[House Hearing, 110 Congress]
[From the U.S. Government Publishing Office]
DIVERSITY AT DHS:
KEEPING PACE OR MISSING THE MARK?
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HEARING
before the
COMMITTEE ON HOMELAND SECURITY
HOUSE OF REPRESENTATIVES
ONE HUNDRED TENTH CONGRESS
SECOND SESSION
__________
MAY 21, 2008
__________
Serial No. 110-116
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Printed for the use of the Committee on Homeland Security
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COMMITTEE ON HOMELAND SECURITY
Bennie G. Thompson, Mississippi, Chairman
Loretta Sanchez, California Peter T. King, New York
Edward J. Markey, Massachusetts Lamar Smith, Texas
Norman D. Dicks, Washington Christopher Shays, Connecticut
Jane Harman, California Mark E. Souder, Indiana
Peter A. DeFazio, Oregon Tom Davis, Virginia
Nita M. Lowey, New York Daniel E. Lungren, California
Eleanor Holmes Norton, District of Mike Rogers, Alabama
Columbia David G. Reichert, Washington
Zoe Lofgren, California Michael T. McCaul, Texas
Sheila Jackson Lee, Texas Charles W. Dent, Pennsylvania
Donna M. Christensen, U.S. Virgin Ginny Brown-Waite, Florida
Islands Gus M. Bilirakis, Florida
Bob Etheridge, North Carolina David Davis, Tennessee
James R. Langevin, Rhode Island Paul C. Broun, Georgia
Henry Cuellar, Texas Candice S. Miller, Michigan
Christopher P. Carney, Pennsylvania
Yvette D. Clarke, New York
Al Green, Texas
Ed Perlmutter, Colorado
Bill Pascrell, Jr., New Jersey
Jessica Herrera-Flanigan, Staff Director & General Counsel
Rosaline Cohen, Chief Counsel
Michael Twinchek, Chief Clerk
Robert O'Connor, Minority Staff Director
(II)
C O N T E N T S
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Page
Statements
The Honorable Bennie G. Thompson, a Representative in Congress
From the State of Mississippi, and Chairman, Committee on
Homeland Security.............................................. 1
The Honorable Mike Rogers, a Representative in Congress From the
State of Alabama............................................... 2
The Honorable Sheila Jackson Lee, a Representative in Congress
From the State of Texas:
Prepared Statement............................................. 3
Witnesses
Ms. Elaine C. Duke, Under Secretary for Management, Department of
Homeland Security:
Oral Statement................................................. 5
Prepared Statement............................................. 6
Mr. George H. Stalcup, Director of Strategic Issues, Government
Accountability Office:
Oral Statement................................................. 10
Prepared Statement............................................. 11
Ms. Stacey D. Stewart, Senior Vice President and Chief Diversity
Officer, Fannie Mae Corporation:
Oral Statement................................................. 34
Prepared Statement............................................. 35
Appendix
Questions From Chairman Bennie G. Thompson....................... 55
DIVERSITY AT DHS: KEEPING PACE OR MISSING THE MARK?
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Wednesday, May 21, 2008
U.S. House of Representatives,
Committee on Homeland Security,
Washington, DC.
The committee met, pursuant to call, at 10:10 a.m., in Room
311, Cannon House Office Building, Hon. Bennie G. Thompson
[chairman of the committee] presiding.
Present: Representatives Thompson, Dicks, Norton, Jackson
Lee, Etheridge, Cuellar, Pascrell, Rogers, and Dent.
Chairman Thompson. The Committee on Homeland Security will
come to order.
The committee is meeting today to receive testimony on
``Diversity at DHS: Keeping Pace or Missing the Mark?''
I am told that some people may question why this committee
is examining the Department's workforce diversity. In response
to those concerns, I want to read the following quote:
``Research shows that organizations employing an effective
diversity strategy based on the concepts of inclusion and
respect for differences enhance their creative problem-solving,
organizational flexibility and mission effectiveness.''
While I agree with those words, they are not my words. The
words were contained in a June 2007 report on the Department's
Diversity Initiative that was issued by Marta Brito Perez,
former chief human capital officer at the Department of
Homeland Security. However, within 6 months after issuing the
report, Ms. Brito Perez had left the Department.
In March 2008, majority committee staff issued a report
examining the diversity in the senior executive and leadership
ranks at the Department. With few exceptions, the report found
that the Department lagged behind other fellow agencies in its
representation of women and minorities in the Senior Executive
Service.
In April 2008, the acting chief human capital officer
testified at a joint hearing before the Senate Homeland
Security and Government Affairs Committee and the House
Committee on Government Oversight. He stated that, while DHS
had formed a diversity council, it still had not issued a
corporate diversity strategy or implemented a diversity action
plan for the remainder of fiscal year 2008 through fiscal year
2010.
Since Ms. Brito Perez's report, several disturbing
incidents have occurred at the Department. Racially offensive
e-mails were sent among 20 supervisors at the Secret Service. A
noose was found in the gear of an African American Coast Guard
cadet. An ICE employee wore skin-darkening makeup and prison
garb to a Halloween party.
I cannot say that the inclusion of diversity in the upper
ranks in the Department would have prevented these incidents,
and I cannot say that the lack of diversity caused these
incidents. But I can say there is a lack of diversity. I can
say that these incidents happened. I can say that, with only
one exception, those who carried out these actions were not
disciplined.
That leads me to believe that this Department, our newest
Federal agency, has a long way to go toward becoming an
organization that values inclusion and respects differences. As
Chairman of this committee, my concern is that this lack of
diversity, coupled with low morale, will hamper this
Department's mission effectiveness, and that is too high a
price to pay.
So, today, we are meeting to examine workforce diversity at
the Department, because, more than anything, we want the
Department to be able to tap into the kind of creative problem-
solving, organizational flexibility and mission effectiveness
that are hallmarks of organizations that employ effective
diversity strategies.
The Chair now recognizes the ranking member of the full
committee, the gentleman from Alabama, Mr. Rogers, for an
opening statement.
Mr. Rogers. Thank you, Mr. Chairman.
Let me start by thanking Elaine Duke for being back with
the committee. I look forward to hearing from you.
I thank the witnesses for taking time to be here with us
today.
As you heard the Chairman reference, we are looking at
diversity in the Department of Homeland Security. Specifically,
we will discuss what steps the Department is taking in this
area, from the Senior Executive Service level right down to
entry-level employees.
SES employees, in particular, provide the crucial link
between the top Presidential appointees and the rest of the
Federal workforce. It is these folks who provide executive
management for the Government and who will be critical in the
transition of Federal agencies to the new administration.
Just last month, the Department's acting personnel
director, Mr. Bray Barnes, testified on the actions that DHS is
taking to diversify its workforce. Mr. Barnes discussed the
creation of the SES-level director of Recruiting and Diversity
and the designation of the Department's DHS Diversity Council.
These are all encouraging efforts.
Today, we will hear from Ms. Duke about DHS efforts in this
area, including outreach to minority-serving institutions like
our historically black colleges and universities. In fact, in
my district back home in Alabama, we have three HBCUs: Tuskegee
University, Alabama State University and Talladega College.
These institutions have a distinguished history, and their
alumni have a strong record of contributions to Alabama and to
our Nation.
Through more vigorous recruiting efforts, better mentoring
programs and the Department's SES Candidate Development
Program, it seems like DHS is heading in the right direction in
working to diversify its workforce.
So, with that, I look forward to hearing from the
witnesses. I thank you, Mr. Chairman, and I yield back.
Chairman Thompson. Thank you very much, Mr. Rogers.
Other members of the committee are reminded that, under the
rules, opening statements may be submitted for the record.
[The statement of Hon. Jackson Lee follows:]
Prepared Statement of the Hon. Sheila Jackson Lee
WORKING DIVERSITY: THE DEPARTMENT OF HOMELAND SECURITY WORKFORCE
DHS as it exists today is anything but a model of diversity. The
data illustrates that few members of racial minority groups rise to
senior leadership positions within the DHS. We must ensure that women,
ethnic and racial minorities, and disabled Americans are given the
opportunity to fully contribute to the Department's mission. When it
comes to fighting the war on terror, we simply do not have a person to
waste.
In the past few years, press accounts have relayed several
disturbing incidents with racial overtones that have taken place at the
Department. Most recently, in May 2008, 10 racially insensitive emails
written by at least 20 United States Secret Service supervisors were
released as part of an ongoing discrimination suit filed by African
American employees against the United States Secret Service (USSC). In
July 2007, a noose was discovered in the personal belongings of an
African-American male cadet aboard the U.S. Coast Guard Cutter Eagle.
In August 2007, a second noose was found in the office of a Caucasian
officer conducting diversity training at the Coast Guard Academy.
Shortly thereafter, in October 2007, during a Halloween party at the
Immigration and Customs Enforcement (ICE) headquarters, an ICE employee
was awarded a prize for his costume, which consisted of a striped
prison suit, dreadlocks and darkened skin makeup.
There are a number of things we can do so that we reasonably
accomplish our goal of a diverse and socially conscious Department of
Homeland Security. Let us consider creating a multi-cultural affairs
office/hiring of diversity affairs officer. Conduct research, perhaps
by hiring an independent diversity consultant, to better assess and
understand the diversity challenges at HLS for staff, students, and
faculty, and to formulate suggestions. Conduct research to find out
more about the structural disadvantages at HLS for some groups,
including students of color and women, and to determine what HLS
administration can do to remedy these disadvantages.
We must ensure that DHS complies with equal opportunity employment
and I believe that there are a few provisions that must be implemented
before we can do so. First, we must ensure that there is a diverse
workforce at the Department of Homeland Security: This provision
requires the Chief Human Capital Officer to report to Congress a plan,
with performance measures and timelines, to ensure participation rates
of employees of all races, national origins, genders, and disabilities
are at or above their representation levels in the overall U.S.
population in all levels of the Department. Second, we must identify
and address obstacles to small business, minority and women-owned
procurement: This provision requires the Chief Procurement Officer to
report to Congress on the areas in procurement where the Department
fails to award at least 5% of the value of its contracts (a Federal-
government-wide goal) to businesses that are small, disadvantaged,
women-owned, or in historically underutilized zones. The report should
identify and describe the barriers leading to this failure and set
forth a plan, with performance measures and timelines, to achieve the
5% goal. Third, we must bring diversity to the Centers of Excellence
program: This provision would require the Department to select from a
pool of Historically-Black Colleges and Universities (HBCUs), Hispanic
Serving Institutions, and Tribally-Controlled Colleges in the next
round of the Centers of Excellence program. Institutions that
participate in the Centers of Excellence program have not been
partnering with HBCUs and other minority-serving institutions as urged
by the program requirements.
The diversity of the senior career leadership is of significant
concern because members of the Federal career Senior Executive Service
(SES) serve just below Presidential appointees and provide an important
link between political appointees and the rest of the Federal
workforce. The Office of Personnel Management recommended that agencies
incorporate diversity program activities and objectives into agency
workforce and executive succession planning, incorporate diversity into
recruitment planning activities and use tools and techniques that are
more likely to discover and attract a more diverse field of applicants.
As the newest and one of the largest Federal departments, DHS should
serve as a model of diversity for all Federal agencies. In order for
DHS to realize its potential and become the agency Congress intended,
DHS must actively seek to bring divergent perspectives to bear on every
aspect of its operations.
As of March, 2007, African-Americans comprised 14.5% of DHS's
overall workforce. Asians represented 4.2% and other races comprised
only 1.6% of DHS's overall workforce. African-Americans comprised 8.5%
of the Executive Branch SES, but only 6.5% of the DHS career SES. All
other racial groups combined together (including Native Americans,
Pacific Islanders, and persons of several racial backgrounds) comprised
1.7% of the Executive Branch SES, but only 0.7% of the DHS career SES.
In addition, women comprised 28.9% of the Executive Branch SES, but
only 25.3% of the career DHS.
In June 2007, the Department's Chief Human Capital Officer, Marta
Brita Perez, issued a report on the Department's Diversity Initiative
entitled, ``Diversity Works!: Finding, Hiring, and Keeping a Qualified
Diverse Workforce,'' which acknowledged and identified a number of
diversity problems that the Department has faced. As a result of the
report findings, the Department developed a diversification strategy
with 3 key aims: developing recommendations on strategic efforts to
recruit and hire a qualified and diverse workforce; creating
initiatives to ensure qualified and diverse individuals are retained
through continuous learning interventions at the entry, mid and senior
levels; and providing specific recommendations on how DHS can ensure
that Minority Serving Institutions are represented fully in all of the
functional homeland security mission areas including research and
development. Despite this positive first step in the right direction,
only months after issuing the report, Secretary Chertoff announced the
resignations of Ms. Perez.
Mr. Chairman, it has been almost a year since the issuing of the
report that Secretary Chertoff has ensured will guide the Department
through 2009, however, there have been no tangible changes. After
almost a year, it appears that several of the diversity initiatives
proposed are still in the planning stages. Just last month, the Acting
Chief Human Capital Officer testified in a joint hearing before the
Senate Subcommittee on Oversight and Government Management and the
House Subcommittee on the Federal Workforce that the DHS Diversity
Council has yet to issue a Corporate Diversity Strategy or implement a
Diversity Plan of Action for the remainder of fiscal year 2008 through
fiscal year 2010. This is absolutely unacceptable; if the Department is
as dedicated, as they say, to ensuring a diverse and representative
workforce, they have done little to substantively translate dedication
to reality. There must be some sort of accountability mechanism
implemented to ensure that the Department transitions into a diverse
workplace where people of all races, ethnicities, and genders, can work
productively with one another and consequently produce a more dynamic
Department.
I am committed to creating an environment where all Americans can
participate, regardless of their gender, race, ethnic origin or
disability. This does not just happen. As members of this committee, we
must give the Department guidance to create just such an environment
and guarantee that all Americans can participate in efforts to secure
our Nation. There is much more to be done to translate this goal into a
reality, but I am confident that should we work with the Department we
can ensure its fruition.
Chairman Thompson. I welcome our panel of witnesses.
Our first witness, Ms. Elaine Duke, is Under Secretary for
Management at the Department of Homeland Security. She has been
with the Department since 2003. As Under Secretary for
Management, she oversees all management functions, including
personnel and procurement.
Our second witness is Mr. George Stalcup, director of
strategic issues at the U.S. Government Accountability Office.
Mr. Stalcup has been with GAO for 34 years. In his position, he
is responsible for overseeing a range of reviews of management
issues across government, including a variety of human capital
issues.
Our third witness is Ms. Stacey Stewart. Ms. Stewart is
Fannie Mae Corporation's chief diversity officer and senior
vice president. Ms. Stewart leads Fannie Mae's diversity and
inclusion strategy and the overall corporate-giving strategy
and programs. As chief diversity officer, Ms. Stewart is
responsible for the development and implementation of
strategies that foster a diverse and inclusive workforce and
business environment.
Without objection, the witnesses' full statements will be
inserted in the record. I now ask each witness to summarize his
or her statement for 5 minutes, beginning with Ms. Duke of DHS.
STATEMENT OF ELAINE C. DUKE, UNDER SECRETARY FOR MANAGEMENT,
DEPARTMENT OF HOMELAND SECURITY
Ms. Duke. Good morning, Chairman Thompson, Ranking Member
Rogers and members of the committee. It is an honor to appear
before you again today to discuss diversity issues within the
Department of Homeland Security.
When the President and Congress called for the integration
of 22 disparate agencies 5 years ago, we answered the call and
stood up a Department that today is nearly 210,000 employees
strong. I have had the opportunity to be with these employees,
dedicated, working across the Department to meet our mission. I
also have seen that, as a Department, we do have to improve our
diversity.
Expanding diversity such as gender, geographic, economic,
ethnic and veteran representation of this workforce will
increase the Department's success and bring better benefit to
the American public, and we are committed to doing this.
We are approaching diversity in two ways: how we recruit
externally and how we grow our employees internally.
On finding the right people for the right job, our external
focus, we are casting the widest net possible in a very
competitive labor market. We have focused resources to actively
reach out to candidates more than ever before. We are
recruiting for qualified applicants at career fairs;
historically black colleges and universities such as Texas
Southern University, Jackson State University and Tougaloo
College; and have a robust on-campus recruiting schedule for
this fall at other colleges and universities.
We are expanding our internship program to include the
Delta Regional Homeland Security Intern Partnership. We are
providing grants to minorities-serving institutions to develop
needed research and analysis capabilities to service our
homeland security mission.
We are building a partnership with the Urban League's Black
Executive Program, where 150 DHS employees have volunteered to
work with recruiting in this Urban League program. We are
establishing similar partnerships with the National Association
of Hispanic Federal Executives, the African American Federal
Executive Association, and Asian American Executive Network,
where DHS employees participate on panels and provide SES
preparatory workshops on how to compete for the Federal Senior
Executive Service.
We are also expanding our veterans outreach strategy, which
was launched in the fall of 2007 and cited as one of our best
practices.
Once we have recruited top talent from our diverse pool of
candidates, we want to make sure we provide them with the right
tools and environment to succeed. This is where training and
development is important to our success.
We are preparing qualified and diverse GS-14- and GS-15-
level employees for SES positions through new programs, such as
the SES Candidate Development Program. Our most recent class,
we had 23 employees selected with great diversity within that,
including 22 percent African American, 13 percent Hispanic and
30 percent women.
We have our DHS Fellows Program, which focuses on training
and rotational assignments across various organizations within
DHS. The current Fellows Program is a cohort of 50
participants, including 20 percent minority and 30 percent
women.
We are mentoring and coaching our employees to ensure that
they are ready for the senior executive positions within the
Department.
As we train and develop our employees, we want to make sure
they stay and are happy working at the Department. One such way
we accomplish employee retention is by identifying early our
high-potential candidates, including those from diverse groups,
so that they can be placed in the leadership development
programs I just mentioned. We want to create an environment
where our employees can perform and be promoted and succeed to
their fullest potential.
We are also applying the best practices that mirror the
nine GAO recommendations. We are managing diversity under a
council I recently formed called the DHS Diversity Council.
This council consists of senior management officials throughout
the Department, where each member of the council signed a
charter and pledged their commitment to diversity at DHS. The
council is issuing a corporate diversity strategy and
implementing a diversity action plan for the remainder of 2008,
going out through 2010.
We recently designated an SES-level director of recruiting
and diversity within our Chief Human Capital Office. This
individual is responsible for implementing strategic programs
to recruit a more diverse talent pool for all jobs, including
the SES corps. These efforts are critical given that 26 percent
of our career executives are eligible to retire in 2008, 34
percent in 2009, and 41 percent will be eligible in 2010.
We believe this sustained and continuing focus on diversity
will yield the results that both the Department and this
committee need and demand.
I have observed that our ability to achieve our mission is
critical on having the best workforce, and we think diversity
is one of those elements.
I am pleased to answer your questions in this hearing.
Thank you.
