Special Operations Forces: Additional Actions Are Needed to Effectively Expand Management Oversight
Released: 2019-05-13T00:00:00

Letter

Background

Roles and Responsibilities of SOCOM and the ASD- SO/LIC

SOCOM has a unique structure and responsibilities in that it has both combatant command responsibilities and military service-like functions for organizing, training, and equipping SOF. Under sections 164 and 167 of Title 10, United States Code, the SOCOM commander is responsible for training and ensuring the combat readiness of assigned forces and monitoring the preparedness to carry out assigned missions of SOF assigned to unified combatant commands. In addition, SOCOM is responsible for developing special operations strategy, doctrine, and tactics; the employment of forces of the command to carry out assigned missions; requirements validation; acquisition of special operations- peculiar equipment; and formulating and submitting requirements for intelligence support, among other things. In its combatant command function, the commander of SOCOM is responsible for and has the authority to conduct the following special operations activities: (1) direct action, (2) strategic reconnaissance, (3) unconventional warfare, (4) foreign internal defense, (5) civil affairs, (6) military information support operations, (7) counterterrorism, (8) humanitarian assistance, (9) theater search and rescue, and (10) other activities such as may be specified by the President or the Secretary of Defense.

Congress initially established the position of the ASD-SO/LIC in the NDAA for Fiscal Year 1987. As previously discussed, in 2016 Congress enhanced the role of the ASD-SO/LIC in section 922, which is codified in section 138(b) of Title 10, United States Code. The ASD-SO/LIC’s current statutory responsibilities include overall supervision, including policy and resources, of special operations activities listed above; exercising authority, direction, and control of all special operations-peculiar administrative matters relating to the organization, training, and equipping of SOF; and assisting the Secretary of Defense and USD (P) in the development and supervision of policy, program planning and execution, and allocation and use of resources for irregular warfare, combating terrorism, and special operations activities.

DOD Directive 5111.10, Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict (SO/LIC), first issued in 1995 and most recently updated in 2011, also prescribes the roles and responsibilities for the ASD-SO/LIC. Among other things, the ASD- SO/LIC serves as the principal staff assistant to the USD (P) and the Secretary of Defense on special operations and low-intensity conflict matters and counterdrug policy, among others. DOD Directive 5111.10 also establishes responsibilities, functions, relationships, and authorities for the ASD-SO/LIC on issues such as the coordination and oversight of policy for humanitarian assistance, refugee affairs, and foreign disaster relief activities (e.g., emergency relief for Ebola).

Prior to the enactment of section 922, OASD-SO/LIC coordinated regularly with SOCOM on administrative matters, such as reviewing SOCOM’s budget materials. Specifically, the administrative chain of command for SOF-related matters was formally changed by section 922 to give the ASD-SO/LIC more oversight over SOCOM through direct interaction with the Secretary of Defense. Section 922 provided the ASD-SO/LIC with the statutory authority to exercise authority, direction, and control of all special operations-peculiar administrative matters relating to organizing, training, and equipping SOF. Section 922 did not alter SOCOM’s operational chain of command as a combatant command.

DOD’s Report Summarizing Its Progress in Implementing Section 922

Section 1074 of the NDAA for Fiscal Year 2018 directed DOD to submit a report on the progress the department had made in implementing the requirements identified in section 922. Section 1074 specified seven reporting elements, such as the accounting of personnel currently assigned, that DOD’s report should address. DOD submitted its report on March 12, 2018, wherein it identified a high-level summary of actions taken, as shown in table 1 below.

DOD Has Made Recommendations, Developed Actions, and Taken Steps to Address Requirements in Section 922

DOD Identified Recommendations and Developed Actions to Address Requirements in Section 922

In 2018, DOD identified 166 recommendations to address the reforms required by section 922 that are aimed at increasing the ASD-SO/LIC’s role in the management of SOF and special operations. To identify these recommendations and support the implementation of service secretary- like responsibilities under section 922, OASD-SO/LIC and SOCOM created a “tiger team” to review broad functional areas typically performed by the military service secretariats and determine the need for potential changes to the roles and responsibilities of OASD-SO/LIC and SOCOM related to addressing requirements in section 922. The tiger team included five working groups to review potential roles and responsibilities for budget, special access programs, personnel and readiness, program and requirements, and acquisition functions. Two officials, respectively representing OASD-SO/LIC and SOCOM, co-led each of these working groups.

OASD-SO/LIC established design principles to help the working groups identify new roles and responsibilities for OASD-SO/LIC and SOCOM under section 922. These principles included the following three broad categories of authorities that OASD-SO/LIC could be expected to take on:

Monitor: This role requires that OASD-SO/LIC be informed, observe, and check the progress or quality of an activity throughout the lifetime of the activity. This includes, for example, monitoring SOCOM’s submission of its presidential budget justification material to Congress.

