[Federal Register Volume 81, Number 195 (Friday, October 7, 2016)]
[Presidential Documents]
[Pages 69993-69997]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-24582]


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  Federal Register / Vol. 81 , No. 195 / Friday, October 7, 2016 / 
Presidential Documents  

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                Memorandum of October 5, 2016

                
Promoting Diversity and Inclusion in the National 
                Security Workforce

                Memorandum for the Heads of Executive Departments and 
                Agencies

                Our greatest asset in protecting the homeland and 
                advancing our interests abroad is the talent and 
                diversity of our national security workforce. Under my 
                Administration, we have made important progress toward 
                harnessing the extraordinary range of backgrounds, 
                cultures, perspectives, skills, and experiences of the 
                U.S. population toward keeping our country safe and 
                strong. As the United States becomes more diverse and 
                the challenges we face more complex, we must continue 
                to invest in policies to recruit, retain, and develop 
                the best and brightest from all segments of our 
                population. Research has shown that diverse groups are 
                more effective at problem solving than homogeneous 
                groups, and policies that promote diversity and 
                inclusion will enhance our ability to draw from the 
                broadest possible pool of talent, solve our toughest 
                challenges, maximize employee engagement and 
                innovation, and lead by example by setting a high 
                standard for providing access to opportunity to all 
                segments of our society.

                The purpose of this memorandum is to provide guidance 
                to the national security workforce in order to 
                strengthen the talent and diversity of their respective 
                organizations. That workforce, which comprises more 
                than 3 million people, includes the following 
                departments, agencies, offices, and other entities 
                (agencies) that are primarily engaged in diplomacy, 
                development, defense, intelligence, law enforcement, 
                and homeland security: 1) Department of State: Civil 
                Service and Foreign Service; 2) United States Agency 
                for International Development (USAID): Civil Service 
                and Foreign Service; 3) Department of Defense (DOD): 
                commissioned officers, enlisted personnel, and civilian 
                personnel; 4) the 17 members of the Intelligence 
                Community; 5) Department of the Treasury: Office of 
                International Affairs and Office of Critical 
                Infrastructure Protection; 6) Department of Justice: 
                National Security Division and Federal Bureau of 
                Investigation; and 7) Department of Homeland Security.

                The data collected by these agencies do not capture the 
                full range of diversity in the national security 
                workforce, but where data allow for broad comparison, 
                they indicate that agencies in this workforce are less 
                diverse on average than the rest of the Federal 
                Government. For example, as of 2015, only the 
                Department of State and USAID Civil Services were more 
                diverse in terms of gender, race, and ethnicity than 
                the Federal workforce as a whole. When comparing the 
                agencies' workforces to their leadership personnel 
                (Senior Executive Service (SES) or its equivalent), all 
                agencies' leadership staffs were less diverse than 
                their respective workforces in terms of gender, and all 
                but DOD enlisted personnel and USAID Civil Service had 
                less diverse leadership in terms of race and ethnicity. 
                While these data do not necessarily indicate the 
                existence of barriers to equal employment opportunity, 
                we can do more to promote diversity in the national 
                security workforce, consistent with merit system 
                principles and applicable law.

                When I issued Executive Order 13583 of August 18, 2011 
                (Establishing a Coordinated Government-wide Initiative 
                to Promote Diversity and Inclusion in the Federal 
                Workforce), I directed all departments and agencies to 
                develop and implement a more comprehensive, integrated, 
                and strategic focus on diversity and inclusion. This 
                memorandum supports that effort by providing

[[Page 69994]]

                guidance that 1) emphasizes a data-driven approach in 
                order to increase transparency and accountability at 
                all levels; 2) takes into account leading practices, 
                research, and experience from the private and public 
                sectors; and 3) complements ongoing actions that 
                agencies are taking pursuant to Executive Order 13583 
                and under the leadership of the Diversity and Inclusion 
                in Government Council, including but not limited to 
                efforts related to gender, race, ethnicity, disability 
                status, veterans, sexual orientation and gender 
                identity, and other demographic categories. This 
                memorandum also supports Executive Order 13714 of 
                December 15, 2015 (Strengthening the Senior Executive 
                Service), by directing agencies to take additional 
                steps to expand the pipeline of diverse talent into 
                senior positions.