[The statement of Ms. Duke follows:]
Prepared Statement of Elaine C. Duke
May 21, 2008
Chairman Thompson, Ranking Member King, and Members of the
committee, it is an honor to appear before you today to discuss
diversity issues within the Department of Homeland Security (DHS).
When the President and Congress called for the integration of 22
disparate agencies, we answered the call and stood up an agency that
today is nearly 210,000 employees strong. I have had the opportunity to
meet with and observe the hard work and dedication of employees from
across the Department. I have observed how our ability to achieve
critical mission objectives depends upon the experience, knowledge,
diligence, and training of our employees. Expanding diversity such as
gender, geographic, economic, ethnic, and veteran representation of
this workforce will increase the variety of available skills and
knowledge that can be employed in pursuit of the Department's success,
thereby bringing greater benefit to American public.
COMMITMENT
DHS is committed to improving current diversity efforts and
creating better solutions to areas in need of attention. The Department
maintains this commitment with good cause as we recognize diversity as
a management and mission imperative for success.
Better business decisions are made when diverse points of
view are considered.
Diversity improves problem solving capabilities by bringing
more diverse viewpoints to the table.
Teams perform better when their members represent diverse
backgrounds and experiences that can expand the knowledge of
all participants.
Embracing differences is vital to making DHS stronger and
more productive by helping it to better understand mission
environments and how to better serve the public.
Creating an organizational culture of inclusion that
leverages diversity, leads to higher employee morale--improving
retention and productivity.
CURRENTLY
At present, the Department of Homeland Security recognizes the need
to achieve a qualified diverse workforce, particularly in its senior
executive service (SES) appointments. DHS is below the Federal
Government's percent representation of minority populations in its SES
cadre. We also recognize the need for ensuring diversity across the DHS
workforce. In light of our recent Human Capital survey, I wish to
inform you today of current and future efforts within DHS to improve
the range of skills and expertise that can be put into action in
support of the Department's mission.
With strong encouragement from Secretary Chertoff and Acting Deputy
Secretary Schneider, I am leading the design and have begun the
implementation of a new strategy to increase diversity across our
workforce with particular attention on the leadership and executive
ranks. This strategy includes initiatives to identify, train, and
promote high performing employees and is coupled with external efforts
to attract, recruit, and hire diverse applicants and potential leaders.
This strategy incorporates a multifaceted approach to recruitment,
training and development and retention of high performing employees. It
is our aim that these efforts will bring diversity to the forefront of
organizational development.
RECRUITMENT
DHS has focused resources and is actively reaching out to
candidates more than ever before. We are expanding our networks with
local associations and universities to inform them of DHS employment
opportunities beyond the USAjobs website. Expansion of this network
provides us broader opportunities to introduce our new branding
efforts, our ``Proud to Protect'' campaign. In seeking applicants with
mission critical skills, our talent experts demonstrate the importance
of and a respect for the benefits of diversity, while recognizing that
all applicants will be evaluated only on their qualifications for each
position. However, initiatives aimed at increasing DHS' diversity by
expanding our applicant pool through targeted, out-reach efforts is
imperative. Our efforts include:
Recruiting for qualified applicants at career fairs,
historically black colleges and universities (HBCUs). We
established relationships with ``Minority Serving
Institutions,'' in particular: Texas Southern University,
Jackson State University and Tougaloo College. In addition, we
also have a robust on-campus recruiting schedule for this fall
at other colleges and universities.
Working with the academic community through Science and
Technology's (S&T) Office of University Programs to develop
needed research and analysis, and providing education and
training to enhance DHS homeland security capabilities. We are
supporting this initiative through three primary programmatic
areas including university-based system of DHS Centers of
Excellence, DHS Science, Technology, Engineering and
Mathematics Education Programs, and Minority Serving
Institutions, such as Historically Black Colleges and
Universities (HBCUs), Hispanic-Serving Institutions, Tribal
Colleges and Universities, and Native Alaskan/Hawaiian/Pacific
Islander serving institutions. Homeland Security S&T is
striving to build a homeland security scientific community that
reflects the face of America and has a strong stake in
preserving its institutions and way of life.
Expanding internship programs such as the Delta Region
Homeland Security Internship Program. The Department's mission
is national in scope and requires many levels of strategic
cooperation and communication between Federal, State, local,
and private interests. These multi-level partnerships have
become critical for coordinating and maintaining regional
emergency prevention and response efforts. The primary goal of
the Delta Region Homeland Security Internship Program is to
expose talented college students in southern Delta regional
locations to the various DHS component agencies in the area and
provide opportunities to learn about and support critical
mission efforts.
Participating in panels on careers in Federal Government and
providing SES preparatory workshops hosted by minority
associations such as the African American Federal Executive
Association, the National Association of Hispanic Federal
Executives and the Asian American Executive Network.
Expanding upon our robust Veterans Outreach strategy which
was launched in October 2007 and cited as a best practice. The
strategy includes a one-stop web site for Veterans seeking to
continue their service to America by working for DHS. The
establishment of a Veterans Outreach Advisory forum is composed
of various Veterans Services Organizations (VSOs) which advises
on our veterans outreach efforts. As a result of this forum's
input, we developed a new recruitment brochure targeted to
Veterans with the marketing theme of ``Proud to Protect.
Continue Your Service to America with DHS.'' Currently, 40,468
veterans are employed at DHS or 24.2 percent of the total
permanent civilian workforce. Of this veteran population at
DHS, 6,407 are disabled. Later this year, we plan to establish
a DHS speakers cadre that will train veterans working in DHS to
speak to veterans groups. This will greatly expand our capacity
for outreach.
TRAINING/DEVELOPMENT
A crucial factor in the recruitment and retention of a diverse
workforce is the development of current supervisors within the
Department who have the skills to manage and mentor diverse
populations. We are increasing our efforts to develop a qualified and
diverse pool of applicants that focuses on preparing current GS-14 and
GS-15 for our SES positions through new programs, such as:
The SES Candidate Development Program (CDP).--Of the 23 DHS
employees recently selected for the next SES Candidate
Development Program which is approved by Office of Personnel
Management (OPM), 22 percent are African American, 13 percent
are Hispanic, and 30 percent are women.
The DHS Fellows Program and Follow on Rotational
Assignments.--Managing diversity within the workplace means
creating an environment where each employee is empowered to
contribute to the work of the unit, being sensitive and alert
to the interactions among and between leadership and staff. Our
DHS Fellows program highlights the value of rotational
assignments to learning important skills for managing a diverse
workforce across various organizational environments. The
current Fellows cohort of 50 participants ending next October
is 20 percent minority and 30 percent women. Rotational
assignments are key elements of the Fellows and CDP programs.
In addition, more than 200 employees are currently on ad hoc
rotational assignments beyond these two programs.
Career Development for Women.--In April 2008, DHS
headquarters held a forum on career development for women. This
forum consisted of panel discussions, and speakers focused on
mentoring current DHS employees interested in SES positions.
Growth of Mentoring and Coaching Initiatives.--An important
part of our development programs is to offer mentoring and
coaching. Effective mentoring in a multicultural setting means
understanding diverse learning styles and approaches to
problem-solving. Most important, mentoring in a diverse
workplace requires providing appropriate feedback by
supervisors to employees of their contributions to
accomplishing the mission. Our mentoring and coaching
initiatives emphasize the practice and teaching of these
skills.
Other elements of career development include:
Career Pathing Program. This program seeks to ensure that
DHS employees have the opportunities to advance within the
Department. For example, this past year, 480 Transportation
Security Officers applied for and were hired into positions
with Customs and Border Protection.
Identifying critical jobs within the Department where
success qualifies employees for promotion and encouraging
minorities to compete for such positions thereby further
developing the leadership pipeline.
Offering on-line training via our web-enabled learning
management system to continue development of personal,
professional and technical skills related to the numerous
homeland security positions within the Department.
Prototyping diversity management training for managers and
executives and diversity awareness training for all DHS
employees.
RETENTION
Early identification of high-potential employees, including those
from diverse groups such as minorities, women, and people with
disabilities, is critical to their retention. Early identification
allows them to be placed in leadership development programs, which can
lead to continued performance and the potential for promotion to their
next job. Our other strategies to retain high-performing employees
include:
Continuing to use Human Capital employee surveys to study
what makes employees stay, to try to understand work-life
issues, and what can be done to enhance retention and attract
new talent.
Continuing to sponsor Human Capital focus groups allowing
for responses and the submission of ideas for improvement to
occur on a confidential basis.
Work to broadly announce job opportunities internally to
allow individuals to consider lateral/upward moves across
business units, thereby expanding their background and
experience and increasing overall employee satisfaction and
retention.
Establishing an external Diversity Outreach Advisory Forum
of interested stakeholders to assist in DHS' diversity outreach
plans and efforts;
Analyzing departure of employees for weaknesses in diversity
strategy through exit interviews. We have begun this within the
headquarter components and plan to expand it throughout the
Department.
These efforts will contribute to be proactive, strategic approach
to recruiting, developing, retaining and promoting a high-performing
and diverse workforce and we will continue to adapt best practice
recommendations that are applicable to DHS' military and civilian
workforce.
ACCOUNTABILITY AND LOOKING AHEAD
I look forward to reporting improvements in diversity to our
employees, and the Committee that result from increasing accountability
in substantial ways. Recent developments demonstrating our commitment
include:
I recently formed the DHS Diversity Council which consists
of senior management officials from the major operating
components and headquarter offices. Each member of the council
signed the charter pledging their commitment to diversity at
DHS. Among the Council's most pressing actions will be issuing
a DHS Corporate Diversity Strategy and implementing a Diversity
Action Plan for the remainder of fiscal year 2008 through
fiscal year 2010.
DHS has one of the largest law enforcement populations with
the Federal agencies and as such created the Law Enforcement
Council. To further recruit and retain a diverse workforce,
this Council meets to discuss three things: (1) Best
practices--the Council is an open forum for the different law
enforcement components to share information; (2) Discuss
quality of life issues; and (3) Training opportunities. With
respect to training, DHS is currently developing a Law
Enforcement Professional program. The program identifies
eligible participants to take certain training courses as well
as complete rotations and meet with a mentor to further help
them prepare for other law enforcement positions throughout the
Department.
We recently created a SES-level Director of Recruiting and
Diversity within our Chief Human Capital Office. This position
is responsible for implementing strategic programs to recruit a
more diverse talent pool for all jobs within DHS, including the
SES corps. These efforts are critical given that 26 percent of
our career executives are eligible to retire in 2008, 34
percent in 2009, and 41 percent will be eligible for retirement
in 2010.
We are reviewing our SES hiring procedures to identify
potential best practices that would integrate attention to
diversity in our current processes.
Issuing specific guidance to hold executives accountable for
the ``Diversity Advocate'' competency in their performance
plans.
Determining the feasibility and return on investment in
using the services of an executive search firm with a proven
record in attracting high caliber diverse candidates for
executive positions.
In the very near future DHS will execute other elements of our
diversity strategy such as:
Continuing our formal partnership with the Urban League's
Black Executive Program (BEEP) whereby 150 DHS employees have
volunteered, with management endorsement, to serve as
presenters and speakers at BEEP events at HBCUs. Since entering
into this vital partnership this year, DHS speakers have
participated at 11 events at such HBCUs as Mississippi Valley
State University, Tennessee State University, Florida A&M
University, Hampton University, and others.
Establishing similar partnerships with the National
Association of Hispanic Federal Executives and the African
American Federal Executive Association, and the Asian American
Executive Network. We will be providing our SES vacancy
listings to these organizations for distributing amongst their
memberships, and we will provide them with speakers,
presenters, and other similar support.
We are pleased with your interest and support in ensuring that DHS
continues to increase the diversity of its workforce and we look
forward to collaborations that will ensure success.
Chairman Thompson. Thank you for your testimony.
I now recognize Mr. Stalcup to summarize his statement for
5 minutes.
STATEMENT OF GEORGE H. STALCUP, DIRECTOR OF STRATEGIC ISSUES,
GOVERNMENT ACCOUNTABILITY OFFICE
Mr. Stalcup. Chairman Thompson, Ranking Member King and
members of the committee, I, too, appreciate the opportunity to
be here today to provide the committee with information on
diversity in the Federal workforce and at DHS.
The Federal Government is facing new and more complex
challenges in the 21st century, and Federal agencies must
transform their organizations to meet these challenges. Given
the significant challenges related to protecting the Nation
while organizing 22 predecessor agencies into a coherent and
integrated department, GAO designated the implementation and
transformation of DHS as a high-risk area in 2003.
From its inception in 2003, one key challenge DHS has faced
is managing its sizable workforce. Strategic human capital
management must be the centerpiece of any serious change in
management strategy. Given the changing demographics of our
society, diversity management is a key ingredient.
Today, as requested, my remarks will focus on the workforce
demographic data for career employees, both Government-wide and
at DHS, including the changes between 2003 and 2007.
Over that span, there were slight increases in
representation for nearly all of the minority groups within
DHS. Comparing Government-wide data to DHS data, the biggest
differences were among Hispanic men. In both 2003 and 2007,
their representation within DHS was more than 10 percentage
points higher than representation Government-wide. For white
women, in both years of their representation within DHS, it was
nearly 10 points lower. For both 2003 and 2007, the
representation of women in all DHS minority groups, with the
exception of Hispanic women, was below the Government level.
My full statement also provides data on career
representation within DHS by pay plan and grade and by
organizational component, again, for 2003 and 2007.
We also focused on career representation within the SES.
Generally the most experienced segment of the Federal
workforce, these leadership positions are critical. Having a
diverse SES corps can be an organizational strength by bringing
a wider variety of perspectives and approaches to bear on
policy development and implementation, strategic planning,
problem-solving and decision-making.
Representation of nearly all minority groups within the
career SES Government-wide increased slightly between 2003 and
2007. The exception was for African American males, whose
representation declined from 5.6 to 5.0 percent.
At DHS, changes in representation within the SES over the
same time were generally greater than those Government-wide.
The percentage of white women was 23.1 percent in 2007, 5.8
percent points above the 2003 rate of 17.3. The percentage of
white men dropped by 3.1 points--66.8 to 63.7--while the
percentage of African American men dropped by 2.3 points--6.3
to 4.0. Overall, minorities within the SES decreased by 2.7
points--15.9 to 13.2.
My full statement also provides demographic data on GS-14
and GS-15 levels, considered the developmental pool for the SES
over the same 4-year span. While Government-wide developmental
pool numbers declined slightly between 2003 and 2007, the
number in DHS's developmental pool increased by about 55
percent, from 6,500 to over 10,000. Both Government-wide and at
DHS, the minority representation within the developmental pool
is generally higher than within the SES.
We did not analyze the factors that contributed to these
changes in representation within the DHS workforce over that 4-
year span. However, OPM and EEOC, in their oversight roles,
require Federal agencies, including DHS, to analyze their
workforces and report annually. Both the EEOC and OPM, in turn,
report annually on Government-wide representation levels.
An agency's human capital planning should address
demographic trends that the agency faces with its workforce,
especially anticipated turnover. We recently reported that
about 20 percent of DHS's career workforce will be retirement-
eligible by 2012, and overall rates for other attrition of
permanent DHS employees are nearly twice the average rates for
other agencies.
Although most employees do not retire immediately upon
becoming eligible, turnover resulting from retirements and from
other attrition presents both a need for effective planning and
an opportunity to effect workforce diversity.
DHS officials have cited several actions taken, under way
to create and to manage a diverse workforce. We have not
assessed these efforts. However, the actions as described by
Department officials are consistent with some of the leading
diversity management practices in areas such as recruitment and
succession planning identified in an earlier study we
conducted.
That concludes my remarks, and I would be happy to answer
any questions.
[The statement of Mr. Stalcup follows:]
Prepared Statement of George H. Stalcup
May 21, 2008
GAO HIGHLIGHTS
Highlights of GAO-08-815T, a testimony before the Committee on
Homeland Security, House of Representatives.
Why GAO Did This Study
The Department of Homeland Security (DHS) was created from a
disparate group of agencies with multiple missions, values, and
cultures into a cabinet department whose goals are to, among other
things, protect U.S. borders and infrastructure, improve intelligence
and information sharing, and prevent and respond to potential terrorist
attacks. GAO designated the implementation and transformation of DHS as
a high-risk area in 2003, and it remains so. While DHS has made
progress, it continues to face challenges in transforming into an
effective, integrated organization.
In response to a request to provide information on diversity in DHS
and steps DHS is taking to create and manage a diverse workforce, GAO
is providing demographic data related to the Federal Government as a
whole and DHS's workforce. GAO obtained these data from the Office of
Personnel Management's (OPM) Central Personnel Data File (CPDF). GAO
used its past work on leading diversity management practices (GAO-05-
90) and reviewed data from DHS on its diversity management practices.
HUMAN CAPITAL.--WORKFORCE DIVERSITY GOVERNMENTWIDE AND AT THE
DEPARTMENT OF HOMELAND SECURITY
What GAO Found
Data in OPM's CPDF show that as of September 2007, the overall
percentages of women and minorities have increased in the career SES
governmentwide, the highest nonpolitically appointed leaders in the
Federal workforce, and the SES developmental pool for potential
successors since September 2003.
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007
-------------------------------------------------------------------
Governmentwide Percent Percent
Number ----------------------- Number ----------------------
Women Minorities Women Minorities
----------------------------------------------------------------------------------------------------------------
SES......................................... 6,221 26.4 15.2 6,555 29.1 15.8
SES potential developmental pool (GS-15s and 152,123 30.4 18.8 149,149 34.3 22.5
GS-14s)....................................
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
As part of GAO's recent analysis of the diversity of the SES and
the SES developmental pool, GAO reviewed career, or permanent, SES
appointments at DHS and DHS's SES developmental pool.
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007
-------------------------------------------------------------------
DHS Percent Percent
Number ----------------------- Number ----------------------
Women Minorities Women Minorities
----------------------------------------------------------------------------------------------------------------
SES......................................... 208 21.2 15.9 325 26.2 13.2
SES potential developmental pool (GS-15s and 6,525 30.2 19.5 10,107 32.5 24.1
GS-14s)....................................
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
During this 4-year period, the total number of career SES and those
in the SES developmental pool for potential successors increased at
DHS. The percentage of women in the SES increased, while the percentage
of minorities decreased. For the SES developmental pool, the percentage
of women and minorities increased. While GAO did not analyze the
factors that contributed to changes in DHS's workforce for this period,
OPM and the Equal Employment Opportunity Commission in their oversight
roles require Federal agencies, including DHS, to analyze their
workforces.
As part of a strategic human capital planning approach, agencies
need to develop long-term strategies for acquiring, developing,
motivating, and retaining a diverse workforce. An agency's human
capital planning should address the demographic trends that the agency
faces with its workforce, especially retirements, which provide
opportunities for agencies to affect the diversity of their workforces.
DHS reported taking steps to affect the diversity of its workforce.
