measures the performance of its process.To conduct this work, GAO reviewed Coast Guard documentation on the credentialing process, interviewed officials, and conducted a site visit in April 2023 of the credentialing center. Additionally, GAO analyzed record-level data from Coast Guard's credentialing database for the 333,785 applications the Coast Guard received from January 1, 2018, through December 31, 2022. GAO also analyzed monthly Coast Guard performance data from this same period and compared them against Coast Guard strategic goals.
- Defense Workforce: Opportunities for more Effective Management and Efficiencies What GAO FoundThe Department of Defense (DOD) faces considerable challenges in the management of its workforce. To effectively do so, DOD must determine the appropriate and cost effective mix of military and civilian personnel and contracted services needed to achieve its mission. However, DOD has struggled to do this and GAO has identified obstacles that DOD faces in effectively managing each component of its workforce. For example:Recruiting and Retaining Military Personnel Has Been Challenging. Ensuring a sufficient number of qualified military personnel is a matter of national security. DOD must balance recruiting new members and retaining already trained service members. However, GAO has identified three challenges: (1) the lack of reliable recruitment and retention-related data; (2) the limited use of goals, plans, and strategies; and (3) the lack of monitoring of plans and strategies for effectiveness.Civilian Personnel Management Has Lacked Quality Information to Inform Decisions.  GAO has found similar challenges in DOD's management of its civilian workforce, and has made numerous recommendations for DOD to better track data, develop and use strategic workforce plans, and monitor the effectiveness of its efforts to address challenges. For example, GAO reported in 2018 that the Defense Health Agency had not developed a strategic workforce plan to guide its efforts to address challenges experienced by the military departments in executing an appropriate and efficient workforce mix at its Military Medical Treatment Facilities.Management of Contracted Services Faces Challenges in Workforce Data and Realizing Savings.  GAO has identified many challenges in DOD's information about the contractors supporting the department's work, including not having an accurate inventory of contracted services and using those data in its decisions. As a result, identified workforce gaps contributed to GAO designating several DOD programs as high risk, including DOD's Contract Management.Without improved workforce planning based on higher quality information, DOD's ability to determine the appropriate mix of its workforce and ensure the effectiveness of each component of its workforce will continue to be hindered.GAO has identified opportunities for DOD to be more efficient, resulting in considerable cost-savings. In GAO's June 2023 annual report on duplication, fragmentation and overlap in government programs, GAO identified 95 open recommendations to DOD, some of which GAO has estimated could result in billions of dollars of cost savings, if implemented. Within the workforce area specifically, GAO has found that DOD's efforts to achieve efficiencies are consistently hindered by data availability or reliability issues, unreliable cost estimates, and a lack of baselines and associated performance metrics to measure effectiveness and gauge success. More broadly, GAO recently estimated that if all open recommendations to DOD were implemented, the financial benefits could range from an estimated $8 billion to $100 billion, with a median estimate of $36 billion. Implementing GAO's recommendations could allow for decision making based on better information and for DOD to gain efficiencies.Why GAO Did This StudyDOD is one of the of the nation's largest employers. It employs a military workforce of about 2.1 million service members and about 770,000 civilian employees. Additionally, DOD obligated $205 billion for contracted services in fiscal year 2022.Careful consideration must be paid to the necessary size and skillset of DOD's workforce. Prior cuts resulted in unintended consequences of significant imbalances in terms of skills and retirement eligibility.This statement summarizes GAO's prior work on (1) DOD's challenges in managing its workforce and (2) opportunities GAO has identified for DOD to be more effective and efficient in managing its workforce to achieve its mission.This statement is based on GAO's body of work on DOD's management of its workforce, related GAO high risk areas, and efficiencies. To perform that work, GAO reviewed DOD documentation, analyzed data, interviewed DOD officials, and assessed DOD's efforts against relevant criteria.
- Military Officers: DOD Can Enhance Promotion and Education Guidance for Addressing Indo-Pacific Region Needs What GAO FoundIn 2020, the Department of Defense (DOD) directed the military departments to revise officer promotion board instructions to emphasize the importance of Indo-Pacific region experience. Each military service has since developed promotion board instruction language to address this requirement. However, DOD has not assessed the results of taking these actions, in part because it has not established guidance that clearly identifies its objective or methods for measuring the results. By doing so, DOD could enhance its ability to assess its effectiveness at developing an officer corps that meets the department's needs in the Indo-Pacific region (shown in figure).Indo-Pacific Command Area of ResponsibilityNote: Gray shaded areas are outside of the Indo-Pacific Command area of responsibility.DOD and the military services have taken steps to revise professional military education (PME) curricula to address security challenges posed by the People's Republic of China (China), such as by updating topics covered in core PME courses. In 2022, DOD issued China-focused learning outcomes—concepts to be understood by graduates—to be implemented in PME curricula.However, the PME programs have experienced challenges with the implementation of the learning outcomes, because DOD has not issued expected timeframes for implementation or associated reporting requirements. By taking these actions, DOD would be better positioned to effectively oversee PME programs' efforts to focus curricula on China.Why GAO Did This StudyAccording to DOD, China represents the United States' most consequential strategic competitor. Given the importance of the Indo-Pacific region to national security, DOD has taken steps to build regional experience and expertise among military personnel.Senate Report 117-39, accompanying a bill for the National Defense Authorization Act for Fiscal Year 2022, includes a provision for GAO to review DOD's efforts to ensure military personnel have adequate education, exposure, and expertise in the Indo-Pacific region. GAO assessed the extent to which DOD and the military services have (1) considered Indo-Pacific region experience as part of the officer promotion process and (2) revised officer PME curricula to address security challenges posed by China.GAO analyzed relevant laws and DOD and military service guidance and documentation related to officer promotion boards and PME programs. GAO also interviewed DOD and military service personnel.
- Data Science: NIH Needs to Implement Key Workforce Planning Activities What GAO FoundWhile the National Institutes of Health (NIH) included a data science workforce goal in its June 2018 Strategic Plan for Data Science, the agency has not fully implemented the key workforce planning activities established by federal guidance (see table). For example, NIH developed and implemented plans to enhance its data science workforce; however, these plans were not linked to gaps in its data science workforce. Near the conclusion of GAO's review, officials said that an agency-wide Data Science Workforce Working Group had been established to address priority hiring and retention needs. However, they did not provide documentation supporting the group's activities. Fully addressing the workforce planning activities would help ensure that NIH has the data science workforce it needs to effectively meet its mission.National Institutes of Health's Implementation of Key Activities for Data Science Workforce Planning			Key workforce planning practices and supporting activities 									Rating 								Set the strategic direction for workforce planning  									&nbsp;								Establish and maintain a workforce planning process									Partially implemented								Develop competency and staffing requirements									Partially implemented								Analyze the workforce to identify skill gaps  									&nbsp;								Reassess competency and staffing needs regularly									Not implemented								Determine gaps in competencies and staffing regularly									Not implemented								Develop and implement strategies to address skill gaps  									&nbsp;								Develop strategies and plans to address gaps in competencies and staffing									Partially implemented								Implement activities that address gaps									Partially implemented								Monitor and report progress in addressing skill gaps  									&nbsp;								Monitor the agency's progress in addressing competency and staffing gaps									Not implemented								Report to agency leadership on progress in addressing competency and staffing gaps									Not implemented					Legend: Fully implemented: NIH provided evidence that addressed the activity; partially implemented: NIH provided evidence that it had addressed some, but not all of the activity; not implemented: NIH did not provide evidence that it had addressed any of the activity.Source: GAO analysis of NIH documentation. | GAO-23-105594NIH's data management and sharing policy, effective January 2023, is consistent with relevant Office of Science and Technology Policy data sharing requirements. However, NIH had not finalized the guidance its staff needs to evaluate the data management and sharing plans and determine researchers' compliance with them. In addition, officials stated several times during the course of GAO's review that they had revised their time frames for doing so. The officials said they were delayed in completing the guidance because they were focused on informing the public about the new policy. They also anticipated releasing the guidance by June 2023 in time to assess the first round of plans. However, NIH did not document this new time frame. Documenting the new time frame and monitoring progress against it would ensure NIH's accountability for finalizing the guidance on time. In addition, until the agency finalizes and implements the guidance, its staff are less likely to consistently assess data sharing plans. This, in turn, would limit NIH's goal of maximizing appropriate sharing of scientific data generated from federally funded research.Why GAO Did This StudyNIH, the federal government's leader in supporting biomedical research, faces a shortage of employees with data science expertise needed to, among other things, analyze and extract insights from increasingly large and complex sets of data. In June 2018, NIH developed a Strategic Plan for Data Science, which included an objective to enhance its data science workforce that addresses this need.The explanatory statement accompanying the Further Consolidated Appropriations Act, 2020, contained a provision for GAO to review NIH's data science workforce planning. This report, among other things, determines the extent to which 1) NIH has conducted data science workforce strategic planning in accordance with key practices and 2) NIH's data management and sharing policy and guidance are consistent with federal guidance.To do so, GAO assessed agency documentation against key workforce planning practices identified in prior GAO work. It also compared NIH's data management and sharing policy and plans to relevant federal requirements, and interviewed NIH officials.