                This memorandum also aligns with congressional efforts 
                to promote the diversity of the national security 
                workforce, which have been reflected in legislation 
                such as the:

                     Foreign Service Act of 1980, which urged 
                the Department of State to develop policies to 
                encourage the ``entry into and advancement in the 
                Foreign Service by persons from all segments of 
                American society'';
                     Intelligence Reform and Terrorism 
                Prevention Act of 2004, which called on the 
                Intelligence Community to prescribe personnel policies 
                and programs that ensure its personnel ``are 
                sufficiently diverse for purposes of the collection and 
                analysis of intelligence through the recruitment and 
                training of women, minorities, and individuals with 
                diverse ethnic, cultural, and linguistic backgrounds''; 
                and
                     National Defense Authorization Act for 
                Fiscal Year 2013, which mandated that the U.S. military 
                develop and implement a plan to accurately measure the 
                efforts of the military to ``achieve a dynamic, 
                sustainable level of members of the armed forces 
                (including reserve components) that, among both 
                commissioned officers and senior enlisted personnel of 
                each armed force, will reflect the diverse population 
                of the United States eligible to serve in the armed 
                forces, including gender specific, racial, and ethnic 
                populations.''

                Promoting diversity and inclusion within the national 
                security workforce must be a joint effort and requires 
                engagement by senior leadership, managers, and the 
                entire workforce, as well as effective collaboration 
                among those responsible for human resources, equal 
                employment opportunity, and diversity and inclusion 
                issues. In implementing the guidance in this 
                memorandum, agencies shall ensure their diversity and 
                inclusion practices are fully integrated into broader 
                succession planning efforts and supported by sufficient 
                resource allocations and effective programs that invest 
                in personnel development and engagement. Where 
                appropriate, they shall also support, coordinate, and 
                encourage research and other efforts by the Federal 
                Government to expand the knowledge base of best 
                practices for broadening participation and 
                understanding the impact of diversity and inclusion on 
                national security, including in the fields of science 
                and technology.

                Therefore, by the authority vested in me as President 
                by the Constitution and the laws of the United States 
                of America, I hereby direct the following:

                Section 1. Collection, Analysis, and Dissemination of 
                Workforce Data. Although collected data do not 
                necessarily indicate the existence of barriers to equal 
                employment opportunity, the collection and analysis of 
                metrics allows agencies to assess their workforce 
                talent gaps, as well as the effectiveness of their 
                diversity and inclusion efforts and the adequacy of 
                their resources to address these gaps. The 
                dissemination of data to the public and to agency 
                personnel may increase the transparency and 
                accountability of their efforts. Accordingly, agencies 
                in the national security workforce shall:

                    (a) Make aggregate demographic data and other 
                information available to the public and broader 
                workforce. Agencies shall make available to the general 
                public information on the state of diversity and 
                inclusion in their workforces. That information, which 
                shall be updated at least once a year, shall include 
                aggregate demographic data by workforce or service and 
                grade

[[Page 69995]]