These steps are consistent with several leading diversity management
practices: (1) A diversity strategy as part of its strategic plan; (2)
recruitment; (3) employee involvement; and (4) succession planning. For
example, DHS cited its use of intern programs for recruiting and its
implementation of two leadership development programs for managing
succession. GAO has not conducted a review of DHS's diversity
management efforts; therefore, it cannot comment on the effectiveness
of DHS's implementation of these practices.
Chairman Thompson, Ranking Member King, and Members of the
committee: I am pleased to be here today to provide the committee with
information on diversity of the Federal workforce and at the Department
of Homeland Security (DHS), which was created from a disparate group of
22 agencies with multiple missions, values, and cultures into a cabinet
department whose goals are to, among other things, protect U.S. borders
and infrastructure, improve intelligence and information sharing, and
prevent and respond to potential terrorist attacks. Since its inception
in March 2003, DHS has faced enormous challenges related to protecting
the Nation from terrorism while organizing its predecessor agencies--
several with existing program and management challenges--into a
coherent and integrated department.
Because these challenges could have serious consequences for the
security of our country, we designated the Department's implementation
and transformation a high-risk area in 2003 and reiterated our concerns
in January 2005 and again in January 2007.\1\ One key challenge DHS has
faced is effectively and strategically managing its sizable workforce
of nearly 167,000 employees in order to respond to current and emerging
21st century challenges.\2\ Strategic human capital management must be
the centerpiece of any serious change management strategy. Also, given
the changing demographics of our society, diversity management is a key
aspect of strategic human capital management. Developing a workforce
that reflects all segments of society and our Nation's diversity is a
significant part of an agency's transformation of its organization to
meet the challenges of the 21st century.
---------------------------------------------------------------------------
\1\ GAO, High Risk Series: An Update, GAO-07-310 (Washington, DC:
Jan. 31, 2007).
\2\ The 167,000 employees include those that are permanent, or
career, and nonpermanent, or noncareer, as of September 2007. In this
testimony, we only provide information on career employees.
---------------------------------------------------------------------------
Today, as requested, my remarks will focus on demographic data
related to career positions in the Federal Government as a whole and
DHS's workforce as well as actions the Department has reported taking
to create and manage a diverse workforce. For our analyses of
governmentwide career and DHS career demographic data, we extracted
data from the Office of Personnel Management's (OPM) Central Personnel
Data File (CPDF) and analyzed these data to identify the extent of
changes in the representation of women and minorities in DHS's
workforce between September 2003 and September 2007. However, we did
not analyze the factors that contributed to changes identified in DHS's
workforce over this 4-year period. We believe the CPDF is sufficiently
reliable for the informational purpose of this testimony. We previously
reported that governmentwide data from the CPDF for the key variables
reported in this testimony--agency, gender, race or national origin,
and pay plan or grade--were 96 percent or more accurate.\3\ We also
obtained information from DHS on recruitment and other strategies used
to develop and sustain a diverse workforce. We conducted this
performance audit in May 2008 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.
---------------------------------------------------------------------------
\3\ GAO, OPM's Central Personnel Data File: Data Appear
Sufficiently Reliable to Meet Most Customer Needs, GAO/GGD-98-199
(Washington, DC: Sept. 30, 1998). Also, in a document dated February
28, 2008, an OPM official confirmed that OPM continues to follow the
CPDF data quality standards and procedures contained in our 1998
report.
---------------------------------------------------------------------------
In summary, when comparing DHS-wide data to governmentwide
representation data, the greatest differences were among Hispanic men
and White women--in both 2003 and 2007 the representation of Hispanic
men was more than 10 percentage points higher than the representation
governmentwide, and for White women, the representation was nearly 10
percentage points lower. When reviewing representation by pay plan/
grades, among the higher grades--general schedule (GS) GS-13 to GS-15,
Senior Executive Service (SES), and Senior Level/Senior Technical (SL/
ST)--minority employees generally represented less than 10 percent of
these career employees in 2003 and 2007. The total number of career SES
at DHS increased by more than 50 percent between 2003 and 2007--going
from 208 to 325. Overall minorities decreased from 15.9 percent of the
total SES in 2003 to 13.2 percent in 2007. For the DHS developmental
pool of potential SES successors (generally GS-15s and GS-14s), the
total number increased by more than 50 percent--going from 6,525 to
10,107. White men decreased by 4.2 percentage points, and minorities
increased by 4.6 percentage points. DHS reported taking steps to affect
the diversity of its workforce that include establishing an objective
in its strategic plan concerning the recruitment and development, among
other things, of a diverse workforce; partnering with minority-serving
institutions and professional service organizations; and implementing
an SES candidate development program. These steps are consistent with
several leading diversity management practices.
REPRESENTATION OF WOMEN AND MINORITIES GOVERNMENTWIDE AND AT DHS IN
2003 AND 2007
DHS, one of the 24 Chief Financial Officer (CFO) Act agencies,\4\
was formed from 22 agencies, including the following agencies or parts
of agencies: the U.S. Customs Service, which was formerly located in
the Department of the Treasury; the Federal Emergency Management
Agency; the Coast Guard; and most of the Immigration and Naturalization
Service, which was formerly located in the Department of Justice.
---------------------------------------------------------------------------
\4\ Pub. L. No. 101-576 (1990), as amended. The CFO Act agencies
are 24 major executive agencies that are subject to the CFO Act. In
2007, the CFO Act agencies employed 98 percent of Federal employees.
---------------------------------------------------------------------------
Representation of Career Employees DHS-wide and Governmentwide
Tables 1 and 2 show the representation of career employees at DHS
and governmentwide as of September 2003 and September 2007,
respectively.
TABLE 1.--REPRESENTATION OF CAREER EMPLOYEES AT DHS AND GOVERNMENTWIDE AS OF SEPTEMBER 2003
--------------------------------------------------------------------------------------------------------------------------------------------------------
September 2003
-----------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
Percent ------------------ Alaska Native Islander ------------------------------------ other
------------------------------------ -----------------
M W M W M W M W M W M W
--------------------------------------------------------------------------------------------------------------------------------------------------------
DHS-wide.................................... 6.8 7.1 0.5 0.2 2.7 1.5 14.2 4.8 44.4 17.7 0.1 0.0
Governmentwide.............................. 6.6 10.7 0.9 1.0 2.6 2.1 4.1 3.0 41.3 27.5 0.1 0.1
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Notes: M=Men and W=Women. Governmentwide data include civilian employees of all cabinet-level departments, independent agencies, commissions, councils,
and boards in the executive branch except the intelligence agencies, the U.S. Postal Service, and the Foreign Service (as of 2007).
TABLE 2.--REPRESENTATION OF CAREER EMPLOYEES AT DHS AND GOVERNMENTWIDE AS OF SEPTEMBER 2007
--------------------------------------------------------------------------------------------------------------------------------------------------------
September 2007
-----------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
Percent ------------------ Alaska Native Islander ------------------------------------ other
------------------------------------ -----------------
M W M W M W M W M W M W
--------------------------------------------------------------------------------------------------------------------------------------------------------
DHS-wide.................................... 7.1 7.8 0.5 0.3 3.1 1.6 14.6 4.9 42.5 17.6 0.1 0.0
Governmentwide.............................. 6.9 11.1 0.9 1.1 2.9 2.4 3.6 3.1 40.4 27.4 0.2 0.1
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Notes: M=Men and W=Women. Governmentwide data include civilian employees of all cabinet-level departments, independent agencies, commissions, councils,
and boards in the executive branch except the intelligence agencies, the U.S. Postal Service, and the Foreign Service (as of 2007).
There were slight increases in percentage points among nearly all
minority groups DHS-wide between 2003 and 2007. The greatest change
DHS-wide was a decrease in White men. The greatest differences between
the governmentwide data and DHS-wide data were among Hispanic men--in
both 2003 and 2007 the representation of Hispanic men was more than 10
percentage points higher than the representation governmentwide, and
for White women, the representation was nearly 10 percentage points
lower. For both 2003 and 2007, the representation of women at DHS, with
the exception of Hispanic women, was below the governmentwide level,
the biggest difference being among White and African American women.
See appendix I for a breakdown of the DHS-wide representation data by
DHS components.
Representation at DHS by Pay Plan/Grade
Taking a closer look at the DHS-wide data, table 3 shows the
representation of career employees at DHS by pay plan/grade as of
September 2003. Minority employees generally represented less than 10
percent of career employees among all the pay plans and grades.
Examples of the exceptions included the representation of Hispanic men
in the blue collar pay plan, grades 5 to 8, and grades 9 to 12, where
they ranged from 15 to over 21 percent. In grades 1 to 4, African
American women represented over 17 percent, and Hispanic women
represented nearly 13 percent of employees. Among the higher grades and
pay plans--grades GS-13 to GS-15, SES, and SL/ST--the percentage of
White women ranged from over 17 to more than 22 percent, and no
minority group exceeded 9 percent of career employees.
TABLE 3.--REPRESENTATION AT DHS BY PAY PLAN/GRADE FOR 2003 FOR CAREER EMPLOYEES
--------------------------------------------------------------------------------------------------------------------------------------------------------
September 2003
-----------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
Pay Plan/Grade ------------------ Alaska Native Islander ------------------------------------ other
------------------------------------ -----------------
M W M W M W M W M W M W
--------------------------------------------------------------------------------------------------------------------------------------------------------
Blue collar................................. 11.1 0.4 0.8 0.0 3.3 0.1 15.0 0.1 67.3 1.6 0.2 0.0
Grades 1 to 4............................... 6.7 17.2 0.4 0.2 1.7 4.3 9.4 12.8 18.9 28.7 0.0 0.0
Grades 5 to 8............................... 4.8 10.3 0.4 0.4 3.6 2.6 18.0 9.3 28.8 21.7 0.1 0.0
Grades 9 to 12.............................. 4.4 5.8 0.4 0.2 2.8 1.5 21.4 5.3 42.7 15.4 0.1 0.0
Grade 13.................................... 5.1 5.8 0.6 0.2 2.4 1.3 8.9 3.2 54.6 17.7 0.2 0.0
Grade 14.................................... 3.9 5.4 0.5 0.2 1.5 0.9 6.2 2.2 57.2 22.0 0.1 0.0
Grade 15.................................... 3.4 3.9 0.6 0.1 1.0 0.8 4.5 1.6 61.8 22.2 0.2 0.1
SES \1\..................................... 6.3 2.9 0.0 0.0 1.0 0.5 4.8 0.5 66.8 17.3 0.0 0.0
SL/ST \2\................................... 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0
Other/unspecified \3\....................... 11.1 7.7 0.6 0.3 2.5 0.9 7.9 3.0 48.0 17.9 0.0 0.0
-----------------------------------------------------------------------------------------------------------
DHS-wide.................................... 6.8 7.1 0.5 0.2 2.7 1.5 14.2 4.8 44.4 17.7 0.1 0.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Notes: M=Men and W=Women.
\1\ The SES consists of permanent or career appointments, paid according to the SES pay schedule and those in the Federal Aviation Administration (FAA)
who have equivalent positions. These are the highest nonpolitically appointed leaders in the Federal workforce.
\2\ SL/ST includes those in the Senior Level and Senior Technical pay plans and those in FAA who have equivalent positions. These are primarily
engineers, scientists, and other top-level professionals. They do not have the leadership role of the SES.
\3\ Other/unspecified includes those who could not be placed in one of the above pay plans or grades.
By 2007, the representation of career employees at DHS by pay plan/
grade showed only slight increases and decreases. Exceptions, as shown
in table 4, were in the percentage of White men in the SL/ST pay plan,
which increased from 0 percent in 2003 to more than 65 percent in 2007,
and White women, which during this period in the same pay plan
increased from 0 percent to almost 28 percent. The representation of
minorities was still less than 10 percent in grades GS-13 and above.
TABLE 4.--REPRESENTATION AT DHS BY PAY PLAN/GRADE FOR 2007 FOR CAREER EMPLOYEES
--------------------------------------------------------------------------------------------------------------------------------------------------------
September 2007
-----------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
Pay Plan/Grade ------------------ Alaska Native Islander ------------------------------------ other
------------------------------------ -----------------
M W M W M W M W M W M W
--------------------------------------------------------------------------------------------------------------------------------------------------------
Blue collar................................. 10.6 0.3 0.6 0.0 2.6 0.1 14.9 0.2 67.6 2.8 0.4 0.0
Grades 1 to 4............................... 6.4 15.3 0.8 0.0 2.4 2.1 7.2 6.4 30.9 28.5 0.0 0.0
Grades 5 to 8............................... 3.5 8.8 0.4 0.3 2.8 2.4 21.0 7.8 32.1 20.8 0.2 0.1
Grades 9 to 12.............................. 4.2 5.3 0.4 0.2 3.3 1.6 23.2 5.5 41.5 14.8 0.1 0.0
Grade 13.................................... 5.0 5.6 0.5 0.2 2.3 1.4 9.9 3.4 54.5 17.2 0.2 0.0
Grade 14.................................... 4.6 7.6 0.3 0.2 2.2 1.6 7.2 2.6 52.9 20.7 0.1 0.0
Grade 15.................................... 4.6 4.8 0.4 0.1 1.5 0.9 4.4 2.0 57.0 24.2 0.0 0.0
SES \1\..................................... 4.0 2.2 0.3 0.0 0.3 0.3 5.5 0.6 63.7 23.1 0.0 0.0
SL/ST \2\................................... 0.0 0.0 0.0 0.0 3.5 3.5 0.0 0.0 65.5 27.6 0.0 0.0
Other/unspecified \3\....................... 11.4 10.4 0.7 0.5 3.5 1.5 8.6 4.6 40.3 18.7 0.0 0.0
-----------------------------------------------------------------------------------------------------------
DHS-wide.................................... 7.1 7.8 0.5 0.3 3.1 1.6 14.6 4.9 42.5 17.6 0.1 0.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Notes: M=Men and W=Women.
\1\ The SES consists of permanent or career appointments, paid according to the SES pay schedule and those in the Federal Aviation Administration (FAA)
who have equivalent positions. These are the highest nonpolitically appointed leaders in the Federal workforce.
\2\ SL/ST includes those in the Senior Level and Senior Technical pay plans and those in FAA who have equivalent positions. These are primarily
engineers, scientists, and other top-level professionals. They do not have the leadership role of the SES.
\3\ Other/unspecified includes those who could not be placed in one of the above pay plans or grades.
Representation in Career SES Governmentwide and at DHS
As we have reported, leadership in agencies across the Federal
Government, especially at senior executive levels, is essential to
providing accountable, committed, consistent, and sustained attention
to human capital and related organizational transformation issues.
Having a diverse SES corps, which generally represents the most
experienced segment of the Federal workforce, can be 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 decisionmaking.
The members of the career SES are the highest nonpolitically
appointed leaders in the Federal workforce, and we recently looked more
closely at their representation governmentwide.\5\ Table 5 shows the
total number of career SES and the percentage of women and minority SES
in DHS and at the 23 other CFO Act agencies in 2003 and 2007. Overall
at DHS, the total number of SES increased by more than 50 percent
between 2003 and 2007 going from 208 to 325. Within that total, the
percentage of women increased from 21.2 percent to 26.2 percent. In
2003, the representation of women within individual CFO Act agencies
ranged from 15.9 to 40.7 percent, with more than two-thirds of the
agencies having at least 25 percent women--DHS had 21.2 percent. The
representation of minorities within the CFO Act agencies in 2003 ranged
from 7.2 to 42.0 percent with more than two-thirds having at least 15
percent minorities--DHS had 15.9 percent. In 2007, the representation
of women at these agencies ranged from 19.9 to 45.5 percent, with more
than half of the agencies having 30 percent or more women--DHS had 26.2
percent. For minority representation, CFO Act agency rates ranged from
6.1 to 43.8 percent, with two-thirds having at least 15 percent or more
minorities--DHS had 13.2 percent.
---------------------------------------------------------------------------
\5\ Career SES members are individuals with civil service status
(permanent) who are appointed competitively to SES positions and serve
in positions below the top political appointees in the executive branch
of government.
TABLE 5.--CAREER SES MEMBERS BY CFO ACT AGENCY FOR 2003 AND 2007
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007
-------------------------------------------------------------------
CFO Act Agency Percent Percent
Number of ----------------------- Number of ----------------------
SES Women Minorities SES Women Minorities
----------------------------------------------------------------------------------------------------------------
Agriculture................................. 299 25.1 18.7 318 28.3 18.9
AID......................................... 24 25.0 25.0 22 45.5 36.4
Commerce.................................... 317 28.1 16.1 317 28.4 14.5
Defense..................................... 1,066 20.1 7.2 1,123 22.6 8.3
Education................................... 61 36.1 27.9 66 36.4 15.2
Energy...................................... 405 21.0 11.4 421 22.8 14.3
EPA......................................... 257 37.0 16.7 261 37.5 17.2
GSA......................................... 80 28.8 10.0 80 28.8 15.0
HHS......................................... 329 40.7 23.4 356 44.1 20.5
DHS......................................... 208 21.2 15.9 325 26.2 13.2
HUD......................................... 81 32.1 42.0 89 38.2 43.8
Interior.................................... 199 31.2 22.6 221 31.7 25.8
Justice..................................... 550 20.5 16.7 645 22.2 17.8
Labor....................................... 137 29.2 21.9 133 33.1 21.1
NASA........................................ 398 22.9 15.6 431 23.4 14.6
NRC......................................... 145 15.9 11.0 146 19.9 13.7
NSF......................................... 81 39.5 13.6 79 44.3 16.5
OPM......................................... 43 37.2 21.0 42 38.1 16.7
SBA......................................... 37 32.4 37.8 36 27.8 38.9
SSA......................................... 121 36.4 28.9 134 41.8 27.6
State....................................... 120 30.0 7.5 114 32.5 6.1
Transportation.............................. 194 32.0 17.5 188 36.2 16.0
Treasury.................................... 403 30.8 16.1 386 36.8 18.4
VA.......................................... 262 18.7 9.5 236 30.9 14.8
-------------------------------------------------------------------
Governmentwide \1\.......................... 6,221 26.4 15.3 6,555 29.1 15.8
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Notes: AID is the Agency for International Development; EPA is the Environmental Protection Agency; GSA is the
General Services Administration; HHS is the Department of Health and Human Services; DHS is the Department of
Homeland Security; HUD is the Department of Housing and Urban Development; NASA is the National Aeronautics
and Space Administration; NRC is the Nuclear Regulatory Commission; NSF is the National Science Foundation;
SSA is the Social Security Administration; and VA is the Department of Veterans Affairs.
\1\ Governmentwide data include civilian employees of all cabinet-level departments, independent agencies,
commissions, councils, and boards in the executive branch except the intelligence agencies, the U.S. Postal
Service, and the Foreign Service (as of 2007).
Minority representation in the career SES governmentwide generally
increased by less than 1 percentage point from September 2003 through
September 2007 as shown in table 6. During this period, the
representation of men in the SES decreased by 2.6 percentage points,
and White men by 2.7 percentage points; whereas, the percentage of
women increased by 2.7 percentage points.