Review and coordinate: This role requires that OASD-SO/LIC review, analyze, and coordinate throughout the lifetime of an activity to ensure compliance with authoritative policy and with statutory and other regulatory issuances, and to ensure achievement of broad program goals. Coordination does not imply authority to compel agreement, however. An example of the review and coordinate role is that OASD-SO/LIC liaises with the military departments on military personnel issues.

Approve: This role requires OASD-SO/LIC’s concurrence to give explicit or official sanction, permission, or ratification of an activity. An example of approval authority is that ASD-SO/LIC approves SOCOM’s Program Objective Memorandum (POM).

We found the largest share of the 166 recommendations made by the working groups strengthened OASD-SO/LIC’s roles related to monitor and to review and coordinate, as shown in figure 1. Specifically, 80 out of 166 recommendations (48 percent) would strengthen OASD-SO/LIC’s role regarding monitor or review and coordinate. Twenty-two out of 166 recommendations (13 percent) would give OASD-SO/LIC approval authority—requiring OASD-SO/LIC’s concurrence to give explicit or official sanction, permission, or ratification of an activity. Of these 22 recommendations, 16 involved either joint approval—requiring both OASD-SO/LIC and SOCOM to jointly approve the action—or partial approval—that is, OASD-SO/LIC would have approval authority on certain aspects of an action item. Sixty-four out of 166 recommendations (39 percent) did not recommend any change to OASD-SO/LIC’s role. In addition, the majority of the recommendations, about 156 out of 166 (about 94 percent) would not change SOCOM’s roles.

OASD-SO/LIC used the 166 recommendations to inform the development of 87 actions in OASD-SO/LIC’s monthly reports to Congress. We found that with regard to the 87 actions identified in OASD-SO/LIC’s February 2019 monthly report, 49 percent of the action items (43 out of 87) focused on OASD-SO/LIC’s participation in meetings. For example, prior to the implementation of section 922, OASD-SO/LIC attended Joint Resources Management Board meetings. After implementing section 922, OASD- SO/LIC exercised its review and coordinate responsibility by attending Joint Resources Management Board meetings, thereby formalizing OASD-SO/LIC’s prior role. According to DOD officials, there is a value in adding OASD-SO/LIC as a participant in key meetings and formalizing OASD-SO/LIC’s review and coordinate role. For example, officials explained that, by participating in meetings, OASD-SO/LIC can have more situational awareness about key topics and can better advocate for the SOF enterprise.

DOD Has Taken Several Actions to Address Section 922 Requirements

DOD, through OASD-SO/LIC, has taken various actions, including changes in roles and responsibilities, related to addressing requirements in section 922. According to OASD-SO/LIC officials, its actions reflect an incremental approach to strengthening OASD-SO/LIC’s roles and responsibilities. In February 2019 OASD-SO/LIC reported to Congress that it had completed 56 of its 87 actions. For example, one of the actions identified in the February 2019 monthly report was the need to enhance OASD-SO/LIC’s role in the development and approval of SOF-related program and budget matters. The report further identified a number of actions, including having OASD-SO/LIC approve SOCOM’s POM. According to the report, OASD-SO/LIC was briefed on and approved SOCOM’s POM for fiscal years 2020-2024. As another example, the report identified the need to enhance OASD-SO/LIC’s oversight of SOF- related military construction activities and contingency basing. This included a requirement that OASD-SO/LIC co-chair SOCOM’s Military Construction Summit, which according to officials deals with acquisition- related issues regarding military construction and is used to inform the POM. According to the February 2019 report, OASD-SO/LIC co-chaired the summit for fiscal year 2019, and its formal role as co-chair will be reflected in future updates to SOCOM guidance. The February report also explained that the Deputy Secretary of Defense approved a new Special Operations Policy and Oversight Council directive that identified the ASD- SO/LIC as the lead for that council. The Deputy Secretary of Defense also delegated the ASD-SO/LIC with authority to approve waivers to hire civilian personnel during a civilian hiring freeze.

