Information Technology: DHS's Human Capital Plan Is Largely
Consistent with Relevant Guidance, but Improvements and
Implementation Steps Are Still Needed (10-SEP-07, GAO-07-425).
In performing its missions, the Department of Homeland Security
(DHS) relies extensively on information technology (IT).
Recognizing this, DHS's fiscal year 2006 appropriations act
required its Chief Information Officer (CIO) to submit a report
to congressional appropriations committees that includes, among
other things, an IT human capital plan, and the act directs GAO
to review the report. GAO's review addressed (1) whether the IT
human capital plan is consistent with federal guidance and
associated best practices and (2) the status of the plan's
implementation. In performing its review, GAO compared DHS's plan
and supporting documentation with 27 practices in the Human
Capital Assessment and Accountability Framework of the Office of
Personnel Management, and examined plan implementation activities
at three DHS component agencies.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-07-425
ACCNO: A75947
TITLE: Information Technology: DHS's Human Capital Plan Is
Largely Consistent with Relevant Guidance, but Improvements and
Implementation Steps Are Still Needed
DATE: 09/10/2007
SUBJECT: Best practices methodology
Homeland security
Human capital
Human capital management
Human capital policies
Information technology
Interagency relations
IT human capital
IT personnel
Staff utilization
Strategic planning
Program implementation
GAO High Risk Series
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GAO-07-425
* [1]Results in Brief
* [2]Background
* [3]Overview of DHS Organizational Structure and Responsibility
* [4]IT Is Critical to Achieving DHS's Mission
* [5]Prior GAO Reviews Have Highlighted DHS IT Human Capital Chal
* [6]GAO and OPM Have Developed Tools to Help Federal Agencies St
* [7]DHS IT Human Capital Plan and Related Documentation Largely
* [8]DHS Has Made Limited Progress in Implementing Its IT Human C
* [9]Conclusions
* [10]Recommendations for Executive Action
* [11]Agency Comments and Our Evaluation
* [12]Appendix I: Objectives, Scope, and Methodology
* [13]Appendix II: Details on IT Human Capital Plan's Satisfaction
* [14]Appendix III: Comments from the U.S. Department of Homeland
* [15]Appendix IV: GAO Contact and Staff Acknowledgments
* [16]GAO Contact
* [17]Staff Acknowledgments
* [18]Order by Mail or Phone
Report to Congressional Committees
United States Government Accountability Office
GAO
September 2007
INFORMATION TECHNOLOGY
DHS's Human Capital Plan Is Largely Consistent with Relevant Guidance, but
Improvements and Implementation Steps Are Still Needed
GAO-07-425
Contents
Letter 1
Results in Brief 3
Background 4
DHS IT Human Capital Plan and Related Documentation Largely Satisfy
Relevant Guidance, but Several Key Practices Have Not Been Fully Addressed
13
DHS Has Made Limited Progress in Implementing Its IT Human Capital Plan 19
Conclusions 23
Recommendations for Executive Action 23
Agency Comments and Our Evaluation 24
Appendix I Objectives, Scope, and Methodology 26
Appendix II Details on IT Human Capital Plan's Satisfaction of Practices
in OPM's Framework 29
Appendix III Comments from the U.S. Department of Homeland Security 39
Appendix IV GAO Contact and Staff Acknowledgments 41
Tables
Table 1: DHS's Principal Organizations and Their Respective Missions 5
Table 2: IT Funding for Fiscal Year 2007 8
Table 3: Summary of Extent to which DHS's IT Human Capital Plan Satisfies
27 Key Practices in OPM's Framework 17
Figure
Figure 1: DHS Organizational Structure (Simplified and Partial) 7
Abbreviations
ACE Automated Commercial Environment
CHCO Chief Human Capital Officer
CIO Chief Information Officer
DHS Department of Homeland Security
IT information technology
OMB Office of Management and Budget
OPM Office of Personnel Management
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United States Government Accountability Office
Washington, DC 20548
September 10, 2007
The Honorable Robert C. Byrd
Chairman
The Honorable Thad Cochran
Ranking Member
Subcommittee on Homeland Security
Committee on Appropriations
United States Senate
The Honorable David E. Price
Chairman
The Honorable Harold Rogers
Ranking Minority Member
Subcommittee on Homeland Security
Committee on Appropriations
House of Representatives
Information technology (IT) is a critical tool in the Department of
Homeland Security's (DHS) quest to transform 22 diverse and distinct
agencies into 1 cohesive, high-performing department. Because of the
importance of this transformation together with the magnitude of the
associated challenges, we have designated it as a high-risk undertaking.^1
Among other things, DHS's ability to modernize its IT systems and
infrastructure to support this transformation depends on its human
capital, which is an area that we have designated as high risk across the
federal government.^2
Given the enormous role that IT plays in the department's transformation
efforts, DHS's fiscal year 2006 appropriations act required its Chief
Information Officer (CIO) to submit a report to congressional
appropriations committees that includes, among other things, an IT human
capital plan, and the act directs us to review the report.^3 The CIO
submitted this report to the committees in June 2006 and the IT human
capital plan on August 30, 2006.^4 As agreed with your offices, our
objectives in this report were to determine (1) whether the department's
IT human capital plan is consistent with federal guidance and associated
best practices and (2) the status of the plan's implementation.
^1GAO, High-Risk Series: An Update, [19]GAO-07-310 (Washington, D.C.:
January 2007).
^2 [20]GAO-07-310 .
To address our objectives, we reviewed the IT human capital plan and
supporting documentation and evaluated them against the Human Capital
Assessment and Accountability Framework issued by the Office of Personnel
Management (OPM).^5 This framework, which we collaborated with OPM and the
Office of Management and Budget (OMB) in developing, is consistent with
the practices in GAO's strategic human capital management model.^6 We
assessed the plan and supporting documentation against 27 practices in the
framework that are essential to a well-defined and executable plan. In
addition, we reviewed plan implementation activities within the department
CIO and Chief Human Capital Officer (CHCO) organizations and within three
DHS agencies: the Coast Guard, Customs and Border Protection, and the
Federal Emergency Management Agency. Collectively, these agencies account
for about 33 percent of the department's IT budget and about 60 percent of
its IT personnel. We performed our work from October 2006 through July
2007, in accordance with generally accepted government auditing standards.
Appendix I contains more details about our objectives, scope, and
methodology.
^3In addition to the human capital plan, the act also required the CIO to
include in the report the department's enterprise architecture and a
description of its IT capital planning and investment control process. The
results of our reviews of these aspects of DHS's report were provided to
the committees in April and May 2007. See GAO, Information Technology: DHS
Needs to Fully Define and Implement Policies and Procedures for
Effectively Managing Investments, [21]GAO-07-424 (Washington, D.C.: Apr.
27, 2007) and Homeland Security: DHS Enterprise Architecture Continues to
Evolve but Improvements Needed, [22]GAO-07-564 (Washington, D.C.: May 9,
2007).