TABLE 6.--CHANGES IN THE CAREER SES GOVERNMENTWIDE FOR 2003 AND 2007
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007 Change in Career SES
-------------------------------------------- Governmentwide
Career SES Profile ---------------------
Number Percent Number Percent Number Percent
----------------------------------------------------------------------------------------------------------------
African American men.......................... 347 5.6 328 5.0 -19 -0.6
African American women........................ 211 3.4 232 3.5 21 0.1
American Indian/Alaska Native men............. 55 0.9 60 0.9 5 0.0
American Indian/Alaska Native women........... 21 0.3 28 0.4 7 0.1
Asian/Pacific Islander men.................... 83 1.3 96 1.5 13 0.2
Asian/ Pacific Islander women................. 44 0.7 57 0.9 13 0.2
Hispanic men.................................. 139 2.2 176 2.7 37 0.5
Hispanic women................................ 48 0.8 60 0.9 12 0.1
White men..................................... 3,942 63.4 3,976 60.7 34 -2.7
White women................................... 1,319 21.2 1,526 23.3 207 2.1
Unspecified/other............................. 12 0.2 16 0.2 4 0.0
Total \1\............................... 6,221 100.0 6,555 100.0 334 0.0
Minorities.................................... 948 15.2 1,037 15.8 89 0.6
Men........................................... 4,575 73.5 4,646 70.9 71 -2.6
Minority men.................................. 624 10.0 660 10.1 36 0.1
Women......................................... 1,644 26.4 1,909 29.1 265 2.7
Minority women................................ 324 5.2 377 5.8 53 0.6
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Note: Governmentwide data include civilian employees of all cabinet-level departments, independent agencies,
commissions, councils, and boards in the executive branch except the intelligence agencies, the U.S. Postal
Service, and the Foreign Service (as of 2007).
\1\ Percentages may not add to 100 because of rounding. The number of men and women might not sum to the total
SES because some employees may have been missing data for race/ethnicity but may have had valid data for
gender or some employees may have been missing data for gender but may have had valid data for race/ethnicity.
At DHS, the extent of change in the representation of career SES
employees was generally greater than the change that occurred in the
governmentwide SES from September 2003 through September 2007. For
example, as shown in table 7, the percentage of White women in DHS's
career SES was 23.1 percent in 2007, 5.8 percentage points above the
2003 rate of 17.3 percent. White men and African American men
experienced the largest decrease in their representation in the career
SES by 2007, dropping 3.1 and 2.3 percentage points, respectively.
Overall, minorities decreased from 15.9 to 13.2 percent.
TABLE 7.--CHANGES IN CAREER SES AT DHS FOR 2003 AND 2007
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007 Change in DHS Career
-------------------------------------------- SES
DHS Career SES Profile ---------------------
Number Percent Number Percent Number Percent
----------------------------------------------------------------------------------------------------------------
African American men.......................... 13 6.3 13 4.0 0 -2.3
African American women........................ 6 2.9 7 2.2 1 -0.7
American Indian/ Alaska Native men............ 0 0.0 1 0.3 1 0.3
American Indian/ Alaska Native women.......... 0 0.0 0 0.0 0 0.0
Asian/Pacific Islander men.................... 2 1.0 1 0.3 -1 -0.7
Asian/Pacific Islander women.................. 1 0.5 1 0.3 0 -0.2
Hispanic men.................................. 10 4.8 18 5.5 8 0.7
Hispanic women................................ 1 0.5 2 0.6 1 0.1
White men..................................... 139 66.8 207 63.7 68 -3.1
White women................................... 36 17.3 75 23.1 39 5.8
Unspecified/other............................. 0 0.0 0 0.0 0 0.0
Total \1\............................... 208 100.0 325 100.0 117 0.0
Minorities.................................... 33 15.9 43 13.2 10 -2.7
Men........................................... 164 78.9 240 73.8 76 -5.1
Minority men.................................. 25 12.0 33 10.2 8 -1.8
Women......................................... 44 21.2 85 26.2 41 5.0
Minority women................................ 8 3.8 10 3.1 2 -0.7
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
\1\ Percentages may not add to 100 because of rounding.
Representation in the Career SES Developmental Pool Governmentwide and
at DHS
The vast majority of potential successors for career SES positions
will come from the GS pay plan for grades GS-15 and GS-14, the levels
that serve as the SES developmental pool.\6\ Table 8 shows the changes
in the representation of the SES developmental pool governmentwide from
September 2003 to September 2007. Governmentwide, the total number of
employees in the SES developmental pool decreased slightly from
September 2003 to September 2007. The greatest change in representation
was a decrease of 5.3 percentage points in the number of White men from
2003 to 2007. The percentage of women in the governmentwide SES
developmental pool increased by 3.9 percentage points between 2003 and
2007, but the percentage of men in this developmental pool decreased by
this same amount. By 2007, the representation of each of the minority
groups in the governmentwide SES developmental pool increased by 1.3
percentage points or fewer, resulting in an overall increase of 3.7
percentage points for minorities.
---------------------------------------------------------------------------
\6\ We included GS-15, GS-14, and equivalent employees. GS-
equivalent employees are those in equivalent grades under other pay
plans that follow the GS grade structure and job evaluation methodology
or are equivalent by statute.
TABLE 8.--CHANGES IN THE SES DEVELOPMENTAL POOL GOVERNMENTWIDE FOR 2003 AND 2007
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007 Change in SES
-------------------------------------------- Developmental Pool
Profile of SES Developmental Pool (GS-15s and Governmentwide
GS-14s) Number Percent Number Percent ---------------------
Number Percent
----------------------------------------------------------------------------------------------------------------
African American men.......................... 6,035 4.0 6,439 4.3 404 0.3
African American women........................ 7,276 4.8 9,108 6.1 1,832 1.3
American Indian/Alaska Native men............. 978 0.6 938 0.6 -40 0.0
American Indian/Alaska Native women........... 489 0.3 590 0.4 101 0.1
Asian/Pacific Islander men.................... 5,452 3.6 6,305 4.2 853 0.6
Asian/Pacific Islander women.................. 2,546 1.7 3,503 2.3 957 0.6
Hispanic men.................................. 4,051 2.7 4,418 3.0 367 0.3
Hispanic women................................ 1,740 1.1 2,193 1.5 453 0.4
White men..................................... 89,333 58.7 79,718 53.4 -9,615 -5.3
White women................................... 34,081 22.4 35,650 23.9 1,569 1.5
Unspecified/other............................. 142 0.1 287 0.2 145 0.1
Total \1\............................... 152,123 100.0 149,149 100.0 -2,974 0.0
Minorities.................................... 28,567 18.8 33,494 22.5 4,927 3.7
Men........................................... 105,945 69.6 98,003 65.7 -7,942 -3.9
Minority men.................................. 16,516 10.9 18,100 12.1 1,584 1.2
Women......................................... 46,178 30.4 51,146 34.3 4,968 3.9
Minority women................................ 12,051 7.9 15,394 10.3 3,343 2.4
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Note: Governmentwide includes civilian employees of all cabinet-level departments, independent agencies,
commissions, councils, and boards in the executive branch except the intelligence agencies, the U.S. Postal
Service, and the Foreign Service (as of 2007). We included GS-15, GS-14, and equivalent employees. GS-
equivalent employees are those in equivalent grades under other pay plans that follow the GS grade structure
and job evaluation methodology or are equivalent by statute.
\1\ Percentages may not add to 100 because of rounding.
Unlike the total number of employees in the governmentwide SES
developmental pool, those in DHS's SES developmental pool increased by
more than half. The two greatest changes in representation within DHS's
career SES developmental pool from September 2003 through September
2007 were for White men, which decreased by 4.2 percentage points, and
minorities, which increased by 4.6 percentage points, of which African
American women increased by 1.8 percentage points, as shown in table 9.
TABLE 9.--CHANGES IN THE CAREER SES DEVELOPMENTAL POOL AT DHS FOR 2003 AND 2007
----------------------------------------------------------------------------------------------------------------
September 2003 September 2007 Change in DHS Career
Profile of DHS SES Developmental Pool (GS-15s -------------------------------------------- SES
and GS-14s) ---------------------
Number Percent Number Percent Number Percent
----------------------------------------------------------------------------------------------------------------
African American men.......................... 245 3.8 467 4.6 222 0.8
African American women........................ 328 5.0 683 6.8 355 1.8
American Indian/Alaska Native men............. 34 0.5 36 0.4 2 -0.1
American Indian/Alaska Native women........... 12 0.2 19 0.2 7 0.0
Asian/Pacific Islander men.................... 87 1.3 204 2.0 117 0.7
Asian/Pacific Islander women.................. 56 0.9 138 1.4 82 0.5.
Hispanic men.................................. 375 5.8 641 6.3 266 0.5
Hispanic women................................ 133 2.0 245 2.4 112 0.4
White men..................................... 3,806 58.3 5,469 54.1 1,663 -4.2
White women................................... 1,439 22.1 2,195 21.7 756 -0.4
Unspecified/other............................. 10 0.2 10 0.1 0 -0.1
Total \1\............................... 6,525 100.0 10,107 100.0 3,582 0.0
Minorities.................................... 1,270 19.5 2,433 24.1 1,163 4.6
Men........................................... 4,556 69.8 6,824 67.5 2,268 -2.3
Minority men.................................. 741 11.4 1,348 13.3 607 1.9
Women......................................... 1,969 30.2 3,283 32.5 1,314 2.3
Minority women................................ 529 8.1 1,085 10.7 556 2.6
----------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
\1\ Percentages may not add to 100 because of rounding.
While we did not analyze factors that contributed to changes in DHS
workforce from September 2003 through September 2007, OPM and the Equal
Employment Opportunity Commission (EEOC) in their oversight roles
require Federal agencies, including DHS, to analyze their workforces.
Both OPM and EEOC also report on governmentwide representation levels.
Under OPM's regulations implementing the Federal Equal Opportunity
Recruitment Program (FEORP),\7\ agencies are required to determine
where representation levels for covered groups are lower than the
civilian labor force (CLF) and take steps to address those differences.
EEOC's Management Directive 715 (MD-715) provides guidance and
standards to Federal agencies for establishing and maintaining
effective equal employment opportunity (EEO) programs, including a
framework for executive branch agencies to help ensure effective
management, accountability, and self-analysis to determine whether
barriers to EEO exist and to identify and develop strategies to
mitigate or eliminate the barriers to participation.\8\ Specifically
EEOC's MD-715 states that agency personnel programs and policies should
be evaluated regularly to ascertain whether such programs have any
barriers that tend to limit or restrict equitable opportunities for
open competition in the workplace. The initial step is for agencies to
analyze their workforce data with designated benchmarks, including the
CLF. If analysis of their workforce profiles identifies potential
barriers, agencies are to examine all related policies, procedures, and
practices to determine whether an actual barrier exists. EEOC requires
agencies to report the results of their analyses annually.
---------------------------------------------------------------------------
\7\ 5 U.S.C. 7201 and 5 CFR Part 720, Subpart B.
\8\ EEOC defines barriers as agency policies, principles, or
practices that limit or tend to limit employment opportunities for
those of a particular gender, race, or ethnic background or based on an
individual's disability status.
---------------------------------------------------------------------------
DHS HAS REPORTED TAKING STEPS TO AFFECT THE DIVERSITY OF ITS WORKFORCE
THAT ARE CONSISTENT WITH LEADING DIVERSITY MANAGEMENT PRACTICES
A high-performance organization relies on a dynamic workforce with
the requisite talents and up-to-date skills to ensure that it is
equipped to accomplish its mission and achieve its goals. 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 which provides both
accountability and fairness for all employees. In addition, the
approach that a high-performance organization takes toward its
workforce is inclusive and draws on the strengths of employees at all
levels and of all backgrounds. This approach is consistent with that of
diversity management. We have defined diversity management as a process
intended to create and maintain a positive work environment where the
similarities and differences of individuals are valued, so that all can
reach their potential and maximize their contributions to an
organization's strategic goals and objectives. In our past work, we
identified nine leading practices in diversity management that experts
agreed should be present in some combination for creating and managing
diversity.\9\ The leading diversity management practices identified by
a majority of experts were as follows:
---------------------------------------------------------------------------
\9\ See GAO, Diversity Management: Expert-Identified Leading
Practices and Agency Examples, GAO-05-90 (Washington, DC: Jan. 14,
2005).
---------------------------------------------------------------------------
Top leadership commitment.--A vision of diversity
demonstrated and communicated throughout an organization by
top-level management.
Diversity as part of an organization's strategic plan.--A
diversity strategy and plan that are developed and aligned with
the organization's strategic plan.
Diversity linked to performance.--The understanding that a
more diverse and inclusive work environment can yield greater
productivity and help improve individual and organizational
performance.
Measurement.--A set of quantitative and qualitative measures
of the effect of various aspects of an overall diversity
program.
Accountability.--The means to ensure that leaders are
responsible for diversity by linking their performance
assessment and compensation to the progress of diversity
initiatives.
Succession planning.--An ongoing, strategic process for
identifying and developing a diverse pool of talent for an
organization's potential future leaders.
Recruitment.--The process of attracting a supply of
qualified, diverse applicants for employment.
Employee involvement.--The contribution of employees in
driving diversity throughout an organization.
Diversity training.--Organizational efforts to inform and
educate management and staff about diversity.
DHS's Acting Chief Human Capital Officer (CHCO) testified in April
2008 on actions the Department is taking to create and manage its
workforce.\10\ These actions are consistent with leading diversity
management practices in four areas: (1) A diversity strategy as part of
its strategic plan; (2) recruitment; (3) employee involvement; and (4)
succession planning. We have not conducted a review of DHS's diversity
management efforts; therefore, we cannot comment on the effectiveness
of DHS's implementation of these practices. In addition, because we do
not highlight a particular practice, it is not meant to imply success
or lack of success by DHS in implementing other diversity management
practices.
---------------------------------------------------------------------------
\10\ Statement by Bray Barnes, Acting Chief Human Capital Officer,
Department of Homeland Security, before the House Subcommittee on the
Federal Workforce, Postal Service and the District of Columbia and
Senate Subcommittee on Oversight of Government Management, the Federal
Workforce, and the District of Columbia (Apr. 3, 2008).
---------------------------------------------------------------------------
Diversity strategy as part of the strategic plan. DHS established
an objective in its 2004 Strategic Plan to ``ensure effective
recruitment, development, compensation, succession management and
leadership of a diverse workforce to provide optimal service at a
responsible cost.'' In an August 2007 progress report on implementation
of mission and management functions,\11\ we indicated that DHS had
taken action to satisfy most of the elements related to developing a
results-oriented strategic human capital plan. We noted that in
addition to the strategic human capital plan that DHS issued in October
2004, which covers 2004 to 2008, the Department developed a fiscal year
2007 and 2008 Human Capital Operational Plan, which provides measurable
goals that the Department is using to gauge the effectiveness of its
human capital efforts. DHS officials provided us with a copy of DHS's
Corporate Diversity Strategy, issued in March 2008, and stated that the
Department has developed a Diversity Action Plan, which it plans to
submit to the DHS Diversity Council for approval in May 2008.\12\ The
Diversity Strategy outlines DHS's policy of encouraging a diverse
workforce and the value of a diverse workforce in accomplishing DHS's
mission. Among the guiding principles is integrating diversity into the
organization culture rather than as a stand-alone program and
recognizing that diversity is a matter of equity and fairness. To help
ensure accountability, among other things, the strategy calls for
establishing a senior-level Diversity Council, which DHS officials
reported has been done, integrating diversity strategies into DHS's
comprehensive human resource operation, and ensuring that all DHS
leaders have access to training, tools, and support needed to serve as
de facto diversity champions.
---------------------------------------------------------------------------
\11\ GAO, Department of Homeland Security: Progress Report on
Implementation of Mission and Management Functions, GAO-07-454
(Washington, DC: Aug. 17, 2007).
\12\ DHS officials stated that the DHS Diversity Council is made up
of the second- and third-highest ranking officials from each DHS
component.
---------------------------------------------------------------------------
Recruitment. To achieve its strategic plan objective of a diverse
workforce, in his April 2008 testimony, DHS's Acting CHCO stated that
recruitment strategies have been implemented at the Department and
component levels to improve diversity of the DHS talent pool. DHS
officials told us that the Department partners with several minority-
serving institutions and participates in several intern, scholarship,
and fellowship programs; officials provided a recruitment brochure.
These officials also indicated that in October 2007, the DHS began a
Veterans' Outreach Program as a means of recruiting a diverse
workforce. This outreach strategy consists of: (1) A Web site for one-
stop employment and other information; (2) an advisory forum of
external veterans as stakeholders; and (3) training in veterans'
preference and reemployment rights for EEO and human capital
specialists. DHS has also created an SES-level Director of Recruiting
and Diversity within the Chief Human Capital Office.
Employee Involvement. Employees can make valuable contributions in
driving diversity throughout an organization. Our work on leading
diversity management practices identified several forms these
contributions can take, including mentoring and community outreach with
private employers, public schools, and universities. DHS officials
described actions the Department is taking to provide opportunities for
employees at various levels throughout the Department to receive
mentoring. In addition, DHS officials stated that they have developed
formal partnerships with minority professional service organizations,
including the Urban League's Black Executive Exchange Program, where
DHS provides speakers that participate in outreach programs at
historically black colleges and universities. DHS officials indicated
they are pursuing similar partnerships with the National Association of
Hispanic Federal Executives, the African American Federal Executive
Association, and the Asian American Executive Network.
Succession Planning. Succession planning is a comprehensive,
ongoing strategic process that provides for forecasting an
organization's senior leadership and other needs; identifying and
developing candidates who have the potential to be future leaders; and
selecting individuals from among a diverse pool of qualified candidates
to meet executive resource needs. Succession planning and management
can help an organization become what it needs to be, rather than simply
recreate the existing organization. Leading organizations go beyond a
``replacement'' approach that focuses on identifying particular
individuals as possible successors for specific top-ranking positions
and engage in broad, integrated succession planning and management
efforts that focus on strengthening both current and future capacity.
They anticipate the need for leaders and other key employees with the
necessary competencies to successfully meet the complex challenges of
the 21st century.
For DHS, in addition to the changes that will occur as a result of
the upcoming new administration, several factors including recent
turnover and expected retirements provide opportunities for DHS to
affect the diversity of its workforce and highlight the importance of
succession planning. Recently, we reported that the overall attrition
rates for permanent DHS employees (excluding SES and Presidential
appointees) at 8 percent and 7 percent in 2005 and 2006, respectively,
exceeded the 4 percent average rate for all cabinet-level agencies.\13\
These higher attrition rates, about 14 to 17 percent, were among
transportation security officers in DHS's Transportation Security
Administration. The attrition rate for SES and Presidential appointees
was also higher than the average senior-level attrition rate for all
cabinet-level departments. As for retirements, about 20 percent of
career employees at DHS as of fiscal year 2007 are projected to be
eligible to retire by 2012, and certain key occupations within the
Department are expected to have high retirement eligibility rates, such
as customs and border protection agents--about 51 percent.\14\
---------------------------------------------------------------------------
\13\ GAO, Homeland Security: DHS's Action to Recruit and Retain
Staff and Comply with the Vacancies Reform Act, GAO-07-758 (Washington,
DC: July 16, 2007).