Many of the actions taken thus far formalize pre-existing, informal relationships between OASD-SO/LIC and SOCOM. According to OASD- SO/LIC officials, a formalization of a pre-existing role occurs when OASD- SO/LIC identifies a role that OASD-SO/LIC performed informally before addressing requirements under section 922 and continues to maintain the role officially under its section 922 responsibilities. Based on the February 2019 report to Congress, we found that 26 out of 56 implemented action items (about 50 percent) formalize ongoing OASD- SO/LIC roles and responsibilities that were previously conducted informally. Officials stated that all of the actions relating to budget execution are formalizations of previously existing informal roles and responsibilities. For example, according to OASD-SO/LIC and SOCOM officials, OASD-SO/LIC had an informal role in reviewing SOCOM’s POM prior to section 922, such as participating in the review of the POM without formal approval authority. According to DOD officials familiar with the POM process, giving OASD-SO/LIC approval authority for SOCOM’s POM essentially formalized what had been done in the past, while allowing OASD-SO/LIC to perform a more thorough review. Similarly, officials stated that OASD-SO/LIC had an informal role in developing SOCOM’s budget justification books prior to the passage of section 922. Another action identified in DOD’s February 2019 monthly report is OASD-SO/LIC’s role in budget submission. Officials explained that, in an effort to enhance OASD-SO/LIC’s role in budget submission, OASD- SO/LIC has formalized this role. According to the officials, the benefit of this formalization is that OASD-SO/LIC has greater access to the process of producing justification books. There have been similar examples of formalization of pre-existing roles in other areas as well. For example, prior to section 922, SOCOM’s public affairs requirements were coordinated with USD (P)’s public affairs office. Rather than duplicate SOCOM’s existing public affairs role with an additional public affairs office for the ASD-SO/LIC, OASD-SO/LIC coordinates with the USD (P)’s public affairs office.

Lack of Clear Time Frames and Guidance Are Challenges to Completing Implementation of the ASD-SO/LIC’s Roles and Responsibilities

Most Actions That Remain to Be Implemented Do Not Have Clear Time Frames

Most of the actions remaining to be implemented do not have clear time frames for implementation. Based on our analysis of the February 2019 monthly report, we found that 31 out of 87 identified actions remain unimplemented. Of these 31 actions, three have clear time frames for implementation. For example, one of the remaining actions involves enhancing the ASD-SO/LIC’s role in SOF military personnel-related issues. Among other things, this includes liaising with the military departments on relevant military personnel issues and coordinating on related policy issues. The February 2019 monthly report includes an action related to OASD-SO/LIC’s plans to coordinate a process to monitor promotions of SOF personnel and communicate issues with military departments. The report specifies that the ASD-SO/LIC expected to implement this process in 2019. As another example, documenting and funding for the Secretariat for Special Operations was expected to be resolved by the first quarter of fiscal year 2019.

However, the remaining 28 actions do not have time frames for implementation. For example, some of the actions associated with implementing the ASD-SO/LIC’s key functions, such as acquisitions and legislative affairs, do not have clear time frames for implementation.

Regarding acquisitions, OASD-SO/LIC is developing standard operating procedures, such as regular coordination and meetings, but it has not established time frames for the creation or implementation of these procedures. Similarly, OASD-SO/LIC and SOCOM are prescribing roles with regard to legislative affairs pending further departmental guidance, but they have not established time frames within which these roles will be defined.

DOD officials identified some reasons for not having identified time frames for the remaining actions. First, according to OASD-SO/LIC officials, their initial efforts were focused on identifying and prioritizing the list of actions needed to implement section 922, as reflected in the March 2018 report required by law. Since then, according to OASD-SO/LIC and SOCOM officials, OASD-SO/LIC has taken an incremental approach to implementing these actions, addressing items on a case-by-case basis as they occur. For example, OASD-SO/LIC initially placed a higher priority on implementing its fiscal roles and responsibilities, partly because the POM cycle included deadlines associated with the President’s Budget for Fiscal Year 2020. Throughout the cycle, OASD-SO/LIC determined its specific role in each step of the POM process as the step arose. Second, OASD-SO/LIC officials stated that they had not established clear time frames linked to action items because the ASD-SO/LIC was new in that role and they were waiting for him to determine OASD-SO/LIC’s broader strategy and goals, which they could use to inform implementation time frames. However, we note that the ASD-SO/LIC has been in that position since December 2017, and OASD-SO/LIC has hired new personnel who could help develop and track time frames.

Standards for Internal Control in the Federal Government emphasizes the need to establish time frames to implement actions effectively, and as we reported in June 2018, establishing time frames with key milestones and deliverables to track implementation progress are important for agency reform efforts. Failure to do so can have significant consequences. For example, by not establishing clear time frames for updating guidance that defines the ASD-SO/LIC’s acquisition roles, the ASD-SO/LIC is at risk for having unclear roles and responsibilities that may overlap between SOCOM and the Office of the Secretary of Defense on functions related to acquisitions. According SOCOM officials, having clearer time frames to update DOD guidance could enable OASD-SO/LIC and SOCOM to operate more efficiently and effectively. Without establishing clear time frames for the implementation of key oversight functions and other actions, the ASD-SO/LIC may not be able to fully execute OASD- SO/LIC’s service secretary-like authority, and DOD decision-makers may not be well positioned to track progress and evaluate whether or how the ASD-SO/LIC’s completed and pending actions support the full implementation of section 922.