^4DHS, Empowering the IT Workforce, DHS IT Human Capital Strategic Plan
(2005-2010), Draft Final for Discussion Purposes (Washington, D.C.: May
2005).
^5OPM, Human Capital Assessment and Accountability Framework (Washington,
D.C.: October 2002).
^6See, for example, GAO, A Model of Strategic Human Capital Management
(Exposure Draft), [23]GAO-02-373SP (Washington, D.C.: March 2002).
Results in Brief
DHS's IT human capital plan is largely consistent with federal guidance
and associated best practices. Of 27 practices in OPM's human capital
framework, DHS's plan and related documentation fully address 15 practices
and partially address 12. For example, the plan and supporting
documentation provide for developing an inventory of existing staff
skills, identifying future skills needed, and determining whether there
are gaps between the two and how such gaps will be filled. In addition,
they provide for involving key stakeholders--such as the CIO, the CHCO,
and component agency CIOs and human capital directors--in carrying out
workforce planning activities. According to DHS CIO officials, these
practices were addressed because the OPM framework was used as a guide in
developing the plan. Nevertheless, important elements of several key
practices have not been addressed because of other priorities, according
to these officials. In particular, the plan and supporting documents do
not include milestones for when most defined activities are to be
completed, and they do not define detailed roles and responsibilities for
carrying out planned activities. These missing elements are important
because they help to ensure effective implementation of planned
activities.
Overall, DHS's progress in implementing its IT human capital plan has been
limited. Although the plan and supporting documentation do not explicitly
assign detailed roles and responsibilities for executing planned
activities, the DHS CIO and the DHS CHCO have collaborated in executing
some steps in the plan. For example, they have performed a gap analysis
between existing and future skill needs and have begun examining
strategies for reducing the gaps. However, they have yet to take other key
steps. For example, while DHS is collecting information on the number of
increasing, decreasing, and new mission-critical occupations, it is not
identifying and analyzing year-to-year changes and trends to determine
whether recruitment and retention strategies need to be updated to meet
current organizational needs. Moreover, not all component agencies have
begun to implement the plan. In particular, CIO and human capital
officials with the Coast Guard, Customs and Border Protection, and the
Federal Emergency Management Agency told us that although they were aware
of the plan, they were in large part not aware of a requirement to
implement it. Nevertheless, these officials stated that they have been
taking actions consistent with some aspects of the plan as part of their
quarterly reporting to OMB on such issues as progress in filling
mission-critical positions and delivering IT training. Department and
component agency officials attributed the status of the plan's
implementation to competing priorities, such as consolidating data
centers, and ambiguity surrounding plan implementation roles and
responsibilities.
Until DHS has a fully defined IT human capital plan that, among other
things, clearly assigns roles and responsibilities and ensures stakeholder
commitment and accountability for implementation, it runs the continued
risk of not having the people it needs to effectively and efficiently
leverage IT in support of organization transformation. Accordingly, we are
recommending that the Secretary of Homeland Security make development and
implementation of a comprehensive IT human capital plan an imperative, and
ensure that (1) the plan fully satisfies relevant federal guidance and
related best practices, (2) roles and responsibilities for implementing
the plan are clearly defined and understood, (3) resources needed to
effectively and efficiently implement the plan are made available, and (4)
progress in implementing the plan is regularly measured.
In its written comments on a draft of this report, DHS agreed with our
recommendations, adding that the state of its IT human capital efforts
varies widely across the department, and acknowledging that these efforts
have been a lower priority relative to other IT imperatives. Nevertheless,
it stated that it will dedicate the resources needed to ensure that it has
a highly skilled and effective IT workforce. In this regard, it provided
information that it said would update and clarify the status of its more
recent IT human capital efforts. While our report already recognized most
of this information, we have incorporated or otherwise recognized new
information in our report as appropriate.
Background
In March 2003, DHS began operations and set about the daunting task of
merging 22 separate and autonomous federal agencies with homeland
security-related missions under the centralized leadership of a single
department. In doing so, DHS assumed operational control of about 209,000
civilian and military positions from these agencies. As we have previously
reported,^7 the creation and transformation of DHS is critically important
and poses significant management and leadership challenges, and failure to
address these challenges could have serious consequences for our national
security. Consequently, in 2003, we first designated the department's
implementation and transformation as high risk, and we continue to do so
today.^8
7 [24]GAO-07-310 .
IT is a critical tool in DHS's quest to transform itself and carry out the
department's critical missions on a day-to-day basis. For fiscal year 2008
alone, the department is requesting almost $4 billion in IT budgetary
authority.^9 The department's ability to effectively and efficiently
invest these funds and deliver IT systems and infrastructure that perform
as intended depends in large part on the capabilities of its IT human
capital. As we have reported, DHS and the other federal agencies
historically have been challenged in their ability to strategically manage
human capital. For this reason, we first designated strategic human
capital management as a governmentwide high-risk area in 2001, and we
continue to do so today.^10
Overview of DHS Organizational Structure and Responsibility for IT Human Capital
Management
To accomplish its mission, the department is organized into various
agencies and directorates, each of which is responsible for specific
homeland security missions and for coordinating related efforts with other
DHS organizations, as well as external entities. Table 1 shows DHS's
principal organizations and their respective missions.
Table 1: DHS's Principal Organizations and Their Respective Missions
Principal organizations Missions
Citizenship and Administers immigration and naturalization
Immigration Services adjudication functions and establishes
immigration services policies and priorities.
Coast Guard Protects the public, the environment, and U.S.
economic interests in the nation's ports and
waterways, along the coast, on international
waters, and in any maritime region as required to
support national security.
Customs and Border Secures the nation's borders in order to prevent
Protection unauthorized persons and goods from entering the
United States, while facilitating the flow of
legitimate trade and travel.
Federal Emergency Prepares the nation for hazards, manages federal
Management Agency response and recovery efforts following any
national incident, and administers the National
Flood Insurance Program.
Immigration and Customs Investigates, identifies, and addresses
Enforcement vulnerabilities in the nation's border, economic,
transportation, and infrastructure security.
Management Directorate Manages department budgets and appropriations,
expenditure of funds, accounting and finance,
procurement, human resources, IT systems,
facilities and equipment, and the identification
and tracking of performance measurements. This
directorate includes the Offices of the CHCO,
Chief Financial Officer, and the CIO.
National Protection and Supports the department's homeland security
Programs Directorate risk-reduction mission through an integrated
approach that encompasses both physical and
virtual threats and their associated human
elements. This directorate includes the Offices
of Cyber Security and Communications and
Infrastructure Protection.
Science and Technology Conducts research and development for the
Directorate department and provides federal, state, and local
officials with the technology and capabilities to
protect the homeland.
Secret Service Protects the President and other high-level
officials and investigates counterfeiting and
other financial crimes (including financial
institution fraud, identity theft, and computer
fraud) and computer-based attacks on the nation's
financial, banking, and telecommunications
infrastructure.