\14\ GAO, Older Workers: Federal Agencies Face Challenges but Have
Opportunities to Hire and Retain Experienced Employees, GAO-08-630T,
(Washington, DC: Apr. 30, 2008).
---------------------------------------------------------------------------
In 2006, OPM reported that approximately 60 percent of the
executive branch's 1.6 million white-collar employees and 90 percent of
about 6,000 Federal executives will be eligible for retirement over the
next 10 years. Considering retirement eligibility and actual retirement
rates of the SES is important because individuals normally do not enter
the SES until well into their careers; thus SES retirement eligibility
is much higher than for the workforce in general. If a significant
number of SES members were to retire, it could result in a loss of
leadership continuity, institutional knowledge, and expertise among the
SES corps, with the degree of loss varying among agencies and
occupations.
Succession planning also is tied to the Federal Government's
opportunity to affect the diversity of the executive corps through new
appointments. Racial, ethnic, and gender diversity in the SES is an
important component for the effective operation of the government. In
September 2003, we reported that agencies in other countries use
succession planning and management to achieve a more diverse workforce,
maintain their leadership capacity, and increase the retention of high-
potential staff.\15\
---------------------------------------------------------------------------
\15\ GAO, Human Capital: Insights for U.S. Agencies from Other
Countries' Succession Planning and Management Initiatives, GAO-03-914
(Washington, DC: Sept. 15, 2003).
---------------------------------------------------------------------------
According to the Acting CHCO's April 3, 2008, testimony and
discussion with senior level human capital officials, the Department is
taking steps to develop a qualified and diverse pool of applicants for
SES positions by preparing its mid-career employees through a variety
of leadership development programs. These programs include the DHS SES
Candidate Development Program (primarily for GS-15s) and the DHS
Fellows Program (for GS-13s, GS-14s, and GS-15s). See appendix II for
representation data for both programs since their inception. According
to DHS officials, the DHS Fellows Program, initiated in 2006, is a
competitive developmental program where participants are placed in
high-visibility rotational assignments, receive training in such areas
as leadership, and form small groups to work on specific projects.
After completion of this 11-month program, participants remain in their
current assignments but, according to DHS officials, are prepared for
advancement when the opportunities arise. Participants in both of the
DHS leadership programs receive mentoring and coaching and rotational
assignments. However, according to DHS officials, employees at other
levels of the organization can also participate in ad hoc mentoring and
rotational assignments. Effective training and development programs can
enhance the Federal Government's ability to prepare its workforce and
thereby achieve results. The efforts that DHS officials described are
consistent with these practices.
Chairman Thompson, Ranking Member King, and Members of the
committee, this concludes my prepared statement. I would be pleased to
respond to any questions that you may have.
Appendix I.--Department of Homeland Security Representation Data by
Component
Tables 10 and 11 below provide demographic data by race and gender
on the Department of Homeland Security's (DHS) career employees by DHS
component for September 2003 and September 2007.\16\ In 2003 and 2007,
the U.S. Customs and Border Protection (USCBP) and the U.S. Immigration
Customs Enforcement (USICE) had the highest percentage of Hispanic men,
while the Transportation Security Administration (TSA) had the highest
percentage of African American men.
---------------------------------------------------------------------------
\16\ We did not analyze whether diversity differences between DHS
components corresponded to differences in occupational make-up,
educational job requirements, geographic location of jobs, or other
relevant factors.
TABLE 10.--PERCENTAGE REPRESENTATION AT DHS BY COMPONENT FOR CAREER EMPLOYEES AS OF SEPTEMBER 2003
--------------------------------------------------------------------------------------------------------------------------------------------------------
September 2003
-----------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
Component ------------------ Alaska Native Islander ------------------------------------ other
------------------------------------ -----------------
M W M W M W M W M W M W
--------------------------------------------------------------------------------------------------------------------------------------------------------
DNDO........................................ 7.8 17.3 0.6 0.0 2.8 1.7 0.6 1.7 48.0 19.0 0.6 0.0
FEMA........................................ 5.1 11.6 0.4 0.3 1.1 0.7 1.4 1.4 52.2 25.9 0.0 0.0
FLETC....................................... 4.1 4.7 1.2 0.3 0.7 0.7 1.0 1.2 57.0 29.2 0.0 0.0
HQ \1\...................................... 4.4 16.6 0.0 0.3 1.7 1.4 2.8 1.1 42.3 29.6 0.0 0.0
IG.......................................... 8.2 15.5 1.0 0.0 3.1 1.8 5.9 4.9 41.2 18.3 0.0 0.0
TSA......................................... 11.1 7.8 0.6 0.3 2.5 1.0 8.0 3.1 47.5 18.2 0.1 0.0
USCBP....................................... 4.5 6.3 0.5 0.2 3.3 1.8 14.9 6.3 43.0 19.2 0.2 0.0
USCG........................................ 6.3 10.1 0.4 0.2 2.5 1.6 2.6 1.7 50.2 24.0 0.2 0.1
USCIS....................................... \2\ \2\ \2\ \2\ \2\ \2\ \2\ \2\ \2\ \2\ \2\ \2\
USICE....................................... 4.3 5.8 0.4 0.2 2.8 1.8 24.1 6.7 39.1 14.6 0.1 0.0
USSS........................................ 9.0 9.0 0.6 0.2 1.5 0.9 4.0 2.2 56.7 16.0 0.0 0.0
Other/unspecified........................... 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0
-----------------------------------------------------------------------------------------------------------
DHS-wide.................................... 6.8 7.1 0.5 0.2 2.7 1.5 14.2 4.8 44.4 17.7 0.1 0.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: GAO analysis of the Office of Personnel Management's Central Personnel Data File.
Notes: M=Men and W=Women. DNDO is the Domestic Nuclear Detection Office; FEMA is the Federal Emergency Management Agency; FLETC is the Federal Law
Enforcement Training Center; HQ is DHS Headquarters; IG is the Inspector General's Office; TSA is the Transportation Security Administration; USCBP is
the U.S. Customs and Border Protection; USCG is the U.S. Coast Guard; USCIS is the U.S. Citizenship and Immigration Services; USICE is the U.S.
Immigration Customs Enforcement, and USSS is the U.S. Secret Service. Other/unspecified includes those who could not be placed in one of the above DHS
components.
\1\ DHS HQ includes several program offices, such as the National Protection and Programs Directorate (NPPD), and staff offices, such as the Office of
the Chief Financial Officer, under the Directorate for Management.
\2\ USCIS did not report data to the Office of Personnel Management's (OPM) Central Personnel Data File (CPDF) for 2003.
TABLE 11.--PERCENTAGE REPRESENTATION AT DHS BY COMPONENT FOR CAREER EMPLOYEES AS OF SEPTEMBER 2007
--------------------------------------------------------------------------------------------------------------------------------------------------------
September 2007
-----------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
Component ------------------ Alaska Native Islander ------------------------------------ other
------------------------------------ -----------------
M W M W M W M W M W M W
--------------------------------------------------------------------------------------------------------------------------------------------------------
DNDO........................................ 4.1 9.4 0.2 0.4 2.4 0.9 2.4 1.2 50.8 28.3 0.0 0.0
FEMA........................................ 7.3 14.1 0.4 0.4 1.5 0.9 1.4 1.2 49.3 23.6 0.0 0.0
FLETC....................................... 3.9 5.1 1.4 0.5 0.6 0.5 2.7 1.9 57.9 25.7 0.0 0.0
HQ \1\...................................... 6.6 14.8 0.2 0.2 1.7 1.7 1.2 1.0 46.8 25.8 0.0 0.0
IG.......................................... 5.8 12.8 0.6 0.2 2.5 2.7 8.3 5.4 41.2 19.6 0.3 0.4
TSA......................................... 11.3 10.5 0.7 0.5 3.5 1.5 8.6 4.6 39.8 18.9 0.0 0.0
USCBP....................................... 3.1 3.3 0.4 0.1 3.1 1.2 27.6 5.4 42.8 12.9 0.1 0.0
USCG........................................ 6.2 9.3 0.4 0.2 2.3 1.8 2.8 1.4 53.4 21.9 0.2 0.1
USCIS....................................... 4.3 13.1 0.2 0.4 4.0 5.3 5.0 9.2 26.3 32.0 0.0 0.0
USICE....................................... 5.5 5.8 0.5 0.2 2.8 1.3 16.1 5.8 46.3 15.5 0.1 0.0
USSS........................................ 9.3 8.4 0.4 0.1 2.0 1.2 4.0 2.1 57.7 14.6 0.2 0.1
Other/unspecified........................... 1.8 5.3 0.0 0.0 3.5 7.0 1.8 0.0 61.4 19.3 0.0 0.0
-----------------------------------------------------------------------------------------------------------
DHS-wide.................................... 7.1 7.8 0.5 0.3 3.1 1.6 14.6 4.9 42.5 17.6 0.1 0.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: GAO analysis of OPM's CPDF.
Notes: M=Men and W=Women. DNDO is the Domestic Nuclear Detection Office; FEMA is the Federal Emergency Management Agency; FLETC is the Federal Law
Enforcement Training Center; HQ is DHS Headquarters; IG is the Inspector General's Office; TSA is the Transportation Security Administration; USCBP is
the U.S. Customs and Border Protection; USCG is the U.S. Coast Guard; USCIS is the U.S. Citizenship and Immigration Services; USICE is the U.S.
Immigration Customs Enforcement, and USSS is the U.S. Secret Service. Other/unspecified includes those who could not be placed in one of the above DHS
components.
\1\ DHS HQ includes several program offices, such as the National Protection and Programs Directorate (NPPD), and staff offices, such as the Office of
the Chief Financial Officer, under the Directorate for Management.
Appendix II.--Representation Data for DHS Leadership Development
Programs
DHS officials stated that they have two formal leadership
development programs to prepare future DHS leaders: the DHS Fellows
Program for GS-13, GS-14, and GS-15 staff (an 11-month program) and the
DHS Senior Executive Service (SES) Candidate Development Program,
generally for GS-15s (an 18-month program). Tables 12 and 13 below
provide a breakdown of the representation of women and minorities in
each of these programs.
TABLE 12.--REPRESENTATION IN DHS FELLOWS PROGRAM FOR GS-13, GS-14, AND GS-15 STAFF
--------------------------------------------------------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
------------------ Alaska Native Islander ------------------------------------ other
DHS Fellows Program ------------------------------------ ------------------ Total
M F M F M F M F M F M F
--------------------------------------------------------------------------------------------------------------------------------------------------------
2007 class......................... 1 1 0 1 0 0 4 0 15 8 0 0 30
2008 class......................... 2 2 0 0 2 1 0 1 29 11 2 0 50
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: DHS.
Note: M=Men and W=Women.
TABLE 13.--REPRESENTATION IN DHS SES CANDIDATE DEVELOPMENT PROGRAM
--------------------------------------------------------------------------------------------------------------------------------------------------------
African American American Indian/ Asian/Pacific Hispanic White Unspecified/
DHS SES Candidate Development ------------------ Alaska Native Islander ------------------------------------ other
Program ------------------------------------ ------------------ Total
M F M F M F M F M F M F
--------------------------------------------------------------------------------------------------------------------------------------------------------
2007 to 2008 class................. 1 0 0 0 1 1 0 0 9 2 0 0 14
2008 to 2009 class................. 2 3 0 0 1 0 3 0 10 4 0 0 23
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: DHS.
Note: M=Men and W=Women.
Chairman Thompson. Thank you for your testimony.
I now recognize Ms. Stewart to summarize her statement for
5 minutes.
STATEMENT OF STACEY D. STEWART, SENIOR VICE PRESIDENT AND CHIEF
DIVERSITY OFFICER, FANNIE MAE CORPORATION
Ms. Stewart. Thank you, Chairman Thompson, Ranking Member
King and the entire committee, for this opportunity to state
the business case for diversity and inclusion from my
perspective as Fannie Mae's chief diversity officer.
For Fannie Mae, like many other companies, the moral case
for diversity is simple: It is the right thing to do. The
business case is also fairly straightforward: To serve the
market, we have to be able to see the market and, in a sense,
to be the market.
Having a workforce as diverse as the Nation and the
marketplace gives us a better intuitive understanding of what
people want and need and how to communicate effectively with
diverse constituencies. Having a better understanding of the
market and how to communicate gives us a competitive edge over
companies that do not emphasize diversity.
Take Fannie Mae's market, for example, the home buyers we
serve through mortgage lenders. People of color are the
fastest-growing segment of the U.S. population and, therefore,
potential home buyers. At the same time, there is a nearly 20
percent gap between the national homeownership rate and the
homeownership rate in communities of color--67.8 percent versus
50.3 percent.
Take those two factors--a fast-growing market and an
underserved segment--and what we see is a distinct opportunity
to grow by serving these markets. Fannie Mae wants to help our
lender customers get to the growing but underserved segments
first. We want to remain as we are today, America's No. 1
source of capital for families and communities of color to buy
homes.
So we have a business need to maintain our leadership in
diversity. Right now, people of color represent about 49
percent of our total workforce and just over 25 percent of
officers and directors. These numbers compare well with most of
corporate America, and the financial services and in insurance
sectors in particular, where just about 15 percent of officers
and directors there are people of color.
We are happy to be recognized for our diversity in places
such as Hispanic Magazine's Corporate 100,
DiversityBusiness.com's America's Top 50 Corporations for
Multicultural Business Opportunities, and in Black Enterprise
Magazine's 40 Best Companies for Diversity.
To us, making the numbers and best-of lists, while nice,
are not enough. Right now, we are aiming to take it up a notch
to the next level of diversity and inclusion. That means
creating a company culture and environment where employees of
all backgrounds, affiliations, ideologies and circumstances
feel connected, engaged and motivated to do their best.
We also want to connect our internal diversity to the
external challenges of serving a diverse market in concrete
ways. For example, we just joined with Freddie Mac to translate
mortgage documents into Spanish. Fannie Mae employees, diverse
employees, participate in foreclosure-preservation workshops to
assist consumers at greatest risk of facing foreclosure, often
borrowers in communities of color.
We also want to translate our diversity into real bottom-
line business results that serve diverse communities all over
America, and that means helping our lender customers reach and
serve multicultural markets and send us their loans.
Of course, as a company with a $3 trillion book of business
that raises tens of billions of dollars in capital every year
and that has a $2 billion operating budget, when we have a
diverse base of suppliers, we can have a big impact on
diversity in the economy.
To close, Mr. Chairman, diversity and inclusion, much like
any of our other business operations, is one of those areas
where you need to make continuous progress or else fall behind.
Fannie Mae is constantly striving to do better. Our commitment
to diversity and inclusion remains strong, and we have seen
firsthand how a diverse workforce gives us a competitive edge
and a better place to work since the inception of our program
in 1992.
Thank you very much.
[The statement of Ms. Stewart follows:]
Prepared Statement of Stacey D. Stewart
May 21, 2008
Thank you, Chairman Thompson, for this opportunity to state the
business case for diversity from my perspective as Fannie Mae's chief
diversity officer.
For Fannie Mae, like many other companies, the moral case for
diversity is simple--it's the right thing to do. The business case is
also fairly straightforward. To serve the market, you have to be able
to see the market--and, in a sense, to be the market. Having a
workforce as diverse as the Nation and the marketplace gives you a
better intuitive understanding of what people want and need, and how to
communicate effectively with diverse constituencies. That better
understanding of the market and how to communicate gives you a
competitive edge over companies that don't emphasize diversity.
Take Fannie Mae's market for example--the homebuyers we serve
through mortgage lenders. People of color are the fastest growing
segment of the U.S. population and therefore, potential homebuyers. At
the same time, there is nearly a 20 percent gap between the national
homeownership rate and homeownership rates in communities of color--
67.8 percent versus 50.3 percent. Take those two factors--fast-growing
market and an underserved segment--and what we see is a distinct
opportunity to grow by serving these markets. Fannie Mae wants to help
our lender customers get to the growing but underserved segments first.
We want to remain--as we are today--America's No. 1 source of capital
for families and communities of color to buy or rent homes.
So we have a business need to maintain our leadership in diversity.
Right now, people of color represent about 49 percent of our total
workforce and just over 21 percent of officers and directors. These
numbers compare well with most of corporate America and the financial
services and insurance sector in particular, where just around 15
percent of officers and directors are people of color. We're happy to
be recognized for our diversity in places such as Hispanic magazine's
``Corporate 100'' . . . DiversityBusiness.com's ``America's Top 50
Corporations for Multicultural Business Opportunities'' . . . and in
Black Enterprise magazine's ``40 Best Companies for Diversity.''
But to us, ``making the numbers'' and best-of lists--while nice--
are not enough. Right now, we're aiming to take it up a notch to the
next level of diversity and inclusion. That means creating a company
culture and environment where employees of all backgrounds,
affiliations, ideologies, and circumstances feel connected, engaged,
and motivated to do their best.
We also want to connect our internal diversity to the external
challenges of serving a diverse market in concrete ways--for example,
we joined with Freddie Mac to translate mortgage documents into
Spanish. Fannie Mae employees participate in foreclosure prevention
workshops to assist consumers at greatest risk of facing foreclosure,
often in communities of color. We also want to translate our diversity
into real bottom-line business results that serve diverse communities
all over America--and that means helping our lender customers reach and
serve multicultural markets, and send us their loans. Of course, as a
company with a $3 trillion book of business, that raises tens of
billions of dollars a year in capital, and has a $2 billion operating
budget, when we have a diverse base of suppliers, we can have a big
impact on diversity in the economy.
To close, Mr. Chairman, diversity and inclusion, much like any of
our business operations, is one of those areas where you need to make
continuous progress or else fall behind, and Fannie Mae is constantly
striving to do better. Our commitment to diversity and inclusion
remains strong and we've seen first-hand how a diverse workforce gives
you a competitive edge and a better place to work since the inception
of our program in 1992.
Thank you.
Chairman Thompson. I thank all of the witnesses for their
testimony.
I will remind each member that he or she will have 5
minutes to question the panel.
I will now recognize myself for questions.
Ms. Duke, looking at the departments that make up DHS, in
general, which one would you characterize as the one that best
represents diversity? Which one would you characterize that
represents the opposite?
Ms. Duke. I think there are so many categories when we talk
about diversity. There are African Americans, women, people
with diversity, veterans. So I think it depends on what
category under ``diversity'' we are talking about.
Chairman Thompson. I will make it simple.
Ms. Duke. Okay.
Chairman Thompson. If I take every group you just talked
about, which agency would represent that?