Outdated Guidance Limits Clarity of Understanding of the ASD-SO/LIC’s Broader Roles and Responsibilities under Section 922

While the ASD- SO/LIC’s responsibilities, functions, relationships, and authorities are established in DOD Directive 5111.10, Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict (ASD SO/LIC) (Mar. 22, 1995) (incorporating Change 2, Oct. 21, 2011), this directive is outdated and does not reflect the ASD- SO/LIC’s statutory roles under section 922 and codified at 10 U.S.C. § 138. For example, DOD Directive 5111.10 states that the ASD- SO/LIC shall serve under the authority, direction, and control of the USD (P). However, section 922 states that the ASD- SO/LIC’s exercise of authority of all special operations-peculiar administrative matters related to the organization, training, and equipping of SOF shall be subject to the authority, direction, and control of the Secretary of Defense. According to DOD officials, while there is other guidance that broadly lays out DOD roles and responsibilities, this guidance lacks details concerning operationalizing ASD- SO/LIC’s roles and responsibilities under the new administrative chain of command, creating potential confusion regarding the ASD- SO/LIC’s roles and responsibilities on some key SOF-related issues. For example:

SOF personnel issues: SOF personnel activities include readiness reporting, training, education, warrior care, awards, decorations, and death notification. Support for SOF personnel issues is generally dispersed among different components, including the military services, SOCOM, the office of the Under Secretary of Defense for Personnel and Readiness (USD (P&R)), and OASD- SO/LIC. Although DOD Directive 5111.10 states that the ASD- SO/LIC “shall advise and coordinate with the Under Secretary of Defense for Personnel and Readiness on manpower” issues, it does not define whether manpower issues include SOF career management, such as special pay and promotion. According to DOD officials, DOD lacks overarching guidance that would clarify ASD-SO/LIC’s role on manpower issues. DOD Directive 5111.10 also does not provide specific information about the extent of the ASD- SO/LIC’s coordination role as it relates, for example, to issues such as career management, retirement, pay, or promotion with regard to USD (P&R) responsibilities on SOF personnel management. As a result, according to DOD officials, the lack of clear and updated guidance has caused some confusion among DOD components. According to OASD-SO/LIC officials, after section 922 was implemented, OASD- SO/LIC’s initial attempts to provide strategic outreach for SOF personnel faced some challenges because officials were not included in key personnel meetings. For example, OASD-SO/LIC officials told us they were not included in some meetings that discussed delegating civilian hiring waivers. By not participating in some key SOF personnel-related meetings, OASD-SO/LIC could have missed the opportunity to advocate for similar waiver authority. According to DOD officials, USD (P&R) officials did not fully understand the ASD- SO/LIC’s authorities under section 922 when OASD-SO/LIC officials attended some meetings.

Despite this confusion, the ASD-SO/LIC has taken some steps to strengthen its role on SOF personnel issues. For example, according to DOD officials, during the federal government civilian employee hiring freeze, DOD delegated civilian employee hiring waivers to the secretaries of the military departments but did not include waivers for the ASD-SO/LIC or SOCOM. Without the waiver authority to re-instate SOF personnel, SOCOM would have to request a waiver separately through the military services. OASD-SO/LIC officials told us that by ensuring the ASD-SO/LIC was granted a similar waiver authority, OASD-SO/LIC officials streamlined the process and supported SOCOM’s efforts to hire additional SOF civilian personnel. However, the ASD-SO/LIC’s authority on SOF personnel matters remains unclear and SOF personnel issues are generally dispersed among the authorities of USD (P&R), military services, and SOCOM. Overall, it remains unclear what, if any, authorities the ASD-SO/LIC has with respect to leading and coordinating the department’s SOF personnel issues.

Budgetary authority: SOF-related budgetary issues include the SOCOM special operations–specific–funding budget materials, the POM, acquisition, and congressional requests for information, among other things. DOD officials told us that before section 922 was enacted, the ASD-SO/LIC reviewed SOF-peculiar budget materials (generally linked to major force program funding) prior to submission of the POM, and the ASD-SO/LIC was notified of SOF-related congressional unfunded priority list submissions. The ASD-SO/LIC did not have principal staff assistant authority to approve the POM. DOD Directive 5111.10 states that the ASD-SO/LIC will provide overall supervision of the preparation and justification of the SOF budget and programs and will review the SOCOM POM. However, the DOD directive has not been updated to provide the ASD-SO/LIC with clear oversight and approval authority over special operations– specific funding, which traditionally has been controlled by SOCOM. DOD Directive 5111.10 also states that the ASD-SO/LIC will advise and coordinate with the Under Secretary of Defense for Acquisition and Technology on acquisition priorities, but this does not provide the ASD-SO/LIC with oversight of the SOF acquisition process. In addition, DOD does not have any guidance that gives ASD-SO/LIC clear oversight roles regarding the SOF acquisition process. By comparison, SOCOM is responsible for the development and acquisition of special operations-peculiar equipment, materiel, supplies, and services in accordance with section 167(e) of Title 10, U.S. Code, and it executes funding in operation and maintenance, procurement, and military construction accounts, among other things. According to OASD-SO/LIC senior officials, the ASD-SO/LIC has some authority over special operations–specific funding through the POM process. According to OASD-SO/LIC officials, after implementing section 922, the ASD-SO/LIC established a new principal staff assistant authority to approve the POM in 2018. However, DOD officials familiar with SOF-related budgetary issues stated that it is unclear how much authority the ASD-SO/LIC has over funding issues to adjudicate potential disagreements between the services and SOCOM on either SOF-specific or common funding issues.

Special Access Programs (SAP): SAPs are programs established for a specific class of classified information that impose safeguarding and access requirements that exceed those normally required for information at the same classification level. Given the sensitive nature of these programs, DOD has established different levels of authorities to create and manage SAPs. According to DOD Directive 5205.07, Special Access Program (SAP) Policy, the Deputy Secretary of Defense designates certain DOD component heads, or DOD agency heads—for example, the secretary of a military department or the Commander, SOCOM—as cognizant authorities to manage and execute their respective SAPs. While the ASD-SO/LIC has always played a role in SOF-related SAPs, DOD officials stated that the role is expected to evolve as part of the implementation of section 922. OASD-SO/LIC’s February 2019 monthly report includes several actions intended to enhance the ASD-SO/LIC’s role in the management of SAPs, and OASD-SO/LIC has already begun participating in various SAP-related conferences and meetings. However, according to DOD officials, the ASD-SO/LIC’s future role related to SAPs remains unclear in existing guidance. For example, DOD Directive 5111.10 states that the ASD-SO/LIC will provide oversight over all special operations and low-intensity conflict related sensitive SAPs. Although the ASD-SO/LIC and SOCOM officials told us that they are currently further defining these roles, the DOD directive has not been updated to clarify whether the ASD-SO/LIC should be included in the SAP governance process, which includes designating the ASD-SO/LIC as a cognizant authority with service secretary-like SAP responsibilities. DOD officials expressed some concerns that until these matters are clarified in guidance, it will remain unclear whether the ASD-SO/LIC and SOCOM should work together on SAP issues, and how their relationships with the various Under Secretaries of Defense with oversight authority will be managed.

Standards for Internal Control in the Federal Government states that management should define objectives clearly and assign responsibility for key roles throughout the organization. Specifically, the standards call for management to define objectives in specific terms so that they are understood at all levels of the entity. This involves clearly defining what is to be achieved, who is to achieve it, how it will be achieved, and time frames for its achievement. We have also previously reported that management practices key to program success include clearly identifying organizational roles and responsibilities and clarifying program objectives. OASD-SO/LIC and SOCOM officials stated that updated guidance is needed to help clarify the ASD-SO/LIC’s roles and responsibilities under section 922. In December 2018 OASD-SO/LIC officials told us that they were starting to update guidance on the ASD- SO/LIC’s roles and responsibilities under section 922 in DOD directive 5111.10. However, OASD-SO/LIC officials did not provide details about the information that would be updated, and did not provide a copy of that draft guidance. In addition, OASD-SO/LIC officials did not have clear time frames regarding when the guidance will be updated.

As DOD updates the ASD-SO/LIC’s roles and responsibilities either in DOD Directive 5111.10 or through new guidance, it has an opportunity to clarify changes in its relationship with DOD components involved in overseeing SOF administrative matters related to personnel, budgetary authority, and SAPs. The SOF enterprise is a complex system, and without clearly identified roles and responsibilities for a service secretary- like role for the ASD-SO/LIC, other DOD components—such as the military departments, USD (P), and USD (P&R) —may not know the extent of the ASD-SO/LIC’s and SOCOM’s authorities in key issues where they have vested interests. For example, it will remain unclear what authorities the ASD-SO/LIC has with regard to SOF-related administrative matters, and which entities will have visibility over any problems or resourcing decisions related to the SOF enterprise. By clarifying the ASD-SO/LIC’s roles and responsibilities with regard to its relationship with SOCOM and other DOD components, DOD can more effectively implement the intent of section 922.