                or rank; attrition and promotion demographic data; 
                validated inclusion metrics such as the New Inclusion 
                Quotient (New IQ) index score; demographic comparisons 
                to the relevant civilian labor force; and unclassified 
                reports and barrier analyses related to diversity and 
                inclusion. Agencies may publish data in proportions or 
                percentages to account for classification concerns, and 
                the Intelligence Community may publish a community-wide 
                report with the data outlined in this section. In 
                addition, agencies shall provide to their workforces, 
                including senior leadership at the Secretary or 
                Director level, a report that includes demographic data 
                and information on the status of diversity and 
                inclusion efforts no later than 90 days after the date 
                of this memorandum and on an annual basis thereafter 
                (or in line with existing annual reporting requirements 
                related to these issues, if any).
                    (b) Expand the collection and analysis of voluntary 
                applicant flow data. Applicant flow data tracks the 
                selection rate variances for job positions among 
                different demographic categories and can assist 
                agencies in examining the fairness and inclusiveness of 
                their recruitment efforts. Agencies shall develop a 
                system to collect and analyze applicant flow data for 
                as many positions as practicable in order to identify 
                future areas for improvement in attracting diverse 
                talent, with particular attention to senior and 
                management positions. The collection of data may be 
                implemented in a phased approach commensurate with 
                agency resources. Agencies shall include such analysis, 
                including the percentage and level of positions for 
                which data are collected, and any resulting policy 
                changes or recommendations in the report required by 
                section 1(a) of this memorandum.
                    (c) Identify additional categories for voluntary 
                data collection of current employees. The Federal 
                Government provides minimum reporting categories for 
                agencies collecting race and ethnicity information in 
                the Office of Management and Budget's (OMB) Statistical 
                Policy Directive ``Standards for Maintaining, 
                Collecting, and Presenting Federal Data on Race and 
                Ethnicity.'' That standard also encourages agencies to 
                collect more detailed data, which can be compared by 
                aggregating such data into minimum categories when 
                necessary. Further, agencies may also collect 
                additional demographic data, such as information 
                regarding sexual orientation or gender identity. No 
                later than 90 days after the date of this memorandum, 
                agencies shall determine whether they recommend the 
                voluntary collection of more detailed demographic data 
                on additional categories. This process shall involve 
                close consultation with internal stakeholders, such as 
                employee resource or affinity groups; clear 
                communication with the workforce to explain the purpose 
                of, legal protections related to, and anticipated use 
                of such data; and adherence to relevant standards and 
                guidance issued by the Federal Government. Any 
                determinations shall be submitted to OMB, the Office of 
                Personnel Management (OPM), the Equal Employment 
                Opportunity Commission, and the Department of Labor for 
                consideration.

                Sec. 2. Provision of Professional Development 
                Opportunities and Tools Consistent with Merit System 
                Principles. An inclusive work environment enhances 
                agencies' ability to retain and sustain a strong 
                workforce by allowing all employees to perform at their 
                full potential and maximize their talent. Professional 
                development opportunities and tools are key to 
                fostering that potential, and each agency should make 
                it a priority to ensure that all employees have access 
                to them consistent with merit system principles. 
                Agencies in the national security workforce shall 
                therefore:

                    (a) Conduct stay and exit interviews or surveys. 
                Agencies shall conduct periodic interviews with a 
                representative cross-section of personnel to understand 
                their reasons for staying with their organization, as 
                well as to receive feedback on workplace policies, 
                professional development opportunities, and other 
                issues affecting their decision to remain. They shall 
                also provide an opportunity for exit interviews or 
                surveys of all departing personnel to understand better 
                their reasons for leaving. Agencies shall include 
                analysis from the interviews and surveys--including if 
                and how the results of the interviews differ by gender, 
                race and national origin, sexual orientation,

[[Page 69996]]

                gender identity, disability status, and other 
                demographic variables--and any resulting policy changes 
                or recommendations in the report required by section 
                1(a) of this memorandum.
                    (b) Expand provision of professional development 
                and career advancement opportunities. Agencies shall 
                prioritize resources to expand professional development 
                opportunities that support mission needs, such as 
                academic programs, private-public exchanges, and detail 
                assignments to relevant positions in private or 
                international organizations; State, local, and tribal 
                governments; or other branches of the Federal 
                Government. In addition, agencies in the national 
                security workforce shall offer, or sponsor employees to 
                participate in, an SES Candidate Development Program 
                (CDP) or other programs that train employees to gain 
                the skills required for senior-level agency 
                appointments. In determining which employees are 
                granted professional development or career advancement 
                opportunities, agencies shall ensure their SES CDP 
                comports with the provisions of 5 C.F.R. part 412, 
                subpart C, including merit staffing and assessment 
                requirements. Agencies shall also consider the number 
                of expected senior-level vacancies as a factor in 
                determining the number of candidates to select for such 
                programs. Agencies shall track the demographics of 
                program participants as well as the rate of placement 
                into senior-level positions for participants in such 
                programs, evaluate such data on an annual basis to look 
                for ways to improve outreach and recruitment for these 
                programs consistent with merit system principles, and 
                include such data in the report required by section 
                1(a) of this memorandum.
                    (c) Institute a review process for security and 
                counterintelligence determinations that result in 
                assignment restrictions. For agencies in the national 
                security workforce that place assignment restrictions 
                on personnel or otherwise prohibit certain geographic 
                assignments due to a security determination, these 
                agencies shall ensure a review process exists 
                consistent with the Adjudicative Guidelines for 
                Determining Eligibility for Access to Classified 
                Information, as well as applicable counterintelligence 
                considerations. Agencies shall ensure that affected 
                personnel are informed of the right to seek review and 
                the process for doing so.

                Sec. 3. Strengthening of Leadership Engagement and 
                Accountability. Senior leadership and supervisors play 
                an important role in fostering diversity and inclusion 
                in the workforce they lead and in setting an example 
                for cultivating talent consistent with merit system 
                principles. Toward that end, agencies in the national 
                security workforce shall:

                    (a) Reward and recognize efforts to promote 
                diversity and inclusion. Agencies are strongly 
                encouraged to consider implementing performance and 
                advancement requirements that reward and recognize 
                senior leaders' and supervisors' efforts in fostering 
                an inclusive environment and cultivating talent 
                consistent with merit system principles, such as 
                through participation in mentoring programs or 
                sponsorship initiatives, recruitment events, and other 
                opportunities. They are also encouraged to create 
                opportunities for senior leadership and supervisors to 
                participate in outreach events and to discuss issues 
                related to diversity and inclusion with the workforce 
                on a regular basis, including with employee resource 
                groups.
                    (b) Collect and disseminate voluntary demographic 
                data of external advisory committees and boards. For 
                agencies in the national security workforce that have 
                external advisory committees or boards to which their 
                senior leadership appoints members, they are strongly 
                encouraged to collect voluntary demographic data from 
                the members of committee and boards, and to include 
                such data in the information and report required by 
                section 1(a) of this memorandum.
                    (c) Expand training on unconscious bias, inclusion, 
                and flexible work policies. Agencies shall expand their 
                provision of training on implicit or unconscious bias, 
                inclusion, and flexible work policies and make implicit 
                or unconscious bias training mandatory for senior 
                leadership and management positions, as well as for 
                those responsible for outreach, recruitment, hiring, 
                career development, promotion, and security clearance 
                adjudication.

[[Page 69997]]

                The provision of training may be implemented in a 
                phased approach commensurate with agency resources. 
                Agencies shall also make available training for 
                bureaus, directorates, or divisions whose inclusion 
                scores, such as those measured by the New IQ index, 
                consistently rank below the agency-wide average 3 or 
                more years in a row. Agencies should give special 
                attention to ensuring the continuous incorporation of 
                research-based best practices, including those to 
                address the intersectionality between certain 
                demographics and job positions.

                Sec. 4. Reporting on Progress. No later than 120 days 
                after the date of this memorandum, and on an annual 
                basis thereafter, the Assistant to the President for 
                National Security Affairs, in consultation with the 
                Directors of OMB and OPM, shall report to the President 
                on the progress of the national security workforce in 
                implementing the requirements of this memorandum, based 
                on information provided by relevant departments and 
                agencies.

                Sec. 5. General Provisions. (a) Nothing in this 
                memorandum shall be construed to impair or otherwise 
                affect:

(i) the authority granted by law to an executive department, agency, or the 
head thereof, or the status of that department or agency within the Federal 
Government; or

(ii) the functions of the Director of OMB relating to budgetary, 
administrative, or legislative proposals.

                    (b) This memorandum shall be implemented consistent 
                with applicable law, and subject to the availability of 
                appropriations.
                    (c) This memorandum is not intended to, and does 
                not, create any right or benefit, substantive or 
                procedural, enforceable at law or in equity by any 
                party against the United States, its departments, 
                agencies, or entities, its officers, employees, or 
                agents, or any other person.
                    (d) The Director of OPM is hereby authorized and 
                directed to publish this memorandum in the Federal 
                Register.
                
                
                    (Presidential Sig.)

                THE WHITE HOUSE,

                    Washington, October 5, 2016

[FR Doc. 2016-24582
Filed 10-6-16; 11:15 am]
Billing code 6325-01-P