Ms. Duke. I know that TSA is the best represented in
African Americans, and CBP is the best represented with
Hispanics. But I do not know, in the aggregate overall, if one
is better represented to the other.
What I do know is that we have to act as a Department, and
it is not okay for one component to be well-represented. What
we need to do is have a balance of diversity throughout the
Department.
Chairman Thompson. Okay. Well, how do you work at getting
the balance?
Ms. Duke. I think in several ways.
One way is to make sure we have DHS-wide recruiting, so
that when we have a job in a specific component it is just not
open to that component, that we can do better about advertising
our jobs Department-wide.
I think a second way is to make sure that we have career
opportunities for existing employees. For instance, we have
better diversity at the lower grades. We have a good
representation in TSA among the TSOs, the people you see at the
airports, but they are capped out at what is equivalent to
about the GS-7, GS-9 level. So we have to have opportunities
for them, like we just did in having them be recruited by the
Border Patrol, where they have better opportunities.
So it is that kind of mixing within the Department to
ensure that we have a balance but also career paths.
Chairman Thompson. I understand.
I guess I want to hear the agency that is the worst.
Ms. Duke. Pardon me?
Chairman Thompson. I want to hear the agency that does not
represent the minority groups you have referenced.
Ms. Duke. I would have to analyze the data and get back to
you for the record on that.
Chairman Thompson. Well, okay. I will not say ``good
answer,'' but I understand. You know there are some that do not
represent America very well.
Ms. Duke. There are some components that are not doing as
well, as demonstrated by their employee diversity.
Chairman Thompson. So do you have the authority, when you
see a component not representing America well, to correct it?
Ms. Duke. I think we have the opportunity to make sure that
a diverse pool gets to the applicants.
Chairman Thompson. Yes, I understand. From an authority,
from a direct line, if you see an agency that is not performing
relative to your expectations as to diversity, do you have the
authority to go in and fix it?
Ms. Duke. I do not have the authority to select their
employees. We do have, in all our SESes, diversity as a
performance element. So we would have an opportunity through
performance evaluations to reflect that they are not achieving
that objective. But in terms of taking the authority and hiring
a diverse population, no.
Chairman Thompson. You talked about outreach and
recruitment fairs and things like this. Can you provide this
committee with how many actual hires that have occurred with
those recruitment fairs?
Ms. Duke. There is a system problem with doing that. That
is that right now the regulations require applicants to apply
via USAJOBS's online site regardless if we recruit them at a
fair. We cannot right now meet an applicant at a site and hire
them, the way industry can and the way other groups can.
So we have a notional in some areas, but we cannot one-for-
one say who we met at a job fair and, of those, who applied for
a job was selected, because of that requirement to apply
through USAJOBS to an existing announcement.
Chairman Thompson. So how do you measure success?
Ms. Duke. We measure success by looking at the statistics
overall of how we are doing in terms of results. Are we getting
more hires of minority and women candidates?
Chairman Thompson. How dated is that information?
Ms. Duke. We have information--really, we can pull it by
pay periods, so it can be real-time. We are trying to pull it
real-time. We are also trying to do an annual look in March of
each year.
Chairman Thompson. I just don't know how you measure
success of your outreach if you can't say how these people came
into the system at the end of the day.
We will probably have a second round. I will yield to the
ranking member.
Mr. King. Thank you, Mr. Chairman.
I want to thank all of the witnesses for their testimony.
Ms. Duke, I am sorry I came in near the end of your
testimony. I do want to commend you for the tough jobs you have
undertaken over the past several years in the Department.
Ms. Duke, I know you said that you are looking at it
Department-wide and not by specific agencies or components
within the Department. But if we could just go back to looking
to specific agencies, do you look into the fact of whether or
not, whether it is African Americans, Hispanics or women, there
may be an historic reluctance on their part to join a
particular component? Is the Department doing anything to
encourage recruitment in those areas?
For instance, there are certain parts of the country where
African Americans, for historic reasons, may not want to join a
police department. A police department makes extra efforts to
reach out.
Are there any components within DHS which, for historic
reasons, any of these three groups I mentioned have not felt
welcome or whatever it is, feel a reluctance? Are you actively
recruiting within those communities?
Ms. Duke. One of the specific job areas that fits that, Mr.
King, is law enforcement in general, and do we have the right
diversity in law enforcement, which covers many of our
components but is a discrete population. So we have formed a
law enforcement council to look at how can we get a better
representation of diversity in the law enforcement areas, which
in Federal civil service are the 1800 series. That would affect
Secret Service, ICE and CBP principally. But we do think that
we need to look at getting a good representative population in
law enforcement.
Mr. King. Now, would you actively recruit among minority
populations for those agencies?
Ms. Duke. Yes. We are trying to do that through a couple of
ways. We are trying to go to historically black colleges and
universities; working through some of the groups that tend to
advocate or to represent minority populations, such as the
Urban League. The third way is advertising for job openings in
periodicals and papers that would be in the vicinity of
geographic areas that have a higher population to pull from.
Mr. King. Thank you.
Mr. Stalcup, to the extent that DHS is not measuring up to
the standard that might be optimal, do you see any particular
actions by DHS to prevent that, or is it just not taking
action?
What I am getting at is, have you detected any policy
within the Department to keep minority representation down? Or
would your criticism of such, as it is, be that they are not
doing enough to encourage minorities?
Did I make that clear? Is there any discrimination against
minorities?--is what I am saying.
Mr. Stalcup. Well, we have not done work to even approach
having that kind of conclusion.
What we have learned through what DHS officials have told
us, as we prepared this statement over the last couple weeks,
are the initiatives that they have under way. We have made note
that those initiatives are consistent with many things that we
have recommended in the past.
Several years ago, we did a broad report on diversity
management in general that listed nine categories of practices
that experts recommend are key to achieving workforce
diversity. A lot of what we have heard from the DHS officials
and repeated today is consistent with our--we cite four
examples in the testimony that I have delivered for the record,
and there are other areas. I mean, clearly demonstrated top
management commitment is one of the most key things. Succession
planning----
Mr. King. Is that there?
Mr. Stalcup. Excuse me?
Mr. King. Is that there?
Mr. Stalcup. Again, we have not done that work to know
whether it is there or not, but it appears to be there based on
the activities they are doing.
The question is going to be follow-through and whether or
not these efforts achieve their stated objectives.
Mr. King. Thank you, Mr. Chairman.
Chairman Thompson. Thank you.
I recognize the gentleman from Washington State, Mr. Dicks,
for 5 minutes.
Mr. Dicks. Ms. Duke, explain to me this USAJOBS. What is
that? Is that a Web site?
Ms. Duke. It is a Web site.
Mr. Dicks. Whose Web site is it?
Ms. Duke. It is a Federal Web site. It is managed by Office
of Personnel Management. It is the single----
Mr. Dicks. So you are saying that you can't hire a single
employee if they do not go through USAJOBS?
Ms. Duke. In general, there has to be a published job
announcement on USAJOBS, and we have to accept applicants
unless, we have a special authority like direct hire.
Mr. Dicks. Do you have direct hire?
Ms. Duke. No, we don't.
Mr. Dicks. In all of these 22 agencies, we don't have any
direct hire?
Ms. Duke. We do for a few targeted workforces. We have it
for our acquisition workforce and for a few areas where we get
specific authority--IT people. But, in general, we do not have
it.
Chairman Thompson. Excuse me.
Can you provide us with who those direct hires are by
department and the diversity within that?
Ms. Duke. Okay. Yes, sir.
Chairman Thompson. Thank you.
Mr. Pascrell. Will the gentleman yield?
Mr. Dicks. Yes, I will.
Mr. Pascrell. What is the source of this Web site being the
only path from which you would hire?
Ms. Duke. I believe it is regulatory and not statutory. I
believe.
Mr. Pascrell. So we did that?
Ms. Duke. No. Regulation, not statutory.
Mr. Dicks. OPM.
Let me take back my time, because I have a very short
amount of time.
So you can't hire anybody unless they go through this Web
site. So how can you have an affirmative-action program or a
diversity program? You just have to hope they do it?
Ms. Duke. We have to, in essence, train them as applicants
and teach them the Federal system. So, when we go out to job
fairs and we have persons that we are interested in, we have to
explain to them the Federal process and encourage them to apply
through USAJOBS, through the Federal system.
Mr. Dicks. Okay.
Now, the chairman was trying to get at the point of the
rankings. Maybe Mr. Stalcup can help us. Who is strong, who is
doing a good job of these 22 agencies? Who is not doing a good
job? Where is there a demonstration, as you put it, of
leadership and commitment? Where isn't there a leader of that
same kind of commitment?
Mr. Stalcup. Well, Congressman Dicks, I apologize, but we
have not done that work. So I can't answer that question with
specificity. The numbers----
Mr. Dicks. Do you think we should ask you to do that, to
look into the 22 agencies so we can get a comparison to see how
they are doing?
Mr. Stalcup. That would be a job that could be done.
Mr. Dicks. Well, I would think we should, Mr. Chairman,
take a look at that.
So the Office of Personnel Management, they are the ones
that manage this Web site; is that correct?
Ms. Duke. Yes.
Mr. Dicks. So people apply there for a particular job. Then
what happens? Let's say there are seven or eight people who
apply. What happens then?
Ms. Duke. The resumes are gathered. It is blind to race. At
the time they apply, they can fill out an optional
questionnaire about their demographics, but that is not
provided. It is a separate process. The resumes are rated and
ranked according to criteria. Then the hiring official only
gets a subset of the applicants that are considered the best
qualified. That rating and ranking is normally done by a
personnel specialist.
Mr. Dicks. Is that somebody in the Department or somebody
at OPM?
Ms. Duke. Somebody in the Department, generally.
Mr. Dicks. So the Departments get to make the final
decision?
Ms. Duke. Yes.
Mr. Dicks. Now, is there any way to have an affirmative-
action program at the SES level, or do they have to go through
the same exact process?
Ms. Duke. They go through the same process. We cannot, by
statute, consider diversity--gender, race--as part of a
qualification criteria. So that is why we are so much focusing
on casting the net widely. So the way we are going to get to--
--
Mr. Dicks. In other words, getting more people to apply and
then hoping the numbers will materialize but without having an
affirmative action-type program.
Ms. Duke. Yes, because we cannot consider gender----
Mr. Dicks. Mr. Stalcup, it is pretty hard to have
leadership if--I mean, is there any other way that you see that
there could be leadership here? Or should we change the law and
let the Department go out and get these people?
Mr. Stalcup. GAO has done some work in the area of hiring
flexibility. Direct hire is one aspect of that. I do know that
I have read where certain agencies can have direct hire
authority but they still have hurdles they have to overcome
regulatory-wise or even legislatively.
There are examples also where agencies are provided
flexibilities, and they are not fully utilized.
So, again, we have done work in those areas in the past. I
don't believe we have done that work at DHS.
Mr. Dicks. Okay.
Just one final thing. We understand that sometimes in the
direct hire thing, they don't take into account veterans
preference. Is that correct? Or do you know about that?
Mr. Stalcup. Is that for me?
Mr. Dicks. Either one of you, whoever can answer it.
Mr. Stalcup. As far as I know, that also takes into account
veterans preference.
Mr. Dicks. It should, but we understand there may be a
problem with that. Anyway, we hope you will look at that.
Thank you, Mr. Chairman.
Chairman Thompson. Thank you much.
I guess, for Ms. Duke, from my vantage point, do you know
if anyone in the Department has ever been disciplined for not
hiring minorities?
Ms. Duke. No.
Chairman Thompson. You talked about evaluations, that
people are evaluated. Mr. Stalcup just said that the Department
is woefully underrepresented in minority categories. You talked
to me about--that we evaluate people who hire. So, now, maybe
my term was too strong.
Did people lose their bonus, did they not get promoted or
anything like that because they did not meet some expectation?
Ms. Duke. This is the first year that we have had that in
performance plans, and so our rating cycle ends at the end of
September. So no one has been evaluated based on the diversity
issue.
Chairman Thompson. I am glad you told me that, because, if
I had taken your earlier comment, I would assume that it was
already in place and being done. But now you tell me you just
started.
Ms. Duke. It is in place. It was in place as of October of
last year. So it is in place for this fiscal year. We just have
not rated people yet. It is not the end of the rating cycle.
Chairman Thompson. Right. Before that, what was being used?
Ms. Duke. There was no formal factor in SES performance
appraisals before that consistently throughout the Department,
to my knowledge.
Chairman Thompson. Well, I think the Department is to be
complimented for it now, but--so we really can't evaluate our
success until after October of this year?
Ms. Duke. Yes, sir.
Chairman Thompson. Ms. Stewart, can you share with us how
Fannie Mae looks at diversity across the board when numbers are
not where leadership expect them? What do they do to impact
those numbers?
Ms. Stewart. Well, within our recruiting operation, we have
a specific team dedicated to diversity recruiting. We probably
do not have all of the same regulatory hurdles that exist in
the Federal Government to be able to go out and recruit various
individuals across a diverse set of communities to attract them
to come to Fannie Mae.
But we do reach out across the board to communities based
on race, based on gender, and try to create an environment in
which people feel comfortable in coming to the company and know
that they are being attracted to the company based on their
talent, based on their skills. But also, they understand that
Fannie Mae creates an environment in which we welcome people of
different perspectives, with different backgrounds and
experiences to come to the company.
So we have a specific diversity recruiting team. We do some
of the same things that I have heard earlier this morning
around creating relationships with various organizations that
can source top talent and candidates to the organization.
I think one of the things that we do on a regular basis is
we also track our levels of representation across the board and
try to do more specific outreach when we find that we are
probably not comfortable in the levels of representation that
we would like to see. So that is a very active part of the
company and always has been.
For us, though, we have now 49 percent of our company are
people of color. There are certainly other ways to measure
diversity, but if you just look at those, we have actually
achieved quite a bit in terms of creating a diverse workforce.
That has come over a long period of time. We initiated our
diversity effort in 1992, so we have spent 15 years working on
this, and we have gotten to this point of success.
For us, it is not just about measuring success in terms of
representation and how our company looks relative to race or
gender or ethnicity. Right now, we are really focusing on how
we are measuring the kind of environment that is created once
you have that diversity. Are we creating an environment and
making sure that we have an environment in which everyone feels
that everyone, based on their differences, is valued and
respected? That is a different level of diversity inclusion
that we are finding ourselves in. But it has been a long, hard
road for us to get to this point, and we continue to work at
it.
Chairman Thompson. Thank you.
The gentleman from North Carolina for 5 minutes.
Mr. Etheridge. Thank you, Mr. Chairman.
You mentioned earlier on your recruiting--and certainly, I
would encourage that to continue, because I think if you do the
outreach, you are more likely to have a much better
opportunity.
In my district, for example, we have seven universities and
four community colleges. Of those seven, one is a research
university and two are historically black universities, turning
out some great students. We also have Fort Bragg, which,
obviously, has a lot of opportunities there for our veterans.
There is Pope Air Force Base. So, within that contingency,
there is a lot of talent and there are a lot of opportunities.
Let me ask Ms. Duke a question.
The EEOC requires a periodic review of agency personnel,
programs and policies to determine if there are barriers to
open competitiveness in the workplace. Based on your recent
analysis, what have you discovered that DHS leadership can
improve upon to create more opportunity for advancement within
the Department?
You touched on it a little bit in your answer a few minutes
ago when you said it was part of the performance appraisal
instrument. I guess I am shocked to find out that the
Department has been in business this long and they are finally
putting it in place. I ran a department that had over 1,100
people and 130,000 people State-wide when I was State
superintendent. You normally get what you want.
If the leadership decides what they want, they can get what
they want by putting it in a performance appraisal for each one
of the managers, because that is how you promote. Is that
correct?
Ms. Duke. Yes.
To answer your question, the report that you are talking
about, the analysis, that is actually done by our civil rights
and civil liberties union. But we work in partnership with them
in the Chief Human Capital Office.
As for some of the top barriers they identified in the last
analysis, one was the USAJOBS that I talked about, not only
because of the administrative system, but you have to have
access to the Internet to be able to apply under that system.
So that tends to be a problem when we are dealing with
diversity.
Another area that we looked at----
Mr. Etheridge. Let me interrupt there because it seems to
me, if it is a problem, we ought to find out what the problem
is and fix it. Because if you are only doing it through the
Internet and you do not have access to the Internet, it would
seem to me that, if I really want to be aggressive, I can find
a way to fix that.
Ms. Duke. I agree. I think both fixing the system and also
within the current system----
Mr. Etheridge. Well, I am not so sure it is the system. I
don't mean to keep interrupting, but it is not the system; it
is an attitude.
Mr. Pascrell. It is an attitude.
Ms. Duke. I think it is important that if we are going to
have--when I call it the ``system,'' I am talking about the
regulations. I think, if we have to fix the regulations, I
don't think we should promote a culture where we have the
choice of whether we follow regulations. So, when I say
``system,'' I mean the regulations, but in the meantime, we
have to try to enable the candidates to work through the
existing regulations.
Another area, in all candor--and it is why I started the
Diversity Council with senior leadership--is there was a
perception in the review by our EEO group that--the visibility
of management. Meaning, we had policy statements, we had
actions put in place, but there was more of a desire to have a
day-to-day--what the chairman mentioned about the sustained and
continuous consideration of diversity. That is another big
area. That is something that we can totally control within our
own culture.
Mr. Etheridge. It is kind of a measurement tool as you go
along, which I think is critical.
Very quickly, because I know my time is running out, under
the fellowship program, it is designed to help current
employees develop into SES positions over a span of time.
According to the GAO study, after a candidate completes the
Fellows Program, the fellows remain in their current
assignment, but they are prepared for advancement when the
opportunity arises. This seems like exactly what you really
want to do. It seems to me this is making progress.
Can you tell the committee about the initiative and
particularly how many fellows have gone from positions into SES
positions and how many of them have been of the background of
diversity of women, of various people of color, et cetera?
Ms. Duke. We just had our first class graduate, and I would
have to get you the statistics on if any of them have been
placed in the Senior Executive Service. They are considered
qualified for it, so that is a big competitive advantage for
them.
In terms of the actual makeup of the class, I believe that
was in my written testimony, but 23 percent were African
Americans. So we have a better representation in that class
than we do in the general DHS population.
Mr. Etheridge. Could you supply the committee with numbers?
Percentages tend to be somewhat deceptive sometimes. You do not
really know what you are getting when you get a percentage. If
you would do the numbers, I would appreciate that.
Ms. Duke. We will do that.
Chairman Thompson. Which class was that, Ms. Duke?
Ms. Duke. We had one class that just graduated, and we have
a second class that just started up. I will provide you the
numbers for both of those.
Chairman Thompson. Is this the fellows class?
Ms. Duke. Yes.
Mr. Etheridge. Thank you.
Thank you, Mr. Chairman. I yield back.
Chairman Thompson. Thank you.