Transportation Security Protects the nation's transportation systems to
Administration ensure freedom of movement for people and
commerce.
Source: GAO analysis of DHS data.
Note: This table does not show the organizations that fall under each of
the directorates. It also does not show all organizations that report
directly to the DHS Secretary and Deputy Secretary, such as Executive
Secretary, Legislative and Intergovernmental Affairs, Public Affairs,
Chief of Staff, Inspector General, and General Counsel.
^8GAO, High-Risk Series: An Update, [25]GAO-03-119 (Washington, D.C.:
January 2003); High-Risk Series: An Update, [26]GAO-05-207 (Washington,
D.C.: January 2005); and [27]GAO-07-310 .
^9OMB, Fiscal Year 2008 Report on Information Technology Budgets
(Washington, D.C.: Feb. 6, 2007).
^10GAO, High-Risk Series: An Update, [28]GAO-01-263 (Washington, D.C.:
January 2001), and [29]GAO-07-310 .
Within DHS, responsibility for IT human capital management resides with
the Management Directorate--specifically, the Offices of the CIO and the
CHCO--and with component agency CIO and human capital offices. More
specifically, the management directive of the DHS Office of the CIO's
states that the office is responsible for leveraging the best available
technologies and applying proven IT management and human capital practices
to provide shared services, coordinate acquisition strategies, maintain an
enterprise architecture, and advocate and enable business transformation,
among other things. To assist in managing these matters, DHS established
the DHS CIO Council made up of the CIOs from each of DHS's component
organizations. The council identified eight priorities, including IT human
capital, and for each priority, it assigned an executive sponsor that is
responsible for overseeing the department's efforts in that area. The
council also established the IT Human Capital Resource Center (formerly
called the IT Human Capital Center of Excellence) to support the council
and the executive sponsor responsible for IT human capital. In short, the
center is responsible for setting a DHS-wide vision and strategy for IT
human capital and the functions that IT staff perform. The center is
staffed by the component CIO organizations and, among other things, is
responsible for coordinating the implementation of the department's IT
human capital initiatives. Figure 1 shows a simplified and partial DHS
organizational structure, including the CIO IT human capital-related
entities.
Figure 1: DHS Organizational Structure (Simplified and Partial)
According to the DHS overall strategic human capital plan, which covers IT
and non-IT personnel, the Office of the CHCO is responsible for
implementing initiatives to achieve strategic human capital goals in
support of the department's mission.^11 With regard to IT, this includes
planning and managing human capital to meet current and future mission
needs, recruiting a high-quality workforce, developing a strong and
capable workforce, motivating and retaining high performers, and fostering
a culture of continuous learning and improvement. It also includes
applying human capital best practices in carrying out these
responsibilities.
^11DHS, Human Capital Strategic Plan FY 2004-2008 (Washington, D.C.).
Each of the department's component agencies has its own CIO and human
capital director to, among other things, manage the implementation of
their respective IT human capital initiatives. According to DHS, this
includes recruiting staff to close competency and skill gaps, coordinating
and delivering mission-essential training, analyzing workforce data, and
aligning component human capital plans with the department human capital
plans to achieve agency and department missions.
IT Is Critical to Achieving DHS's Mission
To accomplish its mission, DHS relies extensively on IT. For example, in
fiscal year 2007, about $4.16 billion dollars in funding was requested to
support 278 major IT programs. Table 2 shows the fiscal year 2007 IT
funding for key DHS components.
Table 2: IT Funding for Fiscal Year 2007
Dollars in millions
DHS agencies and directorates Funding
Citizenship and Immigration Services $570.3
Coast Guard 196.7
Customs and Border Protection 546.4
Federal Emergency Management Agency 77.1
Immigration and Customs Enforcement 134.0
Management Directorate 1,576.0
Preparedness Directorate^a 213.5
Science and Technology Directorate 34.1
Secret Service 3.8
Transportation Security Administration 356.4
US-VISIT^b 407.4
Other DHS components 45.1
Total $4,160.8
Source: GAO analysis of DHS data.
aOn April 1, 2007, this directorate was replaced by the National
Protection and Programs Directorate.
bOn April 1, 2007, US-VISIT became part of the National Protection and
Programs Directorate.
To manage the use of these funds and carry out these programs, the
department reports that it employs about 2,600 IT personnel. While these
personnel represent about 1 percent of the department's total workforce,
they nonetheless perform critical mission functions. Specifically, IT
personnel develop, manage, and operate mission-critical systems that are
intended to unify the department under a common IT infrastructure and to
facilitate agencies' ability to analyze intelligence to identify threats,
guard U.S. borders and airports, protect critical infrastructure,
coordinate national responses to emergencies, and implement other security
measures. Moreover, IT staff track and oversee the efforts of a sizable
workforce of support contractors.
Prior GAO Reviews Have Highlighted DHS IT Human Capital Challenges and Called
for a More Strategic Approach to Addressing Them
According to DHS, the need to successfully manage its IT human capital is
essential to effectively and efficiently leveraging technology in
achieving the department's mission. This need is compounded by the fact
that the department faces major near-term IT human capital challenges. For
example, DHS estimates that between 2005 and 2010, approximately 35
percent of its IT workforce will be eligible for retirement. Moreover, it
reports that in light of the continued growth in demand of experienced IT
professionals and the high rate of turnover experienced thus far, the
department faces significant risk of critical skill shortages, which could
hamper its mission imperatives.
During the last 3 years, we have reported on the importance of DHS
adopting a strategic approach to addressing its IT human capital
challenges. For example, in August 2004, we reported^12 that DHS had begun
strategic planning for IT human capital at the headquarters level, but it
had not yet systematically gathered baseline data about its existing
workforce. We also reported on CIO staffing concerns and slow progress in
this area. Accordingly, we recommended that the department analyze whether
it had appropriately allocated and deployed IT staff with the relevant
skills to obtain its institutional and program-related goals. In response,
the DHS CIO approved funding for the IT Human Capital Resource Center in
July 2004. Among other things, the center subsequently began work to
complete an IT human capital plan. Consistent with our recommendation, the
center was to ensure that the completed plan provided for an analysis of
IT workforce skill sets. In May 2005, the DHS CIO issued a draft version
of the IT human capital plan.^13 This draft version was sent to the Senate
and House Appropriations Committees on August 30, 2006, as part of the
CIO's report pursuant to requirements in DHS's fiscal year 2006
appropriations act. According to the CIO Council senior executive leading
the effort to develop this plan, it was developed in partnership with the
DHS CHCO's office and intended to direct the department's IT human capital
efforts.
^12GAO, Department of Homeland Security: Formidable Information and
Technology Management Challenge Requires Institutional Approach,
[30]GAO-04-702 (Washington, D.C.: Aug. 27, 2004).
^13DHS, Empowering the IT Workforce (2005-2010).