DOD Has Taken Steps to Develop a Hiring Plan but Has Not Fully Incorporated Some Key Strategic Workforce Planning Principles

OASD-SO/LIC Has Hired Additional Personnel and Taken Steps to Develop a Hiring Plan to Guide Future Growth

OASD-SO/LIC has taken steps to develop a hiring plan to identify personnel requirements and an approach to hiring additional personnel. DOD’s efforts began in 2017, when OASD-SO/LIC commissioned the Army Office of Manpower and Reserve Affairs to conduct a manpower study to provide an analysis of manpower requirements based on unconstrained resources that are necessary to satisfy the service secretary-like responsibilities under section 922. The Army’s manpower study was based on nine functions, including budget, acquisitions, and legislative activities. For each function, the study identified corresponding tasks and the average man hours, or time needed, to complete each task. The study, which was included in DOD’s March 2018 report to Congress, ultimately estimated that up to 64 full-time equivalent (FTE) positions might be needed to implement the ASD-SO/LIC’s section 922 responsibilities. According to OASD-SO/LIC officials, the study provided an initial framework for OASD-SO/LIC to determine its staffing needs, but the study was not comprehensive and OASD-SO/LIC’s hiring needs will likely continue to change in the future.

Over the past 2 years, according to OASD-SO/LIC officials, OASD- SO/LIC has begun to hire personnel to fulfill various roles and responsibilities. Specifically, the number of FTEs hired to support OASD- SO/LIC’s implementation of section 922 increased from 14 in March 2018 to 24 as of December 2018. In addition, section 361 of the John S. McCain NDAA for Fiscal Year 2019 gave the ASD-SO/LIC additional flexibility to hire staff in fiscal year 2019. For example, section 361 directed that not less than $4 million in fiscal year 2019 shall be used to fund additional civilian personnel to help implement section 922. Section 361 also provided the OASD-SO/LIC an exemption from the statutory civilian personnel limitation in the Office of the Secretary of Defense imposed by 10 U.S.C. § 143. Figure 2 shows OASD-SO/LIC’s hiring actions to date, along with key events related to the implementation of section 922.

In December 2018 OASD-SO/LIC officials completed a basic hiring plan to guide future personnel growth as OASD-SO/LIC continues to implement actions related to section 922. The plan—documented in a 10 slide presentation—includes OASD-SO/LIC’s short-term hiring goals through the start of fiscal year 2020, a hiring approach involving a mix of permanent and temporary staff, and the identification of targeted skillsets for personnel hired. For example, the plan includes targets related to achieving key skills, such as force planning and shaping the President’s Budget for Fiscal Year 2021. The plan also calls for OASD-SO/LIC to grow from 27 current FTEs to a total of 55 FTEs in fiscal year 2020.

OASD-SO/LIC’s Hiring Plan Does Not Fully Incorporate Key Strategic Workforce-Planning Principles

While OASD-SO/LIC’s current hiring plan represents a first step toward developing a broad overview of its hiring goals and some key hiring considerations, it does not fully incorporate some leading practices for strategic workforce-planning. As we have previously reported, strategic workforce planning addresses two critical needs: (1) aligning an organization’s human capital program with its current and emerging mission and programmatic goals; and (2) developing long-term strategies for acquiring, developing, and retaining staff to achieve programmatic goals. While agencies’ approaches to workforce planning will vary, we have previously identified several key principles that strategic workforce planning should address, irrespective of the context in which the planning is done. GAO’s prior work on workforce planning identified the following five key principles: involve top management, employees, and other stakeholders in developing the strategic workforce plan; determine the critical skills and competencies needed to achieve long-term goals; develop strategies that are tailored to address critical competency gaps; build the capacity needed to address requirements important to supporting workforce strategies; and monitor and evaluate the agency’s progress toward its human capital goals. However, we found that as of December 2018, the OASD-SO/LIC’s hiring plan had not fully incorporated several of these key strategic workforce-planning principles, as described below:

The hiring plan was not fully aligned with long-term goals. A key principle in strategic workforce planning is strategic alignment, which occurs when an agency’s human capital program is linked with its mission and goals. However, we found that OASD-SO/LIC has not clearly linked its hiring plan with its overall mission and goals. For example, the hiring plan mentions short-term goals, such as analyzing the budget for fiscal year 2021 and long-term goals, such as strategic assessment and aligning the organization with National Defense Strategy requirements. However, the plan does not define strategic assessment, and it lacks detail about how newly hired personnel in fiscal year 2019 will help OASD-SO/LIC meet long-term goals related to strategic assessment. For example, OASD-SO/LIC recently hired seven personnel, but it is not clear whether the newly hired personnel have skills that match competencies, such as the ability to work with Special Access Programs, identified in OASD-SO/LIC’s hiring plan. We have previously reported that unless hiring needs are clearly linked with long-term goals, the hiring plan may be incomplete or premature.

OASD-SO/LIC’s approach did not fully involve stakeholders.

While stakeholder involvement is not statutorily required, another key principle of effective strategic workforce planning is to involve top management, employees, and other stakeholders in developing, communicating, and implementing strategic workforce plans. We found several cases in which OASD-SO/LIC did not involve stakeholders in its key efforts. For example, although OASD-SO/LIC senior officials shared information about the hiring plan with one senior official at SOCOM, several OASD-SO/LIC and SOCOM officials stated that OASD-SO/LIC did not communicate the hiring plan’s expectations or strategies more broadly, to involve a full range of OASD-SO/LIC and SOCOM officials and other stakeholders, such as USD (P). In another example, when OASD-SO/LIC hired personnel from September 2018 through December 2018, several OASD- SO/LIC and SOCOM officials were unclear about the specific roles and responsibilities of new personnel hired.

The hiring plan did not include strategies to address critical competency gaps and identify related personnel requirements. Leading principles of effective strategic workforce planning hold that agencies should develop strategies to address critical skill gaps and systematic personnel requirements processes, which are considered a good human capital practice across government. However, we found that OASD-SO/LIC’s hiring plan did not include completed competency-gap assessments or have procedures in place to periodically reassess personnel requirements. Without a systematic process to periodically assess personnel requirements, OASD-SO/LIC could not determine whether the Army study’s initial estimates were the most efficient choice for the workforce. For example with regard to the legislative affairs positions, OASD-SO/LIC and SOCOM officials told us that the Army manpower study’s initial estimate of eight FTEs was too high. OASD-SO/LIC officials eventually hired two FTEs for the legislative affairs office, but the hiring plan did not include a methodology to analyze the workforce and explain why two FTEs would fit within the Army study’s framework. According to OASD- SO/LIC officials, OASD-SO/LIC also did not use a standardized process to assess whether two FTEs would meet its requirements.

According to OASD-SO/LIC officials, the hiring plan is the first step in developing an initial framework, and they stated that it lacked implementation details. OASD-SO/LIC officials stated that they anticipate building upon the hiring plan as the current workforce plan evolves over time. In addition, OASD-SO/LIC officials stated that key priorities include strengthening OASD-SO/LIC’s participation and oversight of SOF resources through the POM and fiscal guidance processes. As a result, the hiring plan includes information about new personnel focused on fiscal oversight, such as analyzing the budget in fiscal years 2020 through 2021, but it does not clarify long-term goals, competency gaps, and program results tied to other priorities, such as legislative and acquisition- related functions. Officials from OASD-SO/LIC and SOCOM agreed that incorporating key principles in the strategic workforce plan would help them determine the most appropriate size and composition of OASD- SO/LIC’s workforce.

Until OASD-SO/LIC completes a comprehensive strategic workforce plan that includes key principles as outlined above, OASD-SO/LIC may not know what gaps exist in skills and competencies, and what their workforce strategies to fill those gaps should be. These issues could put OASD-SO/LIC at risk of hiring personnel who may not adequately meet its needs as defined by section 922.

Conclusions

As DOD increasingly relies on SOF, the department has taken steps to implement section 922. Given the expanded statutory authority under section 922, the ASD-SO/LIC has greater authority to oversee and advocate for the SOF enterprise. The ASD-SO/LIC has implemented several actions to clarify and strengthen its oversight roles and responsibilities, and it has many additional planned actions underway. However, without time frames to implement action items and revised or new guidance that clearly articulates the ASD-SO/LIC’s roles and responsibilities with regard to SOCOM and the wider SOF enterprise, these changes may not be fully effective. In addition, without a strategic workforce plan that fully incorporates leading practices to ensure that the department has the right people, in the right place, at the right time, OASD-SO/LIC may not be well prepared to respond to future workload changes and manage its human capital strategically. As OASD-SO/LIC makes progress in its hiring plan, it is important for OASD-SO/LIC to develop a strategic workforce plan to ensure that it appropriately addresses the human-capital challenges of the future and better contributes to the agency’s efforts to meet its missions and goals.

Recommendations

We are making three recommendations to the Secretary of Defense: The Secretary of Defense should ensure that the Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict defines time frames for completing action items necessary to implement the Assistant Secretary of Defense for SO/LIC’s expanded section 922 responsibilities. (Recommendation 1)

The Secretary of Defense should ensure that the Assistant Secretary of Defense for the Special Operations and Low-Intensity Conflict updates existing guidance or develops new guidance to clarify the roles and responsibilities of the Assistant Secretary of Defense for SO/LIC and relationships with DOD components that have vested interests in the SOF enterprise—such as the military services, SOCOM, the Under Secretary of Defense for Personnel and Readiness, and the Under Secretary of Defense for Policy. (Recommendation 2)

The Secretary of Defense should ensure that the Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict builds upon its hiring plan by developing a strategic workforce plan that incorporates key principles, such as aligning the plan with long-term mission goals; fully involving stakeholders in developing the plan; and including strategies to address critical competency gaps and identify related personnel requirements. (Recommendation 3)

Agency Comments and Our Evaluation

In written comments on the draft of this report, DOD partially concurred with our recommendations. Comments from DOD are summarized below and reprinted in appendix I. DOD also provided technical comments, which we incorporated as appropriate.

DOD partially concurred with the first recommendation that the ASD- SO/LIC define time frames for completing action items necessary to implement the ASD-SO/LIC‘s expanded section 922 responsibilities. In its response, DOD stated that most time frames have been established or the action completed. Additionally, DOD noted that some actions may not be completed because they depend on events, actions or leadership decisions that are outside of OASD-SO/LIC’s control. We agree that some DOD leadership decisions have yet to be made. However, 28 out of 31 already identified actions do not have clear time frames for implementation. Further, time frames can be modified as events change or better information becomes available. As we discuss in the report, establishing time frames with key milestones to track implementation progress are important for agency reform efforts. Without clear time frames, ASD-SO/LIC may not be able to fully execute its service secretary-like authority.

DOD partially concurred with the second recommendation that the ASD- SO/LIC update DOD Directive 5111.10 to clarify the roles and responsibilities of the ASD-SO/LIC and relationships with DOD components that have vested interests in the SOF enterprise. DOD is in the process of revising this directive, but DOD noted that the purpose of DOD Directive 5111.10 is to define only specific Department-wide roles and missions for ASD-SO/LIC and is not the appropriate issuance to define ASD-SO/LIC’s relationship with other DOD components in the SOF enterprise. Given that DOD does not believe DOD Directive 5111.10 is the appropriate issuance to clarify ASD-SO/LIC’s relationships with DOD components, we modified our recommendation from focusing solely on updating DOD Directive 5111.10 to updating existing guidance and/or developing new guidance. Updating or developing guidance that clarifies ASD SO/LIC’s relationship with DOD components, such as the military departments, USD (P), and USD (P&R) would likely allow for improved oversight of and collaboration on SOF matters related to personnel, budgetary authority and SAPs.

DOD partially concurred with the third recommendation that the ASD- SO/LIC build upon its hiring plan by developing a strategic workforce plan that incorporates key principles, such as aligning the plan with long- term mission goals; fully involving stakeholders in developing the plan; and including strategies to address critical competency gaps and identify related personnel requirements. In its response, DOD agreed that there is room to improve the involvement of stakeholders. In addition, DOD stated that it developed a strategic workforce plan that aligns with long-term mission goals and has identified strategies to address critical competency gaps, including target skillsets. However, as noted in our report, the 10 slide presentation that constitutes the hiring plan lacks details that would be included in a comprehensive workforce plan. For example, the hiring plan did not explain how the hiring needs would be specifically tied to long-term goals, such as National Defense Strategy requirements. Although the hiring plan mentions some skillsets, it does not include a competency gap assessment or assess personnel requirements. As noted in our report, OASD-SO/LIC and SOCOM officials stated that the initial personnel requirements developed by the Army study were inaccurate for several reasons, including the lack of a standardized process to assess personnel requirements. Accordingly, we continue to believe that until OASD-SO/LIC develops a comprehensive strategic workforce plan that includes key principles outlined in our report, OASD- SO/LIC could be at risk of hiring personnel who may not adequately meet its needs to perform the roles and responsibilities of section 922.

We are sending copies of this report to other interested congressional committees and the Acting Secretary of Defense. In addition, this report will be available at no charge on the GAO Web site at http://www.gao.gov.

If you have any questions regarding this report, please contact me at (202) 512-5431 or at russellc@gao.gov. Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report. Key contributors are listed in appendix II.

Appendix I: Comments from the Department of Defense

Appendix II: GAO Contacts and Staff Acknowledgments

GAO Contact:

Staff Acknowledgments

In addition to the contact named above, Jim Reynolds (Assistant Director), Tracy Barnes, Mikey Erb, Amie Lesser, Mike Silver, Cheryl Weissman, and Yee Wong (Analyst-in-Charge) made key contributions to this report.