I recognize the gentleman from Texas for 5 minutes, Mr.
Cuellar.
Mr. Cuellar. Thank you, Mr. Chairman.
Ms. Duke, part of your testimony says that part of your new
job is to implement a new strategy to increase diversity across
the workforce, with particular attention to leadership and
executive ranks.
About 2 months ago, on the Judiciary Committee, they asked
Secretary Chertoff to have whoever was with him to stand up. I
am sure you are better prepared this time. Can I ask you who is
with you and ask them to please stand up?
Okay. Power of example is important, especially since that
is part of your strategy. When the chairman was asking you the
question of what department has the best diverse workforce, I
thought you were going to say ``mine'' because that is your
job.
How diverse is your department?
Ms. Duke. I would have to get the exact----
Mr. Cuellar. Well, let me ask you: Is your department the
most diverse one? I mean, that is your job, is to diversify.
Ms. Duke. If you look at the numbers across the board, I do
not believe it is the most diverse of the organization.
Mr. Cuellar. It is not?
Ms. Duke. I do not believe so, no.
Mr. Cuellar. So how do you, as a leader--I mean, if your
job is to say, ``I am here to diversify the workforce within
the Department of Homeland Security,'' wouldn't you think that
most people would look at what are you doing?
If you are not the top one, which is your main strategy,
how do you expect other people to follow what you are trying to
tell them if you are not doing the diversification?
Ms. Duke. I do believe, as the Deputy Under Secretary of
Management, that I have to demonstrate that, and I have to
demonstrate it through filling the existing jobs, through
attrition, and produce the results. It is not going to be
instantaneous success, but as I build throughout USM, I agree
with you, I have to demonstrate that.
Mr. Cuellar. Percentage-wise, how many Hispanics and how
many blacks do you have?
Ms. Duke. Like I said earlier, I will provide for the
record by component, including----
Mr. Cuellar. I am sorry. You don't know percentage-wise
what your own department is? Do you have a rough estimate?
Ms. Duke. I have that information. I just am not able to
recite it now.
Mr. Cuellar. Give me a rough estimate.
Ms. Duke. I don't have that, and I don't want to----
Mr. Cuellar. Less than 5 percent blacks?
Ms. Duke. I honestly don't know.
Mr. Cuellar. Hispanics, more than 5 percent or less?
Ms. Duke. I don't believe it is more than 5 percent.
Mr. Cuellar. Blacks are probably not more than 5 percent?
Ms. Duke. I believe that, if I am recalling the statistics
correctly, we have a better representation of black females
than black males. I do believe the black females are over 5
percent. But I will have to check for my specific office.
Mr. Cuellar. Could you provide to the chairman and the
committee what it is?
Ms. Duke. Yes.
Mr. Cuellar. The other thing is--I think Mr. Pascrell
agrees, and I think it was Mr. Norm Dicks also--it is attitude.
You know, in Texas, I used to chair the budget for higher ed in
Texas, where we went through the Hopwood decision where the 5th
Circuit said you cannot use race as a factor in letting kids
into--at that time, we were talking about law school, the UT
law school.
So what we decided to do was we said, if you can't use race
as a factor, then use socioeconomic factors, use other factors.
A year later, we saw that certain law schools, if they really
wanted to diversify, they would diversify. The ones that said,
you know, we are just going to do what we need to do to get
along, did that, and kids were not getting in.
Just like with Fannie Mae, if you want to want to
diversify, you can diversify. I know there are barriers. I know
that there are legal barriers. You know, there are other
barriers that you have to look at. But if you really want to
look at good, qualified--and I am not just saying just hire
blacks or Hispanics just because--but good, qualified
minorities, it can be done.
I was secretary of state, and within a short period of
time, I did what I needed to do and diversified. It is an
agency that was there for over 100 years and pretty much looked
the same for years and years. In 1 year, I did what they
couldn't do in 100 years. So there are ways to do this.
With all due respect, Ms. Duke--and I appreciate what you
are doing; I know it is a very difficult job--but the power of
demonstration is so important. I would ask you to really look,
you know, at what you do within your department, because if
your strategy is to diversify and if you don't do that within
your own house, it is kind of hard to tell the next one, ``Hey,
diversify,'' when you are not doing it yourself.
So I am really looking forward to seeing those numbers, Mr.
Chairman. I assume that can be done probably by next week. I
mean, you can print it out pretty quickly.
Ms. Duke. Yes. Yes. I do agree with you that, within the
existing law, we can have better diversity than what we
currently have.
Mr. Cuellar. Okay. Thank you very much for your time,
ma'am.
Chairman Thompson. Before I recognize the gentleman from
New Jersey, Ms. Duke, you talked about the Diversity Council.
Can you provide us, if you know, the number that that council
is made up of and the composition of the council?
Ms. Duke. Yes. Are you talking about the ethnic
representation within the council?
Chairman Thompson. Yes.
Ms. Duke. Yes.
Chairman Thompson. The number. You don't have it offhand?
Ms. Duke. There are about--I believe it is about 25. But I
can provide you the titles and the people who are on the
council. They are basically my counterparts throughout the--the
ones responsible for management throughout the Department. As
you know, under our functional integration, we have that dotted
line, so it is my dotted-line group. I will provide that to
you.
Chairman Thompson. I guess what I am trying to say is you
put a lot of confidence in this council, but at the end of the
day, what can they do?
Ms. Duke. I think what they can do is show the sustained--
this isn't a problem or an issue or a challenge that is going
to be resolved tomorrow, but we have great opportunity. We are
hiring. We have turnover, as was said, 8 percent turnover. So
it is a problem that we need a sustained look to, you know,
stabilize in the long term. I think that what the council does
is it does a monthly look so that diversity isn't something we
just do because we have a hearing or that we do because it is
annual performance appraisal time, but it is something with a
sustained look and focus. I think that is what is going to
effect change.
Chairman Thompson. How long has it been in existence?
Ms. Duke. It came into existence--we proposed it in
February, and then early March.
Chairman Thompson. Do you keep minutes?
Ms. Duke. Yes.
Chairman Thompson. Can you provide the committee with the
minutes of the council?
Ms. Duke. They are notes more than formal minutes, but I
will provide them.
Chairman Thompson. I guess what I am trying to say is,
whatever they are, if that is what you are using to change the
Department, I would hope that it goes a little bit more than
just notes. Because, otherwise, it is just another council put
together for comfort and not real action.
The gentleman from New Jersey.
Mr. Pascrell. Let's see, where do we begin here?
I have a great deal of respect for, Mr. Chairman, every
member under the loyal opposition. As you well know, I know
many of them and am close to them. The chairman is usually
always here and Mr. Rogers.
But I am concerned--indeed, maybe disturbed--that when we
discuss this particular issue there is nobody here. I hope I'm
not out of order, but that is the way I think and that is the
way I feel.
I have a great deal of respect also for the Under
Secretary. I have told her that publicly and privately.
But you still have no diversity action plan, and I think a
legitimate question would be--I am not asking it of you; just
let it hang out there for a minute--when will you have that
plan?
We are not talking about numbers. We are not talking about
percentages. We are talking about how we approach a problem if
we recognize it.
I don't sense, as with many other things in the Department,
Mr. Chairman, a sense of urgency. I don't see a sense of
diversity. Because, when you look at the numbers supplied by
the GAO, you have minority groups in particular divisions that
are, like, shoe-fitted into specific divisions, be it the TSA,
be it border security, et cetera. We don't have across the
board.
So I know it may be easier to get someone to check my
baggage, but I don't believe that--and I don't believe that we
cannot get and recruit minority people in management positions
and in senior positions. It is absolutely unacceptable.
I would hold that we should not have the Under Secretary
here, because she is doing, I think, a great job. We should
have the Secretary here because he does a lot of talking, he
does a lot of talking about how wonderful all of these things
are shaping up.
Now, we have found out for the first time that a person has
to go through the USAJOBS Web site. That is not your fault,
Madam Under Secretary, but it is a fact of life. When we are
talking about 22 divisions, how in God's name are we going to
get diversity that way?
Second of all, if we had a plan that it would, it hasn't.
It just hasn't. So let's call it the way it is. Let's call it
the way it is.
According to your testimony, the Department of Homeland
Security recognizes diversity as a management and mission
imperative for success. You said that; it is in your testimony.
You also stated that better business decisions are made
when diverse points of view are considered, and teams perform
better when their members represent diverse backgrounds.
Particularly in Homeland Security, in this area where we are
trying to protect borders and neighborhoods, do we need the
folks who live in those neighborhoods represented somehow in
protecting themselves, ourselves.
Mr. Pascrell. Given the recent reports of racially charged
occurrences within the Secret Service, Coast Guard, United
States Coast Guard, Immigration and Customs Enforcement, what
is the Department of Homeland Security doing to ensure that
people from diverse backgrounds are placed into senior service
positions to help bring more diverse viewpoints to these
components? Can you tell us.
Ms. Duke. Well, a couple of the specific actions we have
taken recently and a lot of these are, you are right, on the
spot have been this calendar year, so results are going to come
over time. One of them is we have just added an equal
employment opportunity rep to our senior executive board called
the Executive Resources Board----
Mr. Pascrell. Doesn't that strike you, excuse me for
interrupting, doesn't that strike you that 5 years into the
Department we are now hiring someone that should have been
hired 5 years ago in order to ensure, particularly in this
Department, which is the face of the Nation in protecting our
neighborhoods, our families, that we should now think of this?
Ms. Duke. I think it is important that since we don't have
the results I want that we take different actions, and that is
one of them, yes. We are also looking at both the fellows
program and the candidate development program, and that is to
put people in a position that they can be competitive for
senior executive positions. I think that is very crucial to
that because our statistics demonstrate that at the GS-13 and
below level we have much better diversity. So we have to
somehow give those candidates an opportunity, being position,
through vocational opportunities and training development to be
competitive for the senior development.
Mr. Pascrell. Have you looked at this GAO report?
Ms. Duke. Yes.
Mr. Pascrell. Did any of the conclusions I come to, are
they out of line?
Ms. Duke. No. I think we have to have a more sustained and
systemic focus on diversity.
Mr. Pascrell. Did it occur to you or did you think about
the fact that many of what we would consider minorities have
been moved into one or two particular areas in the whole
department?
Ms. Duke. I think we are looking at the TSA initiative. We
have moved 400 Transportation Security Administration screeners
out of the screener career field into Customs and Border
Patrol. So I do agree. We are taking steps more to do. We are
also looking at, I mentioned earlier about the law enforcement
community, looking at how we can have career paths, cross
component among the law enforcement communities within DHS.
Mr. Pascrell. This is what I hope. I hope when we have this
transition, whoever is the next, whatever is the next
administration, and I say this with ample thought given to what
I am going to say, that they keep you because you are one of
the very few people from Homeland Security through the years
that I have found give direct answers. The rest of them are a
bunch of bull throwers. This is too important an area if we are
really serious about protecting our neighborhoods and our
families, that we can play games with reports. The GAO has led
us into understanding many of these points. I salute the GAO as
usual. I really appreciate the fact that you are coming here
this morning.
This is unacceptable. For us to learn 5 years later that
the only way to get a job is to go through this Internet, I
think we haven't been doing our jobs that we didn't find it out
sooner. I apologize. But I don't think you have been doing,
your department, and the whole department, has been doing what
we say we do. So we pound our chests. We see pictures of
officials with minorities in the background, but we are not
doing what we are supposed to be doing. We are not doing what
we are supposed to be doing. That angers me. It does.
Ms. Duke. I do believe that a diverse workforce will help
us accomplish our mission more effectively. I agree with you on
that, Mr. Pascrell.
Mr. Pascrell. Thank you. Thank you, Mr. Chairman.
Chairman Thompson. Thank you, Ms. Duke. For the record I
want you to know that Congressman Pascrell doesn't give out
positive comments about witnesses. So you are a rare commodity
on that one. Trust me.
Ms. Duke. Thank you, Mr. Thompson.
Chairman Thompson. Ms. Jackson Lee, you are recognized for
5 minutes.
Ms. Jackson Lee. Thank you, Mr. Chairman. I thank you for
this hearing. I do want to echo the distinguished gentleman
from New Jersey's call for Secretary Chertoff in these waning
months to come before us on this singular issue. This is how
important I think it is. I think the policy positions of an
agency clearly starts at the top.
I want to ask Mr. Stalcup if he would rate DHS, I am sorry
if it was in your testimony. Compared to the other Federal
agencies, where does DHS fall with respect to diversity, grade
of 10 or you can use ABCs, F is failing.
Let me just indicate 14, 15 agencies and the number, where
do they relate to the agencies?
Mr. Stalcup. I don't have that information. We have not
looked at diversity in depth, as I say in my statement. We
present the numbers. The numbers are where they are. We talk
about things that we have seen work across government. We have
heard from DHS officials both today and----
Ms. Jackson Lee. Then what grade would you give them?
Mr. Stalcup. It is not GAO's role really to provide grades
like that.
Ms. Jackson Lee. How poorly are they performing? You have
your numbers in front of you. What would be your assessment? I
don't want to add to the assessment their improvements. I will
recognize that. But where are they on the scheme of things? If
you have to look at your numbers, black and white, you look at
them, my understanding is Homeland Security is the second
largest department after DOD. Is that an accurate assessment or
is there a larger one?
Mr. Stalcup. I believe that is correct.
Ms. Jackson Lee. So give me an assessment, just looking at
the numbers.
Mr. Stalcup. Looking at the numbers, we have African
American, we have Asian Pacific. We have Hispanic. We have
American Indian. There are numbers that are a broad range in
some components and within some groups, agencies are doing
better than average and in many they are doing worse than
average. That is what the numbers that we presented in our
testimony----
Ms. Jackson Lee. Do you have them broken down by
management?
Mr. Stalcup. We have them broken down by component.
Ms. Jackson Lee. So what you are looking at, as you
indicated, Border Patrol is high and TSA is high,
Transportation Security Administration.
Mr. Stalcup. Yes.
Ms. Jackson Lee. Border Patrol. Do you have any others that
are high?
Mr. Stalcup. Those are the best examples of those that are
high.
Ms. Jackson Lee. So if you took those out and looked at
your other numbers for the rest of your agency, then where are
we?
Mr. Stalcup. It would look worse than it does now.
Ms. Jackson Lee. Let me indicate that I frankly believe,
Mr. Chairman, it is not your jurisdiction. I frankly believe
that the Federal Government itself is a poor participant in
diversity. We wrote legislation in the Judiciary Committee
called the NO FEAR Act which was in direct response to the
discriminatory treatment of African Americans, women, Hispanics
and others in the Federal Government and the complete--and the
insult, not to say that you don't engage in litigation, but the
insult of where cases were found to have been proven as
discriminatory. The Federal Government took taxpayers' dollars
to appeal the cases over and over again. One particular case
was a U.S. Marshal who the Federal Government appealed for 21
years. But you have given me a good answer.
Ms. Stewart, let me thank you for your testimony and ask
the question, how has Fannie Mae been impacted or how has
Fannie Mae generated decisionmakers who happen to be diverse,
and what is the positive effect of having a decisionmaker,
meaning leadership, Senior Vice President, CEO, through, up
your ranks that are a useful or effective business tool?
Ms. Stewart. Well, we started our efforts in diversity
inclusions 15 years ago, and it really came as a result of a
very strong commitment at the very top of our organization, at
the level of our board of directors as well as our CEO, to
engage in a serious effort to diversify our workforce and to
create an environment within the company that really does
appreciate and value the differences among all of our
employees. So the success that we have been able to achieve,
although we try not to rest on laurels and always recognize
that we need to do more, really comes as a result of our senior
leadership. There is a tone at the top that is set that sets
the stage for successful effort in diversity and inclusion.
So the commitment at our CEO level and our board of
directors level and across top management across the company is
what has enabled us to attract diversity across the board and
to create that culture, that environment that I talked about.
Obviously when you have senior leadership that is diverse,
it sends a message to the rest of the organization that we,
that that is a level of diversity that we ought to encourage
across the organization.
Ms. Jackson Lee. It sets the tone.
Ms. Stewart. It does set the tone, and tone at the top is
really very important to us. I think one of the things that is
really, too, is it goes beyond just the tone because words
don't mean really much unless actions are there to back them
up. So one of the things we have always done is we have had
diversity goals that are part of management's goals across the
organization. Compensation is tied to whether or not we meet
those goals, and so we measure success based on the goals that
we set and then pay accordingly.
I also think that we have always tried to make sure that
diversity isn't something that is off to the side and the rest
of business goes on on a day-to-day basis. What we try to say
is diversity is an integral part of what makes us a successful
company. If we are a company that is going to provide housing
to both on a single family side to multi-family side to all
Americans, we need to have a company that reflects America. We
need to have a company that acts like America should. So one of
the things that we have tried to do is to say that it is
important to count the numbers of who you have got in the
company and do they reflect the country overall.
But this isn't a numbers game for us. It really is a way of
behaving in our company that is reflected outside the company
so that we serve the communities that we are here to serve as
well as we can.
So there is a piece of this for us that is about making
sure that we have got diversity in the workforce, but more
importantly, it is about how is our behavior as a company
reflected inside the company in terms of valuing and respecting
others and also how does that reflect outside with our
customers, our stakeholders and the communities that we are
serving.
Ms. Jackson Lee. We might ask you to consult with our
Federal agencies.
Let me pose this question to Ms. Duke. You have heard that
statement, and I will associate myself with Mr. Pascrell and
other Members here, that you have always worked with us and we
look forward to working with you. Let me ask some pointed
questions to finish up my line of questioning, listening to
these two individual witnesses here. First of all, would you
tell me, this diversity, DHS diversity initiative is an
internal administrative decision? Is that formulated inside the
Department?
Ms. Duke. Yes.
Ms. Jackson Lee. I would offer to say just as an aside it
might be well for the next President to look for a diverse
Secretary of Homeland Security being the agency that is really
considered, really I believe second to defense and No. 1 in
importance in securing this country and protecting America.
But just to put on the record and then ask you two
questions, most recently in May 2008, 10 racially insensitive
e-mails written by 20 Secret Service were exposed in July 2000
and these were Secret Service supervisors that had these
racially insensitive e-mails, which goes to my point of the
intimidation of line employees. In July 2007, a noose was
discovered in the personal belongings of an African American
male cadet aboard the U.S. Coast Guard Cutter Eagle. October
2007, during a Halloween party at an Immigration Customs
headquarters the ICE employee was awarded a prize for his
costume, which consisted of a striped prison suit, dreadlocks
and darkened skin. So we know we have some problems. So my
question to you is the two large agencies are TSA and Border
Patrol, interestingly enough probably Hispanics and African
Americans. The question there is why since you have that pool
of individuals, and we know that we have merged Secret Service,
Air Marshals, this is the biggest conglomeration and we have to
make it work. We all may have a second thought of what we did
but we have to make it work. Where is the initiative to pierce
down into those entities? Bright, comfortable people probably
went there because they felt comfortable maybe they lived in
the Southwest for Border Patrol, maybe, as I know, African
Americans. This was a first line opportunity and, by the way,
Mr. Chairman, recruitment process was horrible. I had to
intervene in Houston. They were sitting at a hotel talking
about trying to recruit TSA people at the airport. I said, do
you come into our neighborhoods? Are you going to leave the
hotel and the airport and come into the city of Houston? But
neither here nor there, and pierce down to give those people
professional development, one.
Two, what are you doing about getting management, assistant
secretaries, and, last, what are you doing about attrition?
Ms. Duke. In terms of attrition, start with your last
question, we are slightly higher than the government average.
We have about a 7 percent attrition rate. It is down from 8
percent, but it is still higher than the government average. We
recently completed our employee survey, as you know, and we
have corrective focus groups talking to the employees more
about that and also corrective action plans in place by each
component that are addressing what were the trends of the
employees surveyed, both this first annual DHS one and the one
we did at OPM last year. So I think the key to retention or the
data we have now is that employee survey and the actions we
take to address the employees' concerns.
I will note, since this hearing is on diversity, that two
of the key indices--the contractor that ran a survey indicated
that on two of the key indices minorities were more satisfied
in key questions than nonminorities. So that is a hopeful
prospect for us.
Chairman Thompson. Satisfied with what?
Ms. Jackson Lee. I'm sorry. What did you say? What did you
say?
Ms. Duke. There were three questions under talent
management, three questions under performance out of say 8 or
so, where statistics showed that minority employees were more
satisfied. Some of the questions were do you have access to
training and development? So the good thing about that is how
do we take that pocket and make it a systemwide, DHS-wide
culture. So I do, I think that----
Ms. Jackson Lee. I take that answer in the innocence of
which you have given it because I know that your intentions
were good. But just know how it sounds to us that minorities
are happy with the status quo and happy at the bottom of the
ladder. I know that that was not your intent. What we are
trying to do is how do we get minorities, you obviously a
woman, and we appreciate that and appreciate your service, but
how do we get minorities and women at the top level. I have
already said that we need to posture the next Secretary for
Homeland Security to be a diverse person, without a doubt, but
well qualified as we would expect, a diverse person. But you
know my point and I hear your answer, but I really want to
focus on how do we jump these and why wouldn't you go down to
TSA with--I have always been arguing about professional
development, there are people probably that have been there
since 2001, 2002. They may be FSPs or FDSs, they may be workers
that might be willing to be plucked out of somewhere in this
country and say why don't you come to Washington and they might
even be put on a different track. But you have a pool of
minorities from which you can pull from.
Ms. Duke. We do think that rotational assignments are a key
to increasing diversity, and have that in our strategy to
increase rotational assignments, especially among the national
security professionals, which is a broad piece of our
workforce. Both our candidate development and our fellows
program also have rotational assignments. So we think both that
training, the rotations and the education are going to help,
but that is, like I stated earlier, because we know we have
better diversity at the GS-13 and below, we have to do exactly
what you are saying and find ways to make our existing
employees, our 200,000, competitive for the Senior Executive
Service.
Ms. Jackson Lee. I thank the Chairman for his indulgence,
and I just want to put this on the table. It is unfortunate
that the U.S. Secret Service has had such a long history of
issues of discrimination. I would appreciate a report on this
case that could be given back to the committee. It may be a
report. I am not sure if it is in litigation, but I would
appreciate a standard report that does not interfere with the
litigation as to the situation and the other issue that I would
like to have an assessment--this hearing is talking about
personnel but you did diversity as it relates to contractors,
and I would just simply want to see some internal policies that
deal with the massive numbers of majority contractors and what
you are doing for oversight to ensure--I will just call the
name like a Boeing that seems to be growing in its
opportunities, just cite that as a company--what enforcement
internally is there to have Boeing present its diverse
subcontractor situation or numbers as well as what are we doing
to ensure that there are Boeings that are minorities, African
American, women, Asian, Hispanic, et cetera. There must be some
Boeings that can be getting prime contracts. I yield back.
Chairman Thompson. Yes, ma'am. I thank the gentleman from
New Jersey.
Before we close out the hearing, Ms. Duke, can you provide
the committee with a copy of this document that you said went
into effect last year where you would evaluate employees based
on their diversity efforts?
Ms. Duke. Yes. We can provide you that language. It is part
of the performance evaluation form, so there are certain
factors that are mandatory, and we can provide that to you,
yes.
Chairman Thompson. You reference those direct hires. I want
to make sure you understand that we need that information from
all of the departments as well as the Department's diversity
plan. If it exists, please provide it. The Diversity Council,
the composition of the Council, the authority and the minutes,
whatever they have done since it has become part of this effort
to broaden the employment of the Department.
Let me thank all of the witnesses for their valuable
testimony and the members for their questions. The members of
the committee may have additional questions for the witnesses
and we will ask that you respond expeditiously in writing to
these questions.
Hearing no further business, the committee stands
adjourned.
[Whereupon, at 11:30 a.m., the committee was adjourned.]
A P P E N D I X
----------
Questions From Chairman Bennie G. Thompson of Mississippi for Elaine C.
Duke, Under Secretary for Management, Department of Homeland Security
Question 1. In June 2007, the Department released the DHS Diversity
Initiative, a partnership between the Chief Human Capital Officer, the
Officer for Civil Rights and Civil Liberties. Does the partnership
between the Chief Human Capital Officer and the Officer for Civil
Rights and Civil Liberties still exist? Will the Officer for Civil
Rights and Civil Liberties have input in the Department's Diversity
Action Plan and/or sit on the Diversity Council?
Answer. Yes. The Department of Homeland Security (DHS) continues to
strengthen the partnership between the Office of the Chief Human
Capital Officer (CHCO) and the Officer for Civil Rights and Civil
Liberties (CRCL) through initiatives such as the Diversity Planning and
Policy Sub Council. The Deputy Officer for CRCL in charge of Equal
Employment Opportunity (EEO) serves along with the Director, Recruiting
and Diversity CHCO as the co-chair of the Diversity Planning and Policy
Sub Council. This Sub Council develops recommendations for the DHS
Diversity Council. The Sub Council recently drafted a fiscal year 2008
Diversity Action Plan, which was reviewed and approved by the Diversity
Council. Further, the Deputy Officer, CRCL (EEO) is a standing member
of the DHS Human Capital Council chaired by the CHCO. Likewise, the
Director, Recruiting and Diversity is a standing member of the DHS EEO
Council, chaired by the Deputy Officer, CRCL (EEO).
Additionally, the Deputy Officer for CRCL in charge of EEO will
serve in the future as an ex officio member of the Executive Resources
Council, chaired by the Deputy Secretary, in charge of approving the
highest level SES selections.
Question 2. The June 2007 DHS Diversity Initiative found that many
minority groups are overrepresented in particular DHS components, while
underrepresented in others. Have you identified these components,
identified the reasons why some minorities are overrepresented or
underrepresented, and developed a strategy to create a balance of
minority representation throughout the Department's components?
Answer. The Office of the Chief Human Capital Officer (CHCO) has
conducted a review as to the representation of various diverse groups
in our components vis-a-vis the DHS-wide data. CHCO is using this data
to continue to implement our diversity approach; i.e. recruitment,
development, retention, and succession planning within the merit system
principles and applicable laws, rules and regulations. Please see the
attached Diversity Action Plan.
Question 3. The Department released a Diversity Initiative in 2007.
At that time, the former Chief Human Capital Officer, Ms. Brito Perez,
stated that the Department was participating in the following
activities:
Meeting with DHS Component Heads to reinforce diversity
objectives;
Spearheading corporate participation in job fairs;
Completing a year-long review of DHS employment policies and
practices;
Expanding scholarship and internship opportunities for
Minority Serving Institutions;
Planning a Department-wide annual Diversity Day event;
Initiating a formal mentoring program;
Establishing an Executive Leadership Development Program;
Ensuring Accountability;
Continuing expansion of outreach and employment of
individuals with disabilities, including veterans.
Is the Department still participating in these activities? Has this
2007 Diversity Initiative been abandoned?
Answer. DHS has continued the activities as stated by Marta Perez
in 2007 and has expanded upon them in fiscal year 2008. This is
demonstrated in our fiscal year 2008 Diversity Action Plan, which has
been approved by the DHS Diversity Council and is attached for your
reference.
DHS DIVERSITY ACTION PLAN--FISCAL YEAR 2008
Approved: DHS Diversity Council (5/29/2008)
----------------------------------------------------------------------------------------------------------------
ACTION OFFICIALS/
ACTION FUNCTION PLANNED DUE DATE CURRENT STATUS REMARKS
----------------------------------------------------------------------------------------------------------------
1. Deploy framework for wide Recruitment 7/31/2008.........
distribution of DHS vacancy Council.
announcements, including non-
traditional outlets.
2. Implement formal mentoring/ OCHCO, CLO........ 9/30/2008.........
coaching policy and program.
Deploy a means for mentors and
potential mentees to connect.
3. Convene external Diversity Diversity Council/ 8/31/2008.........
Advisory Forum. EEO Council.
4. Develop a Diversity Outreach OCHCO/Diversity 7/31/2008.........
Media Strategy. Sub Council.
5. Hold a DHS Educational Forum Recruitment 9/30/2008.........
for DHS employees to learn Council.
about the mission, occupations,
and job requirements in other
components.
6. Define clear criteria for the Diversity Council/ 7/31/2008.........
Secretary's Award for OCHCO.
Diversity. issue in advance of
nominations.
7. Secretary Diversity message Diversity Council/ 8/31/2008.........
and support issued via video CRCL/OCHCO/OPA.
and other means.
8. Designate the DHS EEO Officer AS2............... 6/30/2008.........
as an ex officio member of the
Employee Resources Council
(ERC).
9. Issue guidance and best Diversity Council/ 6/30/2008.........
practices to components to USM.
integrate diverse participation/
input into the SES hiring
process.
----------------------------------------------------------------------------------------------------------------
Question 4. DHS has one of the largest law enforcement populations
within the Federal Government. However, components such as U.S. Secret
Service, Immigrations and Customs Enforcement, and Customs and Border
Patrol do not have Senior Executive Service professionals that reflect
the diversity of this Nation. What is DHS doing within these particular
components to attract more women and racial minorities to Senior
Executive Service positions within these components?
Answer. The Office of the Chief Human Capital Officer (CHCO) has
established a Department-wide Law Enforcement Council, composed of
high-level law enforcement officials from all components. The Council
has begun to coordinate corporate efforts in training and recruitment
of law enforcement personnel and is considering the possible use of a
firm which specializes in law enforcement recruitment.
In addition, the Department has a variety of programs to develop a
qualified and diverse pool of applicants for SES positions by preparing
its mid-career employees. These programs include the DHS Senior
Executive Service (SES) Candidate Development Program (primarily GS-
15s) and the DHS Fellowship Program (GS-13s, GS-14s, and GS-15s).
Attached are the past and present classes for these two programs, which
include the participants' race/national origin data. Also, the U.S.
Secret Service and Customs and Border Patrol have launched their own
SES Candidate Development Programs and are currently accepting
applications.
We have also engaged Federal-based minority executive associations
to distribute our SES vacancy announcements among their membership,
including the African American Federal Executive Association, National
Association of Hispanic Federal Executives, and the Asian Pacific
Executive Network.
Question 5. In 2006, DHS implemented the DHS Fellows Program for GS
13s, 14s, and 15s. This program is a competitive developmental program
where participants are placed in high-visibility rotational assignments
and receive training in leadership areas which prepare them for Senior
Executive Service. The 2007 class had 30 fellows, 15 of which were
white men. There were 2 African Americans, one male and one female, and
zero Asian Pacific Islanders. For the 2008 class the number of African
Americans increased by 100 percent to 4 and the number of White men
increased nearly the same to 29. Please explain how this program will
increase diversity at DHS, especially when, out of a class of 50
employees, the 2008 class of DHS Fellows only contains 4 African
Americans, 3 Asian Pacific Islanders, and 1 Hispanic American?
Answer. The DHS Diversity Framework is multi-faceted, including
areas such as recruitment, retention, succession planning, and
development. The DHS Fellows Program is one of several efforts which
are part of the diversity framework. Taken together, these programs
provide DHS with excellent opportunities and vehicles to enhance
diversity. In addition to the Fellows Program, these efforts include
the Senior Executive Service Candidate Development Program (CDP),
rotational assignments, and various coaching/mentoring programs. These
programs are in their earliest stages; for example, both the Fellows
and the CDP programs are in their second cohort. The increase in
African Americans in the DHS Fellows program to 8 percent of the class
of 50 shows promise. The DHS Fellows Program projects providing two
cohorts per year for the next 4 years. DHS plans for all of these
efforts to be ongoing and continuous, and believes they will contribute
to the diversity of DHS's workforce.
Question 6. Succession planning is necessary to ensure that there
is a competent, skilled workforce to make up for the number of retiring
Federal employees. According to GAO, succession planning is also tied
to the Federal Government's opportunity to affect the diversity of the
executive corps. Given that 26 percent of your career executives are
eligible for retirement in 2008, 34 percent in 2008, and 41 percent in
2010, how does DHS use succession planning to obtain racial, ethnic,
and gender diversity?
Answer. In addition to recruitment, development, and retention,
succession planning is a key facet of our Diversity Framework. The
Office of the Chief Human Capital Officer (CHCO) has undertaken several
initiatives to ensure key senior positions are filled timely and to
enhance the diversity of our Senior Executive Service (SES) cadre.
Specifically, we have:
Selected our second SES Candidate Development Program class
to commence in July 2008. This class has 23 participants, which
are 22 percent African American, 13 percent Hispanic, and 30
percent women. This is a significant increase from the first
class of 12 participants which were 25 percent women and 8
percent minority.
Begun exploring the feasibility of engaging an executive
search firm with proven experience in attracting minorities and
women to executive positions.
Reviewed our SES recruitment and hiring processes to
identify best practices which we can adopt to ensure attention
to diversity is included in the processes while still adhering
to Government-wide merit principles.
Engaged Federal-based minority executive associations to
distribute our SES vacancy announcements among their
membership, including the African American Federal Executive
Association, National Association of Hispanic Federal
Executives, and the Asian Pacific Executive Network.
Questions From Chairman Bennie G. Thompson of Mississippi for George H.
Stalcup, Director of Strategic Issues, Government Accountability Office
Question 1. Your testimony mentions 4 areas where DHS has reported
taking steps that are consistent with leading diversity management
practices. In what other areas should DHS place its focus to recruit
and manage a diverse workforce?
Answer. As we testified in 1999,\1\ perhaps the single most
important element of successful management improvement initiatives is
the demonstrated commitment of of top leaders to change. As we reported
in January 2005,\2\ top management commitment is a fundamental element
in the implementation of diversity management efforts. According to the
literature, leaders and managers within organizations are primarily
responsible for the success of diversity management because they must
provide the visibility and commit the time and necessary resources. A
leader committed to diversity management communicates the
organization's support for diversity in newsletters, policy statements,
speeches, meetings, and Web sites. Communication of this commitment
from senior management throughout the organization sends a clear
message to others in the organization about the seriousness and
business relevance of diversity management.
---------------------------------------------------------------------------
\1\ GAO, Management Reform: Elements of Successful Improvements
Initiatives, T-GGD-00-26 (Washington, DC: Oct. 15, 1999).
\2\ GAO, Diversity Management: Expert-Identified Leading Practices
and Agency Examples, GAO-05-90 (Washington, DC: Jan. 14, 2005).
---------------------------------------------------------------------------
Question 2. Are you aware of reports that DHS has submitted to EEOC
or OPM on their diversity management efforts? How do OPM and EEOC use
these reports?
Answer. Neither EEOC nor OPM requires Federal agencies to report on
their diversity management efforts. As we reported in January 2005
(GAO-05-90), diversity management is a process intended to create and
maintain a positive work environment where the similarities and
differences of individuals are valued, so that all can reach their
potential and maximize their contributions to an organization's
strategic goals and objectives. We cited the nine leading diversity
management practices from our January 2005 report in our May 21
testimony (GAO-08-815T). Experts and the literature generally agree
that some combination of these indetified practices should be
considered when an organization is developing and implementing
diversity management.
EEOC and OPM require agencies to annually analyze the diversity of
their workforces and report on those analyses as well as on plans or
actions to address any known problem areas. We describe the required
analyses in our May 21 testimony. We have done no work on how OPM and
EEOC use the reports on agencies' annual workforce analyses.
Question 3. In your testimony, you also looked closely at DHS-wide
data by pay plan/grade in September 2003 and 2007. Which pay plan/grade
represents the largest number of racial minorities and women?
Answer. The pay plan/grade with the largest number of racial
minorities in 2003 was ``Grade 9 to 12,'' which had 14,995 racial
minorities (including Hispanics). ``Grade 9 to 12'' had the second-
largest number of all employees with 35,919. ``Other/unspecified'' had
the second-largest number of racial minorities (including Hispanics) in
2003 with 12,230 and had the largest number of employees in a pay plan/
grade with 35,929.\3\ Those in the ``Other/unspecified'' category are
primarily located in TSA.
---------------------------------------------------------------------------
\3\ Other/unspecified includes those who could not be placed in one
of the identified pay plans or grades.
---------------------------------------------------------------------------
The pay plan/grade with the largest number of women in 2003 was
``Other/unspecified,''which had 10,743 women. ``Grade 9 to 12'' had the
second-largest number of women in 2003 with 10,118.
The pay plan/grade with the largest number of racial minorities in
2007 was ``Other/unspecified,'' which had 23,963 racial minorities
(including Hispanics). ``Other/unspecified'' are located primarily in
TSA and had the largest number of all employees with 58,374. ``Grade 9
to 12'' had the second-largest number of racial minorities (including
Hispanics) in 2007 with 20,053 and had the second-largest number of
employees in a pay plan/grade with 45,931.
The pay plan/grade with the largest number of women in 2007 was
``Other/unspecified,''which had 20,811 women. ``Grade 9 to 12'' had the
second-largest number of women in 2007 with 12,564.
Question 4. Your testimony references the percentage representation
at DHS by component for Career Employees. Please tell the committee
which component has the highest percentage of a particular racial
minority group. Please tell the committee which components have the
lowest percentage of minorities.
Answer. Table 10 in our May 21 testimony (GAO-08-815T) shows that
in 2003 the Domestic Nuclear Detection Office with 179 staff had the
highest percentage of a particular racial minority group (African
Americans at 25.1 percent). The Federal Law Enforcement Training Center
(FLETC) with 737 staff in 2003 had the lowest percentage of racial
minorities (including Hispanics) with 13.8 percent.
Table 11 in our May 21 testimony shows that in 2007 TSA with 57,468
staff had the highest percentage of a particular racial minority group
(African Americans at 21.8 percent.) FLETC with 1,009 staff in 2007 had
the lowest percentage of racial minorities (including Hispanics) with
16.5 percent.