In March 2006, we testified^14 on a number of IT human capital and other
management challenges at DHS. We noted that DHS had undertaken a
departmentwide human capital initiative, MAX^HR, which was to provide
greater flexibility and accountability in the way employees are paid,
developed, evaluated, afforded due process, and represented by labor
organizations. Part of this initiative involved the development of
departmentwide workforce competencies. We testified that the department
had intended to implement MAX^HR in the summer of 2005 but had encountered
delays. More recently, DHS officials stated that MAX^HR had been canceled
and is to be replaced by another initiative called the Human Capital
Operational Plan. In May 2007, we reported^15 that while DHS continues
work to develop and implement departmentwide human capital initiatives,
its overall progress in managing its IT and non-IT human capital had been
limited.
Since 2002, we have also reported on human capital management weaknesses
associated with key DHS IT programs. For example:
o In September 2005, we reported^16 that the program office for
the Atlas program^17 was not adequately staffed. Accordingly, we
recommended that the Atlas program conduct a staffing needs
assessment to determine the positions and the level of staffing
needed for all Atlas projects, and that it develop a human capital
strategy for meeting its staffing needs. DHS agreed with our
recommendations and has since completed a needs assessment,
developed a human capital strategy, and used it to staff the
program office and projects.
^14GAO, Homeland Security: Progress Continues, but Challenges Remain on
Department's Management of Information Technology, [40]GAO-06-598T
(Washington, D.C.: Mar. 29, 2006).
^15GAO, Homeland Security: Management and Programmatic Challenges Facing
the Department of Homeland Security, [41]GAO-07-833T (Washington, D.C.:
May 10, 2007).
^16GAO, Information Technology: Management Improvements Needed on
Immigration and Customs Enforcement's Infrastructure Modernization
Program, [42]GAO-05-805 (Washington, D.C.: Sept. 7, 2005).
^17Atlas is an Immigration and Customs Enforcement program to modernize IT
infrastructure.
o In February 2006, we reported^18 that the US-VISIT program^19
had developed a human capital strategy, as we had recommended^20 2
years earlier, and had begun implementing it. However, we also
reported that several activities in the plan had not been
implemented, such as assessing the extent of current employees'
competency gaps and developing a listing of competency-based
training courses. To address this shortfall, among other things,
the program recently developed a new human capital plan. We have
not yet reviewed the new plan.
o In May 2006, we reported^21 that the Automated Commercial
Environment (ACE) program^22 had yet to develop and implement a
human capital management strategy, as we had recommended several
years earlier. Instead, program officials told us that they were
following a less formal approach to bolstering ACE's workforce.
Accordingly, we recommended that the department report to its
appropriations committees on its strategy for managing ACE human
capital needs. DHS agreed with our recommendation and has since
been working to develop a strategy.
^18GAO, Homeland Security: Recommendations to Improve Management of Key
Border Security Program Need to Be Implemented, [43]GAO-06-296
(Washington, D.C.: Feb. 14, 2006).
^19US-VISIT (United States-Visitor and Immigrant Status Indicator
Technology) is a DHS program to collect, maintain, and share information,
including biometric identifiers, on foreign nationals entering and exiting
the United States. US-VISIT uses these identifiers (digital fingerscans
and photographs) to screen persons against watch lists and to verify that
a visitor is the person who was issued a visa or other travel document.
Visitors are also to confirm their departure by having their visas or
passports scanned and undergoing fingerscanning at selected air and sea
ports of entry.
^20GAO, Homeland Security: First Phase of Visitor and Immigration Status
Program Operating, but Improvements Needed, [44]GAO-04-586 (Washington,
D.C.: May 11, 2004); and Homeland Security: Risks Facing Key Border and
Transportation Security Program Need to Be Addressed, [45]GAO-03-1083
(Washington, D.C.: Sept. 19, 2003).
^21GAO, Information Technology: Customs Has Made Progress on Automated
Commercial Environment System, but It Faces Long-Standing Management
Challenges and New Risks, [46]GAO-06-580 (Washington, D.C.: May 31, 2006).
^22ACE is a Customs and Border Protection program to modernize trade
processing systems and support border security. Its goals include
enhancing analysis and information sharing with other government agencies;
providing an integrated, fully automated information system for commercial
import and export data; and reducing costs for the government and the
trade community though streamlining.
GAO and OPM Have Developed Tools to Help Federal Agencies
Strategically Manage Human Capital
A strategic approach to human capital management includes viewing
people as assets whose value to an organization can be enhanced by
investing in them. Such an approach enables organizations to
effectively use their people and determine how well they integrate
human capital considerations into daily decision making and
planning for mission results. It also helps organizations remain
aware of and be prepared for current and future needs as an
organization, ensuring that they have the knowledge, skills, and
abilities needed to pursue their missions.
On the basis of our experience with leading organizations, we
issued a model in 2002 for strategic human capital management.^23
The model is built around four cornerstones: (1) leadership; (2)
strategic human capital planning; (3) acquiring, developing, and
retaining talent; and (4) results-oriented organizational
cultures. We also issued a set of key practices in 2003 for
effective strategic human capital management.^24 These practices
are generic, applying to any organization or component, such as an
agency's IT organization.
Since then, OPM, in conjunction with OMB and us, issued a
strategic human capital framework--called the Human Capital
Assessment and Accountability Framework--to provide a consistent,
comprehensive representation of human capital management to guide
federal agencies.^25 Consistent with our 2002 model, OPM's
framework provides six standards, along with associated indicators
(practices) for achieving success. The six standards for success
and related definitions are as follows:
o Strategic alignment. The organization's human capital strategy
is aligned with mission, goals, and organizational objectives and
integrated into its strategic plans, performance plans, and
budgets.
o Workforce planning and deployment. Among other things, the
organization strategically uses staff in order to achieve mission
goals in the most efficient ways.
o Leadership and knowledge management. The organization's leaders
and managers effectively manage people, ensure continuity of
leadership, and sustain a learning environment that drives
continuous improvement in performance.
^23 [47]GAO-02-373SP .
^24GAO, Human Capital: Key Principles for Effective Strategic Workforce
Planning, [48]GAO-04-39 (Washington, D.C.: Dec. 11, 2003).
^25OPM, Human Capital Assessment and Accountability Framework.
o Results-oriented performance culture. The organization has a
diverse, results-oriented, high-performance workforce and a
performance management system that effectively differentiates
between high and low performance and links individual, team, or
unit performance to organizational goals and desired results.
o Talent management. The organization makes progress toward
closing gaps or making up deficiencies in most mission-critical
skills, knowledge, and competencies.
o Accountability. The organization's human capital decisions are
guided by a data-driven, results-oriented planning and
accountability system.
Our recent work has shown that DHS and other federal agencies,
such as the Securities and Exchange Commission, have begun to use
OPM's framework as the basis for preparing strategic IT and other
human capital plans.^26 According to DHS CIO officials, they used
the OPM framework in developing the IT human capital plan that
they included in the August 2006 report to Congress.
DHS IT Human Capital Plan and Related Documentation Largely Satisfy
Relevant Guidance, but Several Key Practices Have Not Been Fully
Addressed
DHS has developed an IT human capital plan that is largely
consistent with OPM guidance. Specifically, of 27 key practices in
OPM's framework, the department's plan and related documentation
fully address 15 practices and partially address the other 12,
meaning that these 12 are missing elements that are essential to
having a well-defined and executable plan. DHS officials
responsible for developing the plan attributed the missing
elements to, among other things, the department's decision to
focus its resources on other IT priorities. These officials also
stated that until the missing elements are fully addressed, it is
unlikely that the plan will be effectively and efficiently
implemented, which in turn will continue to put DHS at risk of not
having sufficient people with the right knowledge, skills, and
abilities to manage and deliver its mission-critical IT systems.
Examples of the key practices that DHS has fully and partially
addressed in its IT human capital plan and related documentation,
organized according to OPM's six standards for success, are given
in the following text. Also, table 3 is a summary of the DHS
plan's satisfaction of all 27 key practices. Appendix II contains
our full analysis of the plan's satisfaction of these 27
practices. Both the summary and full analysis contain examples to
demonstrate full or partial satisfaction of the practices. They do
not contain all examples of DHS's accomplishments or limitations
to a given key practice.
^26See, for example, GAO, Securities and Exchange Commission: Some
Progress Made on Strategic Human Capital Management, [49]GAO-06-86
(Washington, D.C.: Jan. 10, 2006).
o Strategic alignment. DHS's plan and related documentation
satisfy a number of strategic alignment practices. For example,
they specify human capital goals for the IT organization and
provide for linking them to departmental human capital goals. More
specifically, the plan identifies such IT human capital goals as
meeting current and future mission needs, recruiting a
high-quality IT workforce, and motivating and retaining high
performers. The plan further states that IT human capital programs
and initiatives should produce performance outcomes that support
the overall DHS strategic goal of operational excellence. In
addition, the plan calls for involving key stakeholders--such as
the CIO, the CHCO, and their component agency counterparts--in
carrying out a range of workforce planning activities, such as
conducting a workforce analysis, developing an inventory of
current staff skills, and identifying the future skills that are
needed for mission-critical positions. By addressing these key
practices, the plan helps set the overall direction and tone for
strategic management of IT human capital and lays a foundation for
demonstrating management commitment and promoting buy-in across
the organization.
However, the plan and related documentation do not fully satisfy
other key practices. For example, they do not include specific
milestones for when most defined activities and steps are to be
completed. This is a serious limitation because milestones help to
ensure that resources needed to execute plans are allocated, and
they provide a basis for measuring progress. In addition, although
the plan provides for involving key stakeholders, it does not
assign stakeholders responsibility and accountability for specific
activities. Without fully addressing these practices, the plan
does not provide an adequate basis for promoting accountability
for results, and thus ensuring that the plan will be effectively
implemented.
o Workforce planning and deployment. The plan and related
documentation satisfy a number of key practices in this standards
area, including provision for incentives for new recruits,
training for existing staff, and an exchange program to draw on
private sector personnel with necessary skills. This is important
because such practices are essential ingredients to acquiring,
training, and deploying an effective workforce. However, the plan
does not provide for regular collection and analysis of data on
promotions, conversions, separations, and retirements to show an
understanding of trends and related indicators of performance.
Without this information, DHS will be limited in its ability to
know whether the techniques being employed are effective, and thus
performance results and accountability goals are being met.
o Leadership and knowledge management. DHS's plan and supporting
documentation provide for a number of leadership and knowledge
management practices. For example, DHS planning documents (e.g.,
DHS Succession Management Plan FY 2006-2009)^27 supporting the IT
human capital plan describe and encourage leadership development
across all DHS components through application of the department's
Leadership Competency Framework and succession approach to
workforce planning efforts. The plan also identifies succession
planning goals and objectives, implementation strategies, and
program evaluation critical success factors to achieve expected
leadership outcomes. These efforts are important because they show
how the department and components plan for and minimize the impact
of changes to its leadership team arising from retirements and
separations.
However, the plan does not address how these activities are to be
linked to and reflected in department annual performance plans and
budgets. Having performance plans and budgets that address the IT
human capital goals is vital to ensuring that the plan is properly
funded to ensure implementation.
o Results-oriented performance culture. DHS's plan and supporting
documentation satisfy key practice elements under this standards
area, such as identifying outcome-based human capital goals for
its IT workforce and linking these goals to departmental strategic
plans. However, the plan does not address linking each work unit's
efforts and performance to these goals. Linking the work units to
goals is important because it provides a framework for setting
performance expectations, determining whether expectations are
met, and establishing accountability, each of which is critical to
effective and efficient plan implementation.
o Talent management. DHS's plan addresses important practices
related to talent management, including documenting
mission-critical occupations, strategizing how to reduce
competency gaps between the workforce's current skills and those
needed to achieve mission goals, and tracking efforts to implement
strategies. In particular, it provides for a monthly forum hosted
by the IT Human Capital Resource Center for DHS components to
share ideas and strategies for recruitment, retention, and
training of their workforces. These initiatives are important
because they provide a disciplined and systematic approach to
identifying and reducing organizational skill shortfalls, and thus
contribute to better ensuring that DHS has the right people with
the right skills. However, neither the plan nor supporting
documents fully provide for measuring whether its recruitment and
training efforts are closing competency gaps. Such performance
measurement is vital to effective plan implementation because it
provides feedback on the effectiveness of efforts and the need for
corrective action.
^27DHS, DHS Succession Management Plan FY 2006-2009, draft.
o Accountability. The plan addresses the key practice for
establishing and using applicable merit principles and standards
in appraising IT staff performance, and for establishing a process
for employee grievances to be considered and addressed. However,
the plan does not fully address other accountability-related
practices. For example, it does not provide for proactively
identifying where the department is at risk with regard to
attaining its IT human capital goals and developing initiatives to
mitigate any high risks. This is a significant omission because
proactively managing risks is a proven means for avoiding problems
before they can occur.
According to DHS officials responsible for developing the plan,
the 12 key practices were not fully addressed for several reasons.
Specifically, they stated that uncertainty surrounding the source
of resources for implementing the plan led to a lack of a clear
definition of stakeholder roles and responsibilities, which in
turn made setting realistic milestones impractical. They added
that a number of other IT priorities that were competing for
resources, such as consolidation of data centers, also contributed
to the 12 practices not being addressed, while other omissions
were purely an unintended oversight, such as not addressing
central management of risks. According to the officials, the next
version of the plan, which is tentatively scheduled to be released
in the second quarter of fiscal year 2008 based on the assumption
that resources are made available, is to address all of these
omissions.
Without a comprehensive IT human capital plan, DHS does not have
an effective means for ensuring that it has the right people in
the right place at the right time to achieve the department's
mission-related IT goals. The department has acknowledged this
risk and estimates there is currently a medium-to-high level of
risk of not meeting DHS's mission due to personnel and competency
and skill shortages.^28
Table 3: Summary of Extent to which DHS's IT Human Capital Plan
Satisfies 27 Key Practices in OPM's Framework
Satisfied^a
Standard Practice Fully Partially
Strategic alignment Key stakeholders participate in
the development and revision of
the agency's strategic plan and
facilitate workforce planning and
analysis efforts.
The organization defines
successful achievement of its
mission in terms of valid and
reliable data, including both
long- and short-term human capital
performance goals.
Trends in mission-critical
occupations are analyzed in terms
of suggested factors in order to
continually adjust the agency's
recruitment and retention strategy
to its current state of need.
An integrated human capital
planning process is in use,
including representatives from the
agency/unit human capital team,
the primary IT human capital
officer, and senior leaders and
managers from mission-specific
program areas.
Mission-critical occupations and
competencies are identified in the
agency's strategic plan and/or
performance plan, and its
strategic human capital plan.
The strategic human capital plan
sets human capital progress
milestones and identifies those
responsible for meeting them.
Key human capital leaders and
agency stakeholders utilize
collaborative mechanisms/forums
that provide a venue for
consistent dialogue in the
planning process (e.g., team
members of review boards, working
groups, or executive off-sites).
The agency has a documented change
management process that identifies
necessary human capital practices
to achieve human capital
objectives.
Studies indicate which occupations
and competencies are essential to
achieving the agency's strategic
goals.
Line managers and key staff,
including human resources,
consider and prepare for possible
workforce changes in areas such as
mission/goals, technology, program
additions or deletions, functions,
and outsourcing initiatives.
Turnover indicators are monitored
regularly.
A workforce analysis process is
used on a regular basis for
assessment and planning, and to
drive human capital decisions.
The agency has a clearly defined
strategy and plan to facilitate
human capital changes.
Workforce planning and Staffing data showing trends in
deployment appointments, promotions,
conversions, separations, and
retirements are analyzed
regularly, and management
decisions regarding workforce
deployment are based on documented
data.
The agency uses multifaceted
techniques to close competency
gaps within the organization
(e.g., strategic recruitment,
midcareer hiring, and training).
Leadership and Leadership development and
knowledge management succession needs are considered,
reflected in human capital plans
and strategies, and addressed
through related human capital
management efforts/programs.
The agency has a strategy and plan
for communication of human capital
changes and progress, and to
capture employee feedback related
to human capital practices and
needs.
Annual performance plans, budgets,
and performance reports document
plans for and progress toward
human capital goals.
Results-oriented Work units have documented
performance culture performance goals and objectives
linked to the agency strategic
plan and performance plan.
Talent management The agency's strategic planning
process documents and tracks
mission-critical occupations and
competency gap reduction efforts.
Strategies are developed and
implemented for reducing
competency gaps through training,
development, or alternative
sources.
Staffing, training, and
performance data indicate success
in closing competency gaps.
Recruitment strategies are created
to maintain mission-critical
competencies at the desired level
using business forecasting and
workforce analysis results.
Accountability Human capital risks are tracked,
documented, and reported to a
central advisory or management
board, and action is taken to
mitigate high-risk areas.
Applicable merit principles and
standards are upheld, and employee
grievances are considered and
addressed.
Program and initiative
implementation efforts include
published plans that clearly
outline periodic review of
performance and desired outcomes.
Accountability for human capital
improvements is clearly assigned
and assessed regularly, and is an
input into future planning and
resource allocation decisions.
Total 15 12
Source: GAO analysis of OPM and DHS data.
^a"Fully satisfied" means that the agency demonstrated, through
verifiable evidence, that it has addressed all aspects of the key
practice. "Partially satisfied" means that such evidence shows
that some, but not all, aspects of the key practice have been
addressed.
^28DHS, Office of the Chief Information Officer, IT Human Capital Plan to
Mitigate IT Competency and Skill Gaps (March 2006).
DHS Has Made Limited Progress in Implementing Its IT Human Capital Plan
The DHS departmental offices and component agencies that share
responsibility for implementing the IT human capital plan have
collectively made little progress in doing so. In general, the DHS
Offices of the CHCO and the CIO have done more to implement the
plan than have the DHS component agencies, as described in the
following text. The plan's state of implementation is due to both
a lack of clarity around the respective implementation-related
roles and responsibilities of the various DHS organizations
involved, as well as the lower funding priority that these
organizations have given to the plan's implementation relative to
other competing IT efforts. Until a complete and well-defined IT
human capital plan is effectively and efficiently implemented, the
department will continue to run the risk of not having the people
it needs to leverage technology in achieving organizational
transformation and mission goals.
At the department level, the CIO and the CHCO organizations,
working with the CIO Council's Human Capital Resource Center, have
together performed some of the tasks in the plan. For example,
they have performed a gap analysis between existing and future
skill needs and have begun examining strategies for reducing the
identified gaps. They have also identified mission-critical
occupations and skills necessary to achieve departmental goals.
However, it is unclear which organization has primary
responsibility for the plan. According to officials from both the
Offices of the CHCO and the CIO, primary responsibility for the IT
human capital plan and its implementation has recently moved from
the CIO to the CHCO. However, these officials have yet to provide
us with documentation of this transfer in responsibility.
Despite the previously noted positive steps toward implementing
the plan, officials from the CIO and the CHCO offices told us that
the plan is largely not implemented. For example, while DHS is
collecting information on the number of increasing, decreasing,
and new mission-critical occupations, it is not identifying and
analyzing year-to-year changes and trends to determine whether
recruitment and retention strategies need to be updated to meet
current organizational needs. In addition, although the department
has documented performance goals and objectives for some work
units (e.g., managers in Customs and Border Protection) and linked
them to department-level organizational goals, it had not done so
for much of the department.
At the component level, none of the three agencies that we
reviewed had begun implementing the plan, as described in the
following text.
o The Coast Guard had not implemented the plan. According to Coast
Guard officials, including the Director, Future Force, and the
Chief of Human Resource Information Services, they were aware of
the plan's existence, but were unaware of any requirement to
implement it. However, they stated that their own human capital
efforts satisfy everything in the plan. For example, these
officials said that they had performed workforce analyses to
determine skill and competency gaps and have employed a range of
strategies, such as strategic recruitment through direct hiring
authority and internal training, to fill the gaps. The Coast Guard
has yet to provide us with documentation to substantiate these
statements.
o Customs and Border Protection had not implemented the plan,
although officials from its Office of Information Technology and
the Office of Human Resources Management told us that they were
aware of the plan and the need to implement it. According to these
officials, the agency is in the process of developing a strategy
to implement the plan. They also stated that the strategy was to
be completed in June 2007, but it is still under development. On
August 30, 2007, the officials reported that the strategy had been
completed. We have not yet received the strategy and had an
opportunity to analyze it.
o The Federal Emergency Management Agency had not implemented the
plan. Agency officials, including the Deputy CIO and the Chief of
the Human Capital Branch, stated that they were aware of the plan
but were unaware of a requirement to implement it. They also
stated that their agency human capital efforts nevertheless were
fully consistent with the plan. However, the officials have yet to
provide analysis and related documentation to support these
statements. In addition, the officials added that they are in the
process of developing an agencywide human capital plan--addressing
both IT and non-IT personnel--that is to be consistent with the
plan and is to be issued on October 1, 2007.^29
The lack of implementation progress can be attributed in part to
ambiguity surrounding implementation roles and responsibilities.
In particular, the plan itself is in large part silent on
implementation roles and responsibilities as well as
implementation accountability mechanisms. Moreover, as we have
previously noted, the plan does not address important aspects of
OPM's key practices that are implementation related. To help
clarify the plan, including implementation roles and
responsibilities, the DHS CIO Council's Human Capital Resource
Center developed an implementation briefing and provided it to the
CIO Council members in November 2005. However, the briefing does
not assign specific implementation activities to specific
organizations. Rather, it groups implementation activities into
solution sets and then broadly assigns these sets to department
and component agency CIOs, CHCOs, and human capital directors. As
a result, department and component agency officials told us that
they were not clear on who was responsible for what, particularly
with regard to the sources of funding and staff. Moreover, as we
have previously noted, officials for at least one component agency
were not even aware that they were required to implement it, or
what their roles and responsibilities were relative to
implementation.
The lack of implementation progress can also be attributed to
resources being assigned to competing IT initiatives that were
judged to be higher priorities. According to DHS CIO officials,
including the CIO Council senior executive leading the effort,
when it came time to fund implementation of the plan, the
department and components decided to fund other priorities, such
as DHS's effort to consolidate multiple component data centers and
create a unified departmental network. Furthermore, the IT Human
Capital Resource Center program manager responsible for
implementing the plan resigned in January 2006, and his
replacement left in November 2006. According to DHS CIO and CHCO
officials, the department has not provided funding to fill the
position, which still remains vacant.
^29With respect to the Federal Emergency Management Agency's overall
management of human capital, we recently reported that it lacks a
strategic workforce plan and related human capital strategies--such as
succession planning or a coordinated training effort--which are integral
to managing resources. They enable an agency to define staffing levels,
identify the critical skills needed to achieve its mission, and eliminate
or mitigate gaps between current and future skills and competencies. (For
the report, see GAO, Budget Issues: FEMA Needs Adequate Data, Plans, and
Systems to Effectively Manage Resources for Day-to-Day Operations,
[50]GAO-07-139 (Washington, D.C.: Jan. 19, 2007).)
Department and component officials agreed that the IT human
capital plan is largely not implemented. However, they stated that
they are nonetheless following many of the OPM framework practices
in the plan as a by-product of fulfilling their periodic reporting
requirements to OMB on the President's Management Agenda^30 human
capital initiatives. Specifically, the department and its
components are required to report quarterly to OMB on progress in
meeting certain human capital goals, such as filling
mission-critical positions and delivering training to strengthen
key IT knowledge, skills, and abilities. For example, the actions
reported to OMB require the department and components to identify
mission-critical occupations and competencies, develop recruitment
strategies to maintain mission-critical competencies at desired
levels, and report on progress toward achieving human capital
goals, which are also called for by the plan and OPM's framework.
Our analysis showed that efforts related to this reporting
requirement align with about 12 of the 27 practices that we
examined. DHS officials did not disagree with this analysis. This
means that despite a number of IT human capital-related
activities, the department and its component agencies are not
implementing the full range of practices needed for effective
management of IT human capital.
^30Started by OMB in fiscal year 2002, the President's Management Agenda
is an initiative intended to help reform federal government management in
several areas, one of which is the strategic management of human capital.
More specifically, the initiative calls for agencies to, among other
things, link human capital strategies to their mission goals, use
workforce planning and flexible strategies to recruit and train staff, and
determine the most effective means of achieving mission goals through
identifying the organization's core competencies.
Conclusions
An effective DHS IT workforce is essential to the department's
efforts to leverage technology in transforming itself and
achieving mission goals and outcomes. Central to creating and
sustaining such a workforce is developing a comprehensive IT human
capital plan that reflects relevant guidance and best practices,
and ensuring that the plan is effectively implemented. While much
of such a plan has been developed, and thus a planning foundation
exists upon which to build, this plan is nevertheless lacking with
respect to relevant guidance and best practices aimed at, among
other things, ensuring that the plan is effectively implemented.
Moreover, actual implementation of the plan to date has been
limited, with much remaining to be accomplished by the department
CIO and CHCO organizations as well as their DHS component agency
counterparts. The status of the plan and its implementation is
largely attributable to the lack of clarity surrounding
implementation roles and responsibilities, and the lack of
priority being given to the plan's implementation relative to
competing IT priorities at the department and component agency
levels. Until DHS has a comprehensive plan and follows through to
ensure that it is effectively implemented departmentwide, it will
remain challenged in its ability to have sufficient people with
the right knowledge, skills, and abilities to effectively leverage
technology in support of transformation and mission goals.
Recommendations for Executive Action
To strengthen DHS's management of IT human capital, we recommend
that the Secretary of Homeland Security direct the Under Secretary
for Management and the head of each DHS component agency to
instruct their respective CIOs and human capital directors to make
development and implementation of a comprehensive IT human capital
plan an imperative within each organization. In this regard, we
recommend that the Secretary direct the Under Secretary and the
component agency heads to ensure that (1) IT human capital
planning efforts fully satisfy relevant federal guidance and
related best practices, (2) roles and responsibilities for
implementing the resulting IT human capital plan and all
supporting plans are clearly defined and understood, (3) resources
needed to effectively and efficiently implement the plans are made
available, and (4) progress in implementing the plans is regularly
measured and periodically reported to DHS leadership and Congress.
Agency Comments and Our Evaluation
In written comments on a draft of this report, signed by the
Director, Departmental GAO/Office of Inspector General Liaison and
reprinted in appendix III, the department stated that it agreed
with our recommendations. Consistent with our report, it also
stated that the state of IT human capital management varies widely
across DHS component organizations, and it acknowledged that a
lower priority has been assigned to IT human capital relative to
other IT-related matters. In addition, DHS stated that it
understands the importance of IT human capital planning and that
it will dedicate the resources needed to ensure that it has a
highly skilled and effective IT workforce.
DHS also provided what it termed additional information about
ongoing and planned activities to update and clarify the status of
its IT human capital efforts, particularly with regard to the key
practices that we determined to be "partially satisfied." Among
other things, DHS stated that some of our determinations were
based on the DHS IT Human Capital Strategic Plan (2005), which was
not intended to include certain details relative to achieving
results, such as milestones, time frames, and roles and
responsibilities. According to DHS, this plan is a high-level
strategy and not a "blueprint for execution." Rather, it said that
the IT Gap Analysis Report and Improvement Plan (2007) is the
department's "operative diagram" for achieving its human capital
goals and results. We agree that the IT Gap Analysis Report and
Improvement Plan (2007) is relevant to our determinations.
However, we disagree that our determinations were based solely on
the strategic plan. As described in our report's scope and
methodology, our determinations were based on examining all
relevant documentation that the department provided for each key
practice, including the IT Gap Analysis Report and Improvement
Plan (2007), as well as on interviews with key officials from
DHS's Offices of the CIO and CHCO, the CIO Council executive
sponsor for Human Capital issues, and officials from the
department's IT Human Capital Resource Center. Accordingly, the
determinations in our draft report already recognized most of the
additional information that DHS provided. In cases where new
information was provided, we have incorporated, or otherwise
recognized, this information in our report as appropriate.
We are sending copies of this report to the Chairmen and Ranking
Members of the Senate and House committees that have authorization
and oversight responsibilities for homeland security and other
interested congressional committees. We are also sending copies to
the Directors of OMB and OPM; the DHS Secretary, Undersecretary
for Management, CHCO, and CIO; the component agency heads; and
other interested parties. In addition, the report will also be
available without charge on GAO's Web site at
[31]http://www.gao.gov .
Should you have any questions about matters discussed in this
report, please contact me at (202) 512-3439 or by e-mail at
[32][email protected] . Contact points for our Offices of
Congressional Relations and Public Affairs may be found on the
last page of this report. Key contributors to this report are
listed in appendix IV.
Randolph C. Hite
Director, Information Technology Architecture and
Systems Issues
Appendix I: Objectives, Scope, and Methodology
The objectives of our review were to determine (1) whether the
Department of Homeland Security's (DHS) information technology
(IT) human capital plan is consistent with federal guidance and
associated best practices and (2) the status of the plan's
implementation.
To address our first objective, we reviewed the department's May
20, 2005, IT human capital plan,^1 which DHS labeled as "Draft
Final for Discussion Purposes" and submitted on August 30, 2006,
to the Senate and House Appropriations Committees pursuant to
requirements in DHS's fiscal year 2006 appropriations act. We
evaluated this plan and supporting documentation against selected
practices in the Office of Personnel Management's (OPM) Human
Capital Assessment and Accountability Framework.^2 We used this
framework because it is the federal guidance that DHS used in
developing its plan, and because the framework reflects the human
capital best practices in GAO's strategic human capital model.^3
In addition, this framework provides a method for assessing the
adequacy of a human capital plan. In applying this method, we
focused on 27 practices in the framework that are essential to a
well-defined and useful plan and that span the six standards areas
in the framework.^4 We also validated our use of the 27 practices
with OPM.
Using the framework's method, we compared the DHS IT human capital
plan and supporting documentation with each of the elements
comprising the 27 practices.^5 We also interviewed (1) officials
from DHS's Offices of the Chief Information Officer (CIO) and the
Chief Human Capital Officer (CHCO); (2) the CIO Council executive
sponsor for Human Capital issues; and (3) officials from the
department's IT Human Capital Resource Center, which helped
develop the IT human capital plan and supporting documentation. In
performing our comparative analysis, we determined if the practice
was fully satisfied, partially satisfied, or not satisfied. For
purposes of this review, we defined "fully satisfied" to mean that
the agency demonstrated, through verifiable evidence, that it had
addressed all aspects of the key practice; "partially satisfied"
to mean that such evidence showed that some, but not all, aspects
of the key practice had been addressed; and "not satisfied" to
mean that such evidence showed that none of the aspects of the key
practice had been addressed.
^1DHS, Empowering the IT Workforce, DHS IT Human Capital Strategic Plan
(2005-2010), Draft Final for Discussion Purposes (Washington, D.C.: May
2005).
^2OPM, Human Capital Assessment and Accountability Framework (Washington,
D.C.: October 2002).
^3GAO, A Model of Strategic Human Capital Management (Exposure Draft),
[51]GAO-02-373SP (Washington, D.C.: March 2002).
^4OPM, Human Capital Assessment and Accountability Framework.
^5DHS, Office of the CIO, IT Human Capital Plan to Mitigate IT Competency
and Skill Gaps (March 2006); Empowering the IT Workforce: Solutions to
Address Critical IT Human Capital Gaps--Executive Brief and Detailed
Implementation Plan (Nov. 1, 2005); Empowering the IT Workforce: DHS IT
Human Capital Strategic Plan (2005-2010) Draft Final for Discussion
Purposes (May 20, 2005); DHS Workforce Plan FY 2005-2008; and DHS, Offices
of the CHCO and CIO, IT Gap Analysis Report and Improvement Plan (May 1,
2007).
In addition, we shared all of our preliminary determinations with
officials from the DHS CIO Council and the DHS Office of the CHCO
and provided them with an opportunity to comment on these
determinations. These officials agreed with many of our
determinations but also provided additional evidence to support
revising others, which we have done and incorporated in this
report.
For our second objective, we reviewed plan implementation
activities within the DHS Offices of the CIO and the CHCO and
three DHS component agencies: the Coast Guard, Customs and Border
Protection, and the Federal Emergency Management Administration.
We selected these components because based on DHS's fiscal year
2006 budget, they were among the largest with respect to total
budget, IT budget, and IT staff positions. Thus, the scope of our
component agency coverage extended to about $20 billion of DHS's
$40 billion total budget; $720 million of the department's $2.2
billion IT budget; and 60 percent^6 of its IT personnel. In each
of these organizations, we requested and reviewed available
documentation on its respective efforts to implement the plan,
including development of supporting implementation plans,
completion of tasks, and the status of ongoing efforts related to
IT human capital. We also interviewed responsible officials from
DHS's Offices of the CIO and the CHCO; the Coast Guard's Human
Resources Directorate; Customs and Border Protection's Office of
Human Resources Management; and the Federal Emergency Management
Administration's Office of the CIO and its Office of Human
Resources Management.
^6This percentage is based on 1,276 of the 2,165 full-time equivalent
positions in fiscal year 2006.
We performed our work at DHS headquarters in Washington, D.C.,
from October 2006 through July 2007, in accordance with generally
accepted government auditing standards.
Appendix II: Details on IT Human Capital Plan's Satisfaction of
Practices in OPM's Framework
Satisfied^a
Key practice Fully Partially Comment
Strategic alignment
Key stakeholders Key stakeholders--identified by
participate in the DHS as including the CIO, the
development and CHCO, component agency CIO and
revision of the human capital directors, and the
agency's strategic IT Human Capital Resource
plan (e.g., DHS's IT Center--participated in the
human capital plan) development of the department's
and facilitate IT human capital plan and
workforce planning and workforce planning and analysis
analysis efforts. efforts. For example, in March
2005, DHS held an off-site
meeting with these stakeholders
to facilitate collaboration and
to gather stakeholder input as
part of plan development efforts.
DHS's IT human capital plan also
states that the department
intends to involve these
stakeholders in efforts to
periodically revise the plan to
reflect current priorities and
conditions. Furthermore, the plan
and supporting documentation
identify these stakeