oversight

Human Capital Management: Effectively Implementing Reforms and Closing Critical Skills Gaps Are Key to Addressing Federal Workforce Challenges

Published by the Government Accountability Office on 2012-09-19.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

                                United States Government Accountability Office

GAO                             Testimony
                                Before the Subcommittee on Oversight of
                                Government Management, the Federal
                                Workforce, and the District of Columbia,
                                Committee on Homeland Security and
                                Governmental Affairs, U.S. Senate

                                HUMAN CAPITAL
For Release on Delivery
Expected at 2:30p.m. EDT
Wednesday, September 19, 2012

                                MANAGEMENT
                                Effectively Implementing
                                Reforms and Closing
                                Critical Skills Gaps Are Key
                                to Addressing Federal
                                Workforce Challenges
                                Statement of Gene L. Dodaro
                                Comptroller General of the United States




GAO-12-1023T
                                             September 19, 2012

                                             HUMAN CAPITAL MANAGEMENT
                                             Effectively Implementing Reforms and Closing
                                             Critical Skills Gaps Are Key to Addressing Federal
                                             Workforce Challenges
Highlights of GAO-12-1023T, a testimony
before the Subcommittee on Oversight of
Government Management, the Federal
Workforce and the District of Columbia,
Committee on Homeland Security and
Governmental Affairs, U.S. Senate

Why GAO Did This Study                       What GAO Found
GAO designated strategic human               Since 2001, Congress, the Office of Personnel Management (OPM), and
capital management as a government-          executive branch agencies have taken action to address the government’s
wide high risk area in 2001 because of       human capital challenges. For example, in 2002, Congress passed legislation
a long-standing lack of leadership.          creating the CHCO Council, composed of the Chief Human Capital Officers
                                             (CHCO) of 24 executive agencies and chaired by the Director of OPM. In 2004,
Since then, important progress has
                                             through the Federal Workforce Flexibility Act, Congress provided agencies
been made. However, the area
                                             greater hiring flexibilities. OPM issued guidance on hiring reforms, developed the
remains high risk because of a need to
address current and emerging critical        Hiring Toolkit, and launched an 80-day model to speed the hiring process.
skills gaps that undermine agencies’         Leadership:
abilities to meet their vital missions.
                                             The CHCO Council advises and coordinates the activities of member agencies
The federal government is facing             on current and emerging personnel issues. Among its recent initiatives, OPM and
evolving and crosscutting challenges         the CHCO Council established a working group in September 2011 to identify
that require a range of skills and           and mitigate critical skills gaps. To date the group has taken important steps,
competencies to address. Moreover,
                                             including developing a framework and timeline for identifying and addressing
retirements and the potential loss of
                                             government-wide and agency-specific skills gaps. However, the substantive work
leadership and institutional knowledge,
coupled with fiscal pressures,
                                             of addressing skills gaps remains, including defining workforce plans,
underscore the importance of a               implementing recruitment and retention strategies, and measuring the effects of
strategic and efficient approach to          these initiatives.
acquiring and retaining individuals with     Strategic human capital planning:
needed critical skills.
                                             Integrating human capital planning with broader organizational strategic planning
This testimony is based on a large           is essential for ensuring that agencies have the talent and skill mix needed to
body of GAO work from January 2001           cost-effectively execute their mission and program goals. If not carefully
through September 2012 and focuses
                                             managed, anticipated retirements could cause skills gaps to develop further and
on the progress made by executive
                                             adversely impact the ability of agencies to carry out their diverse responsibilities.
branch agencies, the CHCO Council,
and OPM, and the challenges that             GAO’s work has identified skills shortages in areas government-wide, such as
remain in four key areas of human            cybersecurity, acquisition management, and foreign language capabilities.
capital management: (1) leadership;          Talent management:
(2) strategic human capital planning;
(3) talent management; and (4) results-      Ensuring that federal agencies are able to recruit, develop, and retain personnel
oriented organizational culture.             with the necessary skills is essential to closing any skills gaps and maintaining a
                                             workforce that will meet its vital missions. Congress, OPM, and some individual
What GAO Recommends                          agencies have taken important actions, such as providing and using flexibilities,
                                             to improve the hiring process and making investments in training and
Over the years, GAO has made                 development. However, much work remains. For example, GAO recently
numerous recommendations to                  reported that OPM can improve its guidance and assistance to agencies in
agencies and OPM to improve their            establishing a process for setting and prioritizing training investments.
strategic human capital management
efforts. This testimony discusses            Results-oriented organizational culture:
agencies’ actions to implement key
                                             Leading organizations have found that to successfully transform themselves they
recommendations.
                                             must often fundamentally change their cultures to be more results-oriented,
                                             customer-focused, and collaborative. As part of that, GAO has shown that
                                             agencies need to create clear “lines of sight” that align organizational and
                                             individual performance. These lines of sight help individual staff understand the
View GAO-12-1023T. For more information,     connection between their daily activities and agency success.
contact Robert N. Goldenkoff at (202) 512-
6806 or goldenkoffr@gao.gov or Yvonne D.
Jones at (202) 512-6806 or jonesy@gao.gov.
                                                                                      United States Government Accountability Office
United States Government Accountability Office
Washington, DC 20548




                                   Chairman Akaka, Ranking Member Johnson, and Members of the
                                   Subcommittee,

                                   Thank you for the opportunity to be here this afternoon to discuss the
                                   state of the federal workforce. My remarks today will focus on the
                                   progress made in modernizing federal human capital policies and
                                   procedures since 2001, the year in which we first added strategic human
                                   capital management to our list of high risk areas because of the long-
                                   standing lack of leadership on personnel matters. 1

                                   Mr. Chairman, today’s session is a fitting venue to discuss the progress of
                                   civil service reforms because so many of the improvements in the federal
                                   government’s human capital policies and practices came about as a
                                   result of the bipartisan leadership and vision of this Subcommittee
                                   including legislation, hearings, constructive oversight, requests for our
                                   research, and efforts to hold agencies accountable for results.

                                   Congress, the Office of Personnel Management (OPM), and individual
                                   agencies have all made substantial progress in addressing their human
                                   capital challenges. For example, Congress, in 2002, created the chief
                                   human capital officer (CHCO) position in 24 agencies to advise and assist
                                   the head of the agency and other agency officials in their strategic human
                                   capital efforts. 2 The CHCO Council—chaired by the OPM Director—
                                   advises and coordinates the activities of members’ agencies, OPM, and
                                   the Office of Management and Budget (OMB) on such matters as
                                   modernizing human resources systems and improving the quality of
                                   human resources information. Further, in 2002 and 2004, Congress
                                   provided agencies—individually and across the federal government—with
                                   additional authorities and flexibilities to manage the federal workforce
                                   such as the authority to offer recruitment bonuses. More recently,
                                   Congress enacted the Telework Enhancement Act of 2010, which is
                                   intended to provide opportunities for more federal employees to telework.

                                   It is important that the government have a top-notch workforce.
                                   Addressing challenges in areas such as disaster response, homeland


                                   1
                                    GAO, High-Risk Series: An Update, GAO-01-263 (Washington, D.C.: Jan. 2001).
                                   2
                                    Chief Human Capital Officers Act of 2002, Title XIII of the Homeland Security Act of
                                   2002. Pub. L. No. 107-296 (Nov. 25, 2002).




                                   Page 1                                                                       GAO-12-1023T
security, economic security, and many other evolving issues requires
networks of actors across many organizations employing a wide range of
expertise and skills. For federal agencies to be effective in this
environment, they must have the capacity to work seamlessly with other
agencies, levels of government, and across sectors.

While the government has taken on additional roles and responsibilities in
recent years, the size of the federal workforce has changed little since
1981. While there have been some fluctuations, overall the number of
federal employees has remained relatively steady at around 2 million
people, with 2.2 million civilian, non-postal employees in 2011. That said,
the federal workforce is supported by a large number of contract
employees who also need to have the right set of skills. Although the
exact size of the contractor workforce is difficult to measure, at some
agencies it is significant and can far exceed the number of federal
personnel. For example, as we pointed out in our April 2012 report, the
National Nuclear Security Administration—a component of the
Department of Energy responsible for ensuring the safety and security of
the nation’s nuclear weapons stockpile—is composed of about 34,000
contractors and 2,400 federal employees. 3

These evolving and complex challenges are occurring while agencies
confront an array of internal management capacity difficulties, such as
critical skills shortages, ongoing retirements that could lead to a further
loss of institutional knowledge, as well as fiscal pressures. 4 As a result, it
is vital that agencies operate more strategically and efficiently than ever
before.

The challenges confronting government demand that federal agencies
follow high-performing organizations’ human capital management
practices including recruiting and retaining employees able to create,
sustain, and thrive in organizations that are flatter, results-oriented, and
externally focused; and collaborate with other entities across levels of
government and with the private and non-profit sectors.




3
 GAO, Modernizing the Nuclear Security Enterprise: Strategies and Challenges in
Sustaining Critical Skills in Federal and Contractor Workforces GAO-12-468 (Washington,
D.C.: April 26, 2012).
4
For more on the management capacity issues confronting agencies, see GAO-11-278.




Page 2                                                                    GAO-12-1023T
                       As requested, my remarks today will focus on executive branch agencies’
                       and OPM’s progress in addressing key aspects of strategic human capital
                       management including: (1) leadership commitment; (2) strategic human
                       capital planning; (3) talent management; and (4) building a results-
                       oriented culture. This testimony is based on a large body of our
                       completed work issued from January 2001 through September 2012, and
                       also includes the preliminary results of an ongoing study that you
                       requested on addressing critical skills gaps. The work on which this
                       statement is based was conducted in accordance with generally accepted
                       government auditing standards. Those standards require that we plan
                       and perform the audit to obtain sufficient, appropriate evidence to provide
                       a reasonable basis for our findings and conclusions based on our audit
                       objectives. We believe that the evidence obtained provides a reasonable
                       basis for our findings and conclusions based on our audit objectives.


                       Effective leadership is the key driver of successful human capital
Sustained Leadership   management. Simply put, the tone starts from the top. As one example, in
is Essential to        September 2011, OPM and the CHCO Council, as part of ongoing
                       discussions between OPM, OMB, and us on progress needed to address
Successful Human       the federal government’s human capital high risk area, established a
Capital Management     working group to identify and mitigate critical skills gaps. At the request of
                       this Subcommittee, we are reviewing the progress of the working group.
                       Our preliminary findings show that the working group has, to date, taken
                       some important steps forward, including developing a framework and
                       timeline for identifying and addressing both government-wide and
                       agency-specific skills gaps.

                       Importantly, the effort is receiving the commitment and support of agency
                       leadership. For example, agencies’ chief human capital officers and their
                       representatives were involved in forming the working group and
                       participated in its deliberations. Further, the working group’s efforts were
                       designated a cross-agency priority goal within the Administration’s fiscal
                       year 2013 federal budget. 5 The working group expects to complete its
                       initial efforts in March 2013. We will continue to assess the working
                       group’s progress and anticipate issuing a report to you later this year.



                       5
                        GAO, Managing for Results: GAO’s Work Related to the Interim Crosscutting Priority
                       Goals under the GPRA Modernization Act, GAO-12-620R (Washington, D.C.:
                       May 31, 2012).




                       Page 3                                                                    GAO-12-1023T
                         In addition, OPM has demonstrated leadership in its efforts to improve the
                         hiring process, with an eye toward making it easier and faster for people
                         to apply for a federal job and strengthen the ability of agencies to
                         compete with the private sector for filling entry-level positions. For
                         example, OPM issued final regulations implementing the Pathways
                         Programs (Pathways) which took effect on July 10, 2012. 6 Pathways
                         created two new conduits into government service: the Internship
                         Program for students currently in high school, college, and other
                         qualifying programs, and the Recent Graduates Program for individuals
                         who, within the previous two years, earned an associate, bachelors,
                         masters, professional or other qualifying degree or certificate. Pathways
                         also modified the existing Presidential Management Fellows Program
                         making it more student friendly by, among other changes, expanding the
                         eligibility window for applicants. Individuals in all three programs are
                         eligible for noncompetitive conversion to permanent positions after
                         meeting certain requirements. If successfully implemented, initiatives
                         such as the CHCO working group and Pathways could help agencies
                         identify and close critical skills gaps.

                         Still, work is needed in other human capital areas. For example, as we
                         noted in our February 2012 testimony before this Subcommittee, OPM
                         needs to improve the paper-intensive processes and antiquated
                         information systems it uses to support the retirement of civilian federal
                         employees in part because of the volume of retirement processing
                         expected in the coming years given projected retirement trends. 7


                         Strategic human capital planning that is integrated with broader
Strategic Human          organizational strategic planning is essential for ensuring that agencies
Capital Planning is      have the talent, skill, and experience mix they need to cost-effectively
                         execute their mission and program goals. Workforce planning is
Critical to Addressing   especially important now because, as shown in figure 1, agencies are
Workforce Challenges     facing a wave of potential retirements. Government-wide, around 30


                         6
                          77 Fed. Reg. 28194 (May 11, 2012). The Pathways Programs were established by the
                         President under Exec. Order No. 13562, Recruiting and Hiring Students and Recent
                         Graduates, 75 Fed. Reg. 82585 (Dec. 27, 2010). Under the executive order, OPM was
                         tasked with issuing implementing regulations.
                         7
                          GAO, OPM Retirement Modernization: Progress Has Been Hindered by Longstanding
                         Information Technology Management Weaknesses, GAO-12-430T (Washington, D.C.:
                         Feb. 1, 2012).




                         Page 4                                                                 GAO-12-1023T
percent of federal employees on board at the end of fiscal year 2011 will
become eligible to retire by 2016. 8 At some agencies, however, such as
the Department of Housing and Urban Development and the Small
Business Administration, at least 40 percent of those on board at the end
of fiscal year 2011 are already eligible or will become eligible to retire in
the next five years. The government’s top leadership and management
ranks also face potentially high levels of retirement. About 58 percent of
senior executives and 45 percent of GS-15s who were on board at the
end of fiscal year 2011 will be eligible to retire by 2016. Likewise, certain
occupations face the potential of large numbers of retirements. Around 46
percent of air traffic controllers and 68 percent of administrative law
judges will be eligible to retire by 2016.

Although a number of factors affect when employees actually retire, a
2008 OPM study found that the median number of years an employee
stays with the government after first becoming retirement-eligible is four
years, although nearly 25 percent remain for nine years or more. 9 Thus, if
not carefully monitored and managed, as experienced employees leave,
gaps could develop in an organization’s leadership and institutional
knowledge.




8
 We report on federal retirement eligibility using data from OPM’s Central Personnel Data
File (CPDF). To assess the reliability of CPDF data, we reviewed relevant OPM
documentation, previous GAO reports using CPDF data, and recent OPM data quality
assurance procedures. We previously reported that government-wide data from the
CPDF for the key variables in this report to determine retirement eligibility—retirement
plan, service computation date, birth date, and occupation—were 98 percent or more
accurate. Based on the results of these procedures, we believe the CPDF data used are
sufficiently reliable for the informational purpose of this report.
9
 OPM, An Analysis of Federal Employee Retirement Data: Predicting Future Retirements
and Examining Factors Relevant to Retiring from the Federal Service (Washington, D.C.:
March, 2008).




Page 5                                                                      GAO-12-1023T
Figure 1: Agencies are Facing a Retirement Wave




                                       Strategic human capital planning will also be needed to address current
                                       and emerging mission critical skills shortages that exist both government-
                                       wide across specific occupations and competencies and within particular
                                       agencies. Our work has shown that it is important for agencies to ensure
                                       that their strategic workforce planning efforts (1) involve top management,
                                       employees, and other stakeholders; (2) identify the critical skills and
                                       competencies that will be needed to achieve current and future
                                       programmatic results; (3) develop strategies that are tailored to address
                                       skills gaps; (4) build the internal capability needed to address
                                       administrative, training, and other requirements important to support




                                       Page 6                                                         GAO-12-1023T
workforce planning strategies; and (5) include plans to monitor and
evaluate the agency’s progress toward meeting its human capital goals. 10

Our work has identified issues in such government-wide areas as:

Cybersecurity: In our November 2011 report, we found that even as
threats to federal IT infrastructure and systems continue to grow in
number and sophistication, federal agencies’ progress in implementing
key workforce planning practices for cybersecurity personnel has been
mixed. 11 For example, five of the eight agencies we reviewed, including
the largest, DOD, have established cybersecurity workforce plans or other
agency-wide activities addressing cybersecurity workforce planning.
However, all of the agencies we reviewed faced challenges determining
the size of their cybersecurity workforce because of variations in how
work is defined and the lack of an occupational series specific to
cybersecurity. We recommended, among other actions, that OPM should
finalize and issue guidance to agencies on how to track the use and
effectiveness of incentives for cybersecurity and other hard-to-fill
positions. OPM agreed with this recommendation and identified steps it is
taking to address federal agencies’ use of incentives.

Acquisition Management: Agencies such as DOD and the Department of
Homeland Security (DHS) need to address shortages of trained
acquisition personnel to oversee and manage contracts that have
become more expensive and increasingly complex. The lack of skilled
employees in this area makes the government vulnerable to overcharges
and wasteful spending of the hundreds of billions of contract dollars it
spends for goods and services each year. In our prior work, for example,
we found that DOD lacked critical information to ensure its acquisition
workforce was sufficient to meet its national security mission. 12 To
address these issues, we recommended in 2009 that DOD, among other
actions, identify and update, on an ongoing basis, the number and skill



10
  GAO, Human Capital: Key Principles for Effective Workforce Planning, GAO-04-39
(Washington, D.C.: Dec. 11, 2003).
11
  GAO, Cybersecurity Human Capital: Initiatives Need Better Planning and Coordination,
GAO-12-8 (Washington, D.C.: Nov. 29, 2011).
12
 GAO, Department of Defense: Additional Actions and Data Are Needed to Effectively
Manage and Oversee DOD’s Acquisition Workforce, GAO-09-342 (Washington, D.C.:
March 25, 2009).




Page 7                                                                    GAO-12-1023T
sets of the total acquisition workforce, including civilian, military, and
contractor personnel that it needs to fulfill its mission. DOD agreed with
our recommendation and has policies in place that call for the department
to assess its total workforce, including its contractor component.
However, DOD has not yet determined the appropriate mix of federal
civilian, military, and contractor personnel. We have ongoing work to
assess DOD’s civilian and acquisition workforce planning efforts.

Likewise, in 2008, we recommended DHS take several actions to better
manage its acquisition workforce challenges, such as establishing a
coordinated planning process across DHS component agencies and
improving workforce data. 13 DHS generally agreed with our
recommendations and has taken steps to more effectively manage and
strategically plan for its acquisition workforce, including establishing a
strategic human capital planning initiative to improve coordination
between the Chief Procurement Officer, DHS components, the Chief
Human Capital Officer, and other stakeholders to develop a Fiscal Year
2013 Acquisition Workforce Strategic Human Capital Plan. DHS has
begun collecting and tracking data on the department’s acquisition
workforce but not yet on the department’s use of contractors for
acquisition support.

Foreign Language Capabilities: As we noted in our July 2010 testimony
before this Subcommittee, DHS, DOD, and the Department of State
(State) could better assess their foreign language needs and capabilities
and address shortfalls. 14 In particular, we said that foreign language skills
are an increasingly key element to the success of diplomatic efforts;
military, counterterrorism, law enforcement, and intelligence missions; as
well as to access to federal programs and services for limited English
populations. We found that the agencies we reviewed could improve their
human capital planning efforts. For example, State’s efforts to meet its
foreign language requirements have yielded some results, but it has not
closed persistent gaps in foreign-language proficient staff in part because
it was not using a strategic approach. We recommended that State


13
  GAO, Department of Homeland Security: A Strategic Approach Is Needed to Better
Ensure the Acquisition Workforce Can Meet Mission Needs, GAO-09-30 (Washington,
D.C.: Nov. 19, 2008).
14
  GAO, Foreign Language Capabilities: Departments of Homeland Security, Defense, and
State Could Better Assess Their Foreign Language Needs and Capabilities and Address
Shortfalls, GAO-10-715T (Washington, D.C.: July 29, 2010).




Page 8                                                                 GAO-12-1023T
develop a comprehensive strategic plan with measurable goals,
objectives, milestones, and feedback mechanics that links all of State’s
efforts to meet its foreign language requirements. State generally agreed
with our recommendations and in response, in March 2011, it published a
strategic plan for foreign language capabilities that links its language
incentive program to its efforts to enhance its recruitment program and
expand training, among other activities.

Our prior work has also identified human capital planning issues at
individual agencies. For example, the Federal Emergency Management
Agency (FEMA) continues to face historical workforce planning and
training challenges that need to be addressed. In our April 2012,
assessment which we prepared for this Subcommittee and other
requesters, we reported that FEMA is in the early stages of integrating its
workforce planning and training efforts with initiatives underway by other
FEMA program offices. 15 These efforts could help FEMA ensure that it
has a workforce of the proper size and skills to meet its mission.
However, we also noted that FEMA’s workforce planning and training
efforts could benefit from quantifiable performance measures, such as
metrics to gauge the agency’s progress building a comprehensive
leadership development program and integrating it with agency
succession planning. FEMA’s parent agency, DHS, concurred with our
recommendations and is taking steps to implement them. 16 For example,
FEMA’s Strategic Human Capital Plan for fiscal years 2012 through 2016
will have milestones and metrics for addressing key workforce planning
efforts.

In another example, in our July 2012 report, we found that the
Department of the Interior continues to face workforce planning
challenges following a reorganization effort to improve its oversight of oil
and gas activities in the wake of the April 2010 oil spill in the Gulf of
Mexico. In particular, we found that Interior has not developed a strategic
workforce plan that outlines specific strategies to help it address the
recruitment, retention, and training challenges it is facing, particularly for




15
  GAO, Federal Emergency Management Agency: Workforce Planning and Training
Could Be Enhanced by Incorporating Strategic Management Principles, GAO-12-487
(Washington, D.C.: April 26, 2012).
16
 GAO-12-487.




Page 9                                                                GAO-12-1023T
                      engineers and inspectors. 17 Interior has also not specifically determined
                      when it will develop such a plan. To address this, we recommended that
                      the relevant components of Interior develop a strategic workforce plan
                      that, among other actions, determines the critical skills and competencies
                      that will be needed to achieve current and future programmatic results
                      and to develop strategies to address critical skills gaps. Interior agreed
                      with this recommendation.


                      Progress in talent management has been made on a number of fronts.
Talent Management     However, our work had identified additional actions federal agencies can
Remains a Federal     take to recruit, develop, and retain personnel with the skills essential to
                      maintaining a workforce that will help agencies meet their vital missions.
Workforce Challenge
Hiring Reforms        More than a decade ago, it was widely recognized that the federal hiring
                      process was lengthy and cumbersome and hampered agencies’ ability to
                      hire the people they needed to achieve their goals and missions. The
                      processes of that time failed to meet the needs of managers in filling
                      positions with the right talent and also failed to meet the needs of
                      applicants for a timely, efficient, transparent, and merit-based process.
                      The processes were also hampered by narrow federal classification
                      standards for defining federal occupations, the quality of certain applicant
                      assessment tools, and time-consuming processes to evaluate applicants.

                      Both Congress and OPM have taken a series of important actions over
                      the years to improve recruiting and hiring in the federal sector. For
                      example, in 2004 Congress provided agencies with hiring flexibilities that
                      (1) permit agencies to appoint individuals to positions through a
                      streamlined hiring process where there is a severe shortage of qualified
                      candidates or a critical hiring need, and (2) allow agency managers more
                      latitude in selecting among qualified candidates through category rating,
                      an alternative to the traditional numerical rating procedure which limited
                      selection to the top three ranked candidates. In addition, Congress
                      provided agencies with enhanced authority to pay recruitment bonuses




                      17
                        GAO, Oil and Gas Management: Interior’s Reorganization Complete, but Challenges
                      Remain in Implementing New Requirements, GAO-12-423 (Washington, D.C.: July 30,
                      2012).




                      Page 10                                                                GAO-12-1023T
                           and with the authority to credit relevant private sector experience when
                           computing annual leave amounts. 18

                           In 2005, and again in 2008, OPM issued guidance on the use of hiring
                           authorities and flexibilities, in 2006 developed the Hiring Toolkit to assist
                           agency officials in determining the appropriate hiring flexibilities to use
                           given their specific situations, and in 2008 launched an 80-day hiring
                           model to help speed up the hiring process. Also in 2008, OPM
                           established standardized vacancy announcement templates for common
                           occupations, such as contract specialist and accounting technician
                           positions, in which agencies can insert summary information concerning
                           their specific jobs prior to posting for public announcement. As mentioned
                           earlier, in 2010, OPM launched the Pathways program in order to make it
                           easier to recruit and hire students and recent graduates.

                           Individual agencies have also taken actions to meet their specific needs
                           for acquiring the necessary talent. For example, we have reported that
                           the National Aeronautics and Space Administration has used a
                           combination of techniques to recruit workers with critical skills, including
                           targeted recruitment activities, educational outreach programs, improved
                           compensation and benefits packages, professional development
                           programs, and streamlined hiring authorities. 19 Despite these efforts,
                           many challenges remain with federal recruiting and hiring, as noted
                           earlier in discussing critical skills gaps.


Training and Development   Effective training and development programs are an integral part of a
                           learning environment that can enhance the federal government’s ability to
                           attract and retain employees with the skills and competencies needed to
                           achieve results. 20 Agency training and development programs should be
                           part of an overall management strategy and include processes to assess
                           and ensure the training’s effectiveness. Our recent work has also
                           underscored the value of collaborative training.



                           18
                            Federal Workforce Flexibility Act of 2004, Pub. L. No. 108-411 (Oct. 30, 2004).
                           19
                             GAO, NASA: Progress Made on Strategic Human Capital Management, but Future
                           Program Challenges Remain, GAO-07-1004 (Washington, D.C.: Aug. 8, 2007).
                           20
                             GAO, Human Capital: Selected Agencies’ Experiences and Lessons Learned in
                           Designing Training and Development Programs, GAO-04-291 (Washington, D.C.: Jan. 30,
                           2004).




                           Page 11                                                                     GAO-12-1023T
For example, in our 2010 overview of 225 professional development
activities intended to improve interagency collaboration at nine key
national security agencies (including DOD, State, and DHS), we noted
that because no single federal agency has the ability to address these
threats alone, agencies must work together in a whole-of-government
approach to protect our nation and its interests. We found that
interagency training and other professional development activities build
foundational knowledge, skills, and networks that are intended to improve
collaboration across agencies. 21 For example, in fiscal year 2009, the
military services or combatant commands led an estimated 84 joint-
military exercise programs that addressed a range of national security
matters and sought to improve the ability of participants to work across
agency lines by encouraging interagency participation. In addition, DHS
offers an introductory online course which is available to personnel across
federal, state, and local government and provides an overview of the
roles and responsibilities of various agencies and how they are supposed
to work together in different emergency situations.

Some agencies also use interagency rotations as a type of professional
development activity that can help improve collaboration across agencies.
For example, Army’s Interagency Fellowship Program is a 10- to 12-
month rotation that places Army officers in intermediate-level positions at
other federal agencies and allows them to learn the culture of the host
agency, hone collaborative skills such as communication and teamwork,
and establish networks with their civilian counterparts. In a 2012 report,
we identified key policies and practices that help such interagency
personnel rotation programs achieve collaboration-related results. These
policies and practices include, for example, the importance of creating
shared goals, establishing incentives, and undertaking careful
preparation. 22

Elsewhere, improvements are needed. Our work at State found that while
the department has taken many steps to incorporate the interrelated
elements of an effective training program, State’s strategic approach to its



21
  GAO, National Security: An Overview of Professional Development Activities Intended to
Improve Interagency Collaboration, GAO-11-108 (Washington, D.C.: Nov. 15, 2010).
22
  GAO, Interagency Collaboration: State and Army Personnel Rotation Programs Can
Build on Positive Results with Additional Preparation and Evaluation, GAO-12-386
(Washington, D.C.: March 9, 2012).




Page 12                                                                   GAO-12-1023T
workforce training still has several key weaknesses. 23 For example, State
lacks a systematic, comprehensive training needs assessment process,
incorporating all bureaus and overseas posts. State also lacks formal
guidance for curriculum design and for data collection and analysis, and
thus cannot be assured that proper practices and procedures are
systematically and comprehensively applied. Moreover, the performance
measures for training generally do not fully address training goals, and
are generally output- rather than outcome-oriented. We made several
recommendations for State to improve strategic planning and evaluation
of its efforts to train personnel, including improvements to State’s efforts
to assess training needs. State generally agreed with our
recommendations and noted that it would look for ways to enhance its
ability to assess the effectiveness of training and development efforts
across employee groups and locations. State has not yet provided us with
evidence that it has taken action to implement the report’s
recommendations.

More broadly, given current budget constraints, it is essential that
agencies identify the appropriate level of investment and establish
priorities for employee training and development, so that the most
important training needs are addressed first. Our report to you issued
earlier this week compared agencies’ training investment practices and
OPM guidance against leading federal training investment practices
identified from our past work and expert studies. 24 These practices
included prioritizing investment funding; identifying the most appropriate
mix of centralized and decentralized approaches for training and
development programs; and tracking the cost and delivery of training and
development programs agency-wide.

In our review, we obtained information from 27 CHCOs on their agencies’
training investment practices. Many CHCOs reported that they are
implementing several leading practices important to making strategic
decisions about training delivery such as, determining the best mix of
decentralized and centralized training. Some CHCOs expressed the view



23
  GAO, Department of State: Additional Steps Are Needed to Improve Strategic Planning
and Evaluation of Training for State Personnel, GAO-11-241 (Washington, D.C.: Jan. 25,
2011).
24
  GAO, Federal Training Investments: OPM and Agencies Can Do More to Ensure Cost-
Effective Decisions, GAO-12-878 (Washington, D.C.: Sept. 17, 2012).




Page 13                                                                  GAO-12-1023T
                          that their components or sub-agencies are more knowledgeable about
                          their mission-specific training needs, while the central human capital staff
                          can add the most value by managing investment decisions for more
                          general training across the department. However, many CHCOs reported
                          that they do not set a level of investment agency-wide, do not prioritize
                          training agency-wide, and do not have information from component or
                          sub-agency leaders regarding their level of investments and priorities.
                          Consequently, agencies reported that they are duplicating internal training
                          investments and missing opportunities to leverage economies of scale
                          across their agencies. Officials from all four agencies we interviewed (the
                          Departments of Energy, the Interior, DHS, and Veterans Affairs) to obtain
                          additional perspective beyond our survey of 27 CHCOs reported that they
                          were unaware of the total amount their agencies invest in federal training
                          and cannot provide reliable training data to OPM, which requests these
                          data to address its government-wide training responsibilities.

                          We found that agencies independently purchase or develop training for
                          the same mandated or common occupational training. Several agencies
                          and OPM officials reported that a website administered by OPM to
                          provide training for the HR community could be expanded to provide
                          mandatory or other common training for federal occupations, which, OPM
                          reported, could save millions and help standardize training. We
                          recommended, among other things, that OPM improve guidance and
                          assistance to agencies in establishing a process for setting and
                          prioritizing training investments; improve the reliability of agency training
                          investment information; and identify the best existing courses that fulfill
                          government-wide training requirements and offer them to all agencies
                          through their existing online training platform or another appropriate
                          platform. OPM generally agreed with most of our recommendations. 25


Workforce Flexibilities   In broad terms, human capital flexibilities represent the policies and
                          practices an agency has the authority to implement in managing its
                          workforce to accomplish its mission and achieve its goals. The tailored
                          use of such flexibilities helps agencies recruit, develop and retain people
                          with the knowledge, skills, and abilities that agencies need to accomplish
                          their critical missions and compete with the private sector for top talent.
                          Human capital flexibilities include monetary incentives such as



                          25
                           GAO-12-878.




                          Page 14                                                          GAO-12-1023T
recruitment, relocation, and retention bonuses; special hiring authorities
such as veteran-related hiring authorities; incentive awards such as
performance-based cash and time-off awards; and work-life policies and
programs such as flexible work schedules, telework, and child care
centers and assistance.

Our 2010 report on the use of recruitment, relocation, and retention
incentives found that these flexibilities were widely used by agencies, and
that retention incentives accounted for the majority of these incentive
costs. Our review of the steps OPM has taken to help ensure that
agencies have effective oversight of their incentive programs found that
while OPM provided oversight of such incentives through various
mechanisms, including guidance and periodic evaluations and
accountability reviews, there are opportunities for improvement. 26 We
recommended that OPM require agencies to incorporate succession
planning efforts into the decision process for awarding retention
incentives. OPM agreed with our recommendation and stated that it will
develop future guidance on the importance of considering succession
planning in the decision process for awarding retention incentives. In
January 2011, OPM issued proposed regulations to add succession
planning to the list of factors an agency may consider before approving a
retention incentive for an employee who would be likely to leave the
federal service in the absence of the incentive. OPM has stated that
specifically listing this factor in the regulations will strengthen the
relationship between succession planning and retention incentives. OPM
expects to issue the final regulations before the end of 2012.

To assist and guide agencies in developing and administering their
work/life programs, OPM has established working groups, sponsored
training for agency officials, promulgated regulations implementing
work/life programs, and provided guidance. In our December 2010 report
on agencies’ satisfaction with OPM’s assistance, we found that most
agency officials were satisfied with OPM’s help, guidance, and
information sharing. 27 At the same time, we determined that OPM is


26
  GAO, Human Capital: Continued Opportunities Exist for FDA and OPM to Improve
Oversight of Recruitment, Relocation, and Retention Incentives, GAO-10-226
(Washington, D.C.: Jan. 22, 2010).
27
  GAO, Federal Work/Life Programs: Agencies Generally Satisfied with OPM Assistance,
but More Tracking and Information Sharing Needed, GAO-11-137 (Washington, D.C.:
Dec. 16, 2010).




Page 15                                                                 GAO-12-1023T
                   potentially missing opportunities to provide federal agencies with
                   additional information that may help them develop and implement
                   work/life programs. As such, we recommended that OPM more
                   systematically track data already being collected by individual federal
                   agencies on their work/life programs such as program usage, and share
                   this information with federal agencies. OPM agreed with our
                   recommendations and said it is exploring the use of a Web-based tool
                   that would provide an ability to collect data from agencies and present it
                   in a more meaningful and systematic manner. According to OPM, the
                   goal would be to allow users to note the connection between work/life
                   programs being offered and related outcomes/results, encouraging
                   agencies to engage in similar efforts.


                   Leading organizations have found that to successfully transform
Results-Oriented   themselves they must often fundamentally change their cultures so that
Cultures           they are more results-oriented, customer-focused, and collaborative in
                   nature. An effective performance management system is critical to
                   achieving this cultural transformation. We have found that having a
                   performance management system that creates a “line of sight” showing
                   how unit and individual performance can contribute to overall
                   organizational goals helps individuals understand the connection between
                   their daily activities and the organization’s success. The federal
                   government’s senior executives need to lead the way in transforming their
                   agencies’ cultures. 28 The performance-based pay system for members of
                   the Senior Executive Service (SES), which seeks to provide a clear and
                   direct linkage between individual performance and organizational results
                   as well as pay, is an important step in government-wide transformation.
                   The importance of explicitly linking senior executive expectations to
                   results-oriented organizational goals is consistent with findings from our
                   past work on performance management. 29

                   In January 2012, OPM and OMB released a government-wide SES
                   performance appraisal system that provides agencies with a standard
                   framework to managing the performance of SES members. While striving



                   28
                    GAO, Human Capital: Sustained Attention to Strategic Human Capital Management
                   Needed, GAO-09-632T (Washington, D.C.: April 22, 2009).
                   29
                     GAO, Human Capital: Senior Executive Performance Management Can Be Significantly
                   Strengthened to Achieve Results, GAO-04-614 (Washington, D.C.: May 26, 2004).




                   Page 16                                                               GAO-12-1023T
to provide greater clarity and equity in the development of performance
standards and link to compensation, among other things, the Directors of
OPM and OMB stated that the new system will also provide agencies with
the necessary flexibility and capability to customize the system in order to
meet their needs. Effective implementation of this new system will be
important because, as we reported in 2008, OPM had found that some
executive performance plans in use at that time did not fully identify the
executives’ performance measures. 30

Leading organizations also develop and maintain inclusive and diverse
workforces that reflect all segments of society. Such organizations
typically foster a work environment in which people are enabled and
motivated to contribute to continuous learning and improvement as well
as mission accomplishment and provide both accountability and fairness
for all employees. As with any organizational change effort, having a
diverse top leadership corps is an organizational strength that can bring a
wider variety of perspectives and approaches to bear on policy
development and implementation, strategic planning, problem solving,
and decision making. 31 In November 2008, we reported on the diversity of
the SES and the SES developmental pool, from which most SES
candidates are selected, noting that the representation of women and
minorities in the SES increased government-wide from October 2000
through September 2007, but increases did not occur in all major
executive branch agencies. 32

In November 2011, OPM reinforced the importance of promoting the
federal workplace as a model of equality, diversity, and inclusion through
the issuance of the Government-Wide Diversity and Inclusion Strategic
Plan. Organized around three strategic goals—workforce diversity,
workplace inclusion, and sustainability—the plan provides a shared
direction, encourages commitment, and creates alignment so that




30
  GAO, Results-Oriented Management: Opportunities Exist for Refining the Oversight and
Implementation of the Senior Executive Performance-Based Pay System, GAO-09-82
(Washington, D.C.: Nov. 21, 2008).

31
     GAO-09-632T.
32
 GAO, Human Capital: Diversity in the Federal SES and Processes for Selecting New
Executives, GAO-09-110 (Washington, D.C.: Nov. 26, 2008).




Page 17                                                                  GAO-12-1023T
according to OPM, agencies can approach their workplace diversity and
inclusion efforts in a coordinated, collaborative, and integrated manner.

In helping to ensure diversity in the pipeline for appointments to the SES
as well as recruitment at all levels, it is important that agencies have
strategies to identify and develop a diverse pool of talent for selecting the
agencies’ potential future leaders and to reach out to a diverse pool of
talent when recruiting. For example, to recruit diverse applicants,
agencies will need to consider active recruitment strategies such as
widening the selection of schools from which to recruit, building formal
relationships with targeted schools to ensure the cultivation of talent for
future applicant pools, and partnering with multicultural organizations to
communicate their commitment to diversity and to build, strengthen, and
maintain relationships. 33

To promote diversity and inclusion in the federal workforce OPM is also
focusing on increasing the hiring and retention of people with disabilities
and veterans.

In 2010, we were asked to identify barriers to the employment of people
with disabilities in the federal workforce and leading practices that could be
used to overcome these barriers. In response, we convened a forum to
identify leading practices that federal agencies could implement within the
current legislative context. Participants said that the most significant barrier
keeping people with disabilities from the workplace is attitudinal, which can
include bias and low expectations for people with disabilities. According to
participants, there is a fundamental need to change the attitudes of hiring
managers, supervisors, coworkers, and prospective employees, and that
cultural change within the agencies is critical to this effort. 34 Participants
identified practices that agencies could implement to help the federal
government become a model employer for people with disabilities.




33
 GAO-09-632T.
34
  GAO, Highlights of a Forum: Participant-Identified Leading Practices That Could
Increase the Employment of Individuals with Disabilities in the Federal Workforce,
GAO-11-81SP (Washington, D.C. Oct. 5, 2010).




Page 18                                                                     GAO-12-1023T
Also in July 2010, the President issued Executive Order 13548 35 to
increase the number of individuals with disabilities in the federal
workforce. Nearly two years after the executive order was signed, we
found that the federal government was not on track to achieve the
executive order’s hiring goals. To ensure that the federal government is
well positioned to become a model employer of individuals with
disabilities, we recommended that the Director of OPM incorporate
information about agency deficiencies in hiring individuals with disabilities
into its regular reporting to the President on implementing the executive
order; expedite the development of the mandatory agency training plans
required by the order; and assess the accuracy of the data used to
measure progress toward the order’s goals. 36 OPM agreed with our
recommendations and is taking steps to implement them.

Finally, the Uniformed Services Employment and Reemployment Rights
Act (USERRA) of 1994 protects the employment and reemployment rights
of federal and nonfederal employees who leave their civilian employment
to perform military and other uniformed services. 37 And the Veterans’
Benefits Act of 2010 (VBA) directed the Department of Labor (Labor) and
Office of Special Counsel (OSC) to establish a 36-month demonstration
project (2011-2014) for receiving, investigating, and resolving USERRA
claims filed against federal executive agencies. 38 The VBA also required
that we evaluate how Labor and OSC designed the demonstration project
and assess their relative performance during and after the demonstration
project.

In September 2012, as part of our mandated effort to assess the relative
performance of USERRA claim processing at Labor and OSC, we
determined that both agencies had implemented comparable processes



35
  Executive Order 13548 of July 26, 2010., Increasing Federal Employment of Individuals
with Disabilities, Federal Register /Vol. 75, No. 146 / Friday, July 30, 2010 / Presidential
Documents p.45039.
36
 GAO, Disability Employment: Further Action Needed to Oversee Efforts to Meet Federal
Government Hiring Goals, GAO-12-568 (Washington, D.C.: May 25, 2012).
37
  Pub. L. No. 103-353, 108 Stat. 3149 (Oct. 13, 1994) (codified at 38 U.S.C. §§ 4301-
4335). USERRA is the most recent in a series of laws protecting veterans’ employment
and reemployment rights going back to the Selective Training and Service Act of 1940.
Pub. L. No. 783, 54 Stat. 885, 890 (Sept. 16, 1940).
38
  Pub. L. No. 111-275, § 105, 124 Stat. 2864, 2868-70 (Oct. 13, 2010).




Page 19                                                                       GAO-12-1023T
               that should allow Congress to evaluate their relative performance at the
               conclusion of the 3-year demonstration project established by
               Congress. 39 However, to improve agencies’ ability to assess relative
               performance, we recommended that both agencies take additional steps
               to ensure data integrity for the performance data they plan to report.

               Although Labor and OSC neither agreed nor disagreed with our
               recommendations, they discussed actions that they both plan to take to
               implement our suggestions. For example, Labor said it will review cost
               data on a quarterly basis for inconsistent or questionable data and correct
               and report any identified data issues each quarter, as necessary. OSC
               said it is reviewing its procedures for compiling and reporting cost data
               during the demonstration project, and is committed to making any
               necessary changes to ensure the demonstration project satisfies
               Congress’s goals.


               Strategic human capital management must be the centerpiece of any
Concluding     serious effort to ensure federal agencies operate as high-performing
Observations   organizations. A high-quality federal workforce is especially critical now
               given the complex, multi-dimensional issues facing the nation.
               Achievement of this goal is challenging, especially in light of the fiscal
               pressures confronting our national government.

               When we first identified strategic human capital management as a high
               risk area in 2001, it was because many agencies faced challenges in key
               areas including leadership; workforce planning; talent management; and
               creating results-oriented organizational cultures. Since then, the federal
               government has made substantial progress in beginning to address
               human capital challenges and, in many ways, is taking a far more
               strategic approach to managing personnel. Through a variety of
               initiatives, Congress, OPM, and individual agencies have strengthened
               the federal human capital infrastructure. As a result of these
               improvements, in 2011 we narrowed the focus of our high risk
               assessment to closing current and emerging critical skills gaps. These
               challenges must be addressed for agencies to cost-effectively execute
               their missions and respond to emerging challenges.


               39
                See GAO, Veterans’ Reemployment Rights: Department of Labor and Office of Special
               Counsel Need to Take Additional Steps to Ensure Demonstration Project Data Integrity,
               GAO-12-860R (Washington, D.C.: Sept. 10, 2012).




               Page 20                                                                  GAO-12-1023T
                  In short, while much progress has been made over the last 11 years in
                  modernizing federal human capital management, the job is far from over.
                  Making greater progress requires agencies to continue to address their
                  specific personnel challenges, as well as work with OPM and through the
                  CHCO Council to address critical skills gaps. Central to success will be
                  the continued attention of top-level leadership, effective planning,
                  responsive implementation, and robust measurement and evaluation, as
                  well as continued congressional oversight to hold agencies accountable
                  for results. 40


                  Chairman Akaka, Ranking Member Johnson, and Members of the
                  Subcommittee, this completes my prepared statement. I would be
                  pleased to respond to any questions.


                  For further information regarding this statement, please contact Robert
Contacts and      Goldenkoff, Director, Strategic Issues, at (202) 512-6806, or
Acknowledgments   goldenkoffr@gao.gov, or Yvonne D. Jones, Director, Strategic Issues, at
                  (202) 512-6806, or jonesy@gao.gov. Contact points for our Offices of
                  Congressional Relations and Public Affairs may be found on the last page
                  of this statement.

                  Individuals making key contributions to this statement include Trina
                  Lewis, Assistant Director; Shea Bader, Analyst-in-Charge; Margaret Best,
                  Barbara Bovbjerg, Sara Daleski, Timothy DiNapoli, William Doherty,
                  Brenda Farrell, Michele Fejfar; Robert Gebhart, Shirley Jones, Steven
                  Lozano, Erik Kjeldgaard, Latesha Love, Signora May, Rebecca Rose,
                  Jeffrey Schmerling, Rebecca Shea, Wesley Sholtes and Jason
                  Vassilicos. Key contributors for the earlier work that supports this
                  testimony are listed in each product.




                  40
                   GAO, Strategic Plan 2007-2012, GAO-07-1SP (Washington, D.C.: March 30, 2007).




                  Page 21                                                              GAO-12-1023T
Appendix I: GAO Products Related to Federal
              Appendix I: GAO Products Related to Federal
              Human Capital Issues



Human Capital Issues

              Federal Training Investments: OPM and Agencies Can Do More to
              Ensure Cost-Effective Decisions. GAO-12-878. Washington, D.C.:
              September 17, 2012.

              Veterans’ Reemployment Rights: Department of Labor and Office of
              Special Counsel Need to Take Additional Steps to Ensure Demonstration
              Project Data Integrity. GAO-12-860R. Washington, D.C.:
              September 10, 2012.

              Oil and Gas Management: Interior’s Reorganization Complete, but
              Challenges Remain in Implementing New Requirements. GAO-12-423.
              Washington, D.C.: July 30, 2012.

              Human Capital: HHS and EPA Can Improve Practices Under Special
              Hiring Authorities. GAO-12-692. Washington, D.C.: July 9, 2012.

              Managing for Results: GAO’s Work Related to the Interim Crosscutting
              Priority Goals under the GPRA Modernization Act. GAO-12-620R.
              Washington, D.C.: May 31, 2012.

              Disability Employment: Further Action Needed to Oversee Efforts to Meet
              Federal Government Hiring Goals. GAO-12-568. Washington, D.C.:
              May 25, 2012.

              Disaster Assistance Workforce: FEMA Could Enhance Human Capital
              Management and Training. GAO-12-538. Washington, D.C.:
              May 25, 2012.

              Federal Emergency Management Agency: Workforce Planning and
              Training Could Be Enhanced by Incorporating Strategic Management
              Principles. GAO-12-487. Washington, D.C.: April 26, 2012.

              Modernizing the Nuclear Security Enterprise: Strategies and Challenges
              in Sustaining Critical Skills in Federal and Contractor Workforces.
              GAO-12-468. Washington, D.C.: April 26, 2012.

              Interagency Collaboration: State and Army Personnel Rotation Programs
              Can Build on Positive Results with Additional Preparation and Evaluation.
              GAO-12-386. Washington, D.C.: March 9, 2012.

              OPM Retirement Modernization: Progress Has Been Hindered by
              Longstanding Information Technology Management Weaknesses.
              GAO-12-430T. Washington, D.C.: February 1, 2012.


              Page 22                                                       GAO-12-1023T
Appendix I: GAO Products Related to Federal
Human Capital Issues




Cybersecurity Human Capital: Initiatives Need Better Planning and
Coordination. GAO-12-8. Washington, D.C.: November 29, 2011.

Emergency Preparedness: Agencies Need Coordinated Guidance on
Incorporating Telework into Emergency and Continuity Planning.
GAO-11-628. Washington, D.C.: July 22, 2011.

High-Risk Series: An Update. GAO-11-278. Washington, D.C.:
February 16, 2011.

Department of State: Additional Steps Are Needed to Improve Strategic
Planning and Evaluation of Training for State Personnel. GAO-11-241.
Washington, D.C.: January 25, 2011.

Federal Work/Life Programs: Agencies Generally Satisfied with OPM
Assistance, but More Tracking and Information Sharing Needed.
GAO-11-137. Washington, D.C.: December 16, 2010.

National Security: An Overview of Professional Development Activities
Intended to Improve Interagency Collaboration. GAO-11-108.
Washington, D.C.: November 15, 2010.

Highlights of a Forum: Participant-Identified Leading Practices That Could
Increase the Employment of Individuals with Disabilities in the Federal
Workforce. GAO-11-81SP. Washington, D.C.: October 5, 2010.

Foreign Language Capabilities: Departments of Homeland Security,
Defense, and State Could Better Assess Their Foreign Language Needs
and Capabilities and Address Shortfalls. GAO-10-715T. Washington,
D.C.: July 29, 2010.

Human Capital: Continued Opportunities Exist for FDA and OPM to
Improve Oversight of Recruitment, Relocation, and Retention Incentives.
GAO-10-226. Washington, D.C.: January 22, 2010.

Department of State: Comprehensive Plan Needed to Address Persistent
Foreign Language Shortfalls. GAO-09-955. Washington, D.C.: September
17, 2009.

Human Capital: Sustained Attention to Strategic Human Capital
Management Needed. GAO-09-632T. Washington, D.C.: April 22, 2009.




Page 23                                                       GAO-12-1023T
Appendix I: GAO Products Related to Federal
Human Capital Issues




Office of Personnel Management: Retirement Modernization Planning
and Management Shortcomings Need to Be Addressed. GAO-09-529.
Washington, D.C.: April 21, 2009.

Department of Defense: Additional Actions and Data Are Needed to
Effectively Manage and Oversee DOD’s Acquisition Workforce.
GAO-09-342. Washington, D.C.: March 25, 2009.

Human Capital: Diversity in the Federal SES and Processes for Selecting
New Executives. GAO-09-110. Washington, D.C.: November 26, 2008.

Results-Oriented Management: Opportunities Exist for Refining the
Oversight and Implementation of the Senior Executive Performance-
Based Pay System. GAO-09-82. Washington, D.C.: November 21, 2008.

Department of Homeland Security: A Strategic Approach Is Needed to
Better Ensure the Acquisition Workforce Can Meet Mission Needs.
GAO-09-30. Washington, D.C.: November 19, 2008.

Office of Personnel Management: Improvements Needed to Ensure
Successful Retirement Systems Modernization. GAO-08-345.
Washington, D.C.: January 31, 2008.

NASA: Progress Made on Strategic Human Capital Management, but
Future Program Challenges Remain. GAO-07-1004. Washington, D.C.:
August 8, 2007.

Strategic Plan, 2007-2012. GAO-07-1SP. Washington, D.C.:
March 30, 2007.

Office of Personnel Management: Key Lessons Learned to Date for
Strengthening Capacity to Lead and Implement Human Capital Reforms.
GAO-07-90. Washington, D.C.: January 19, 2007.

Office of Personnel Management: Retirement Systems Modernization
Program Faces Numerous Challenges. GAO-05-237. Washington, D.C.:
February 28, 2005.

Diversity Management: Expert-Identified Leading Practices and Agency
Examples. GAO-05-90. Washington, D.C.: January 14, 2005.

High Risk Series: An Update, GAO-05-207. Washington, D.C.:
January 1, 2005.


Page 24                                                      GAO-12-1023T
           Appendix I: GAO Products Related to Federal
           Human Capital Issues




           Human Capital: Senior Executive Performance Management Can Be
           Significantly Strengthened to Achieve Results. GAO-04-614. Washington,
           D.C.: May 26, 2004.

           Human Capital: A Guide for Assessing Strategic Training and
           Development Efforts in the Federal Government. GAO-04-546G.
           Washington, D.C.: March 1, 2004.

           High-Performing Organizations: Metrics, Means, and Mechanisms for
           Achieving High Performance in the 21st Century Public Management
           Environment. GAO-04-343SP. Washington, D.C.: February 13, 2004.

           Human Capital: Selected Agencies’ Experiences and Lessons Learned in
           Designing Training and Development Programs. GAO-04-291.
           Washington, D.C.: January 30, 2004.

           Human Capital: Key Principles for Effective Workforce Planning,
           GAO-04-39. Washington, D.C.: December 11, 2003.

           Human Capital: Opportunities to Improve Executive Agencies’ Hiring
           Processes. GAO-03-450. Washington, D.C.: May 30, 2003.

           High-Risk Series: An Update. GAO-01-263. Washington, D.C.:
           January 2001.




(451008)
           Page 25                                                      GAO-12-1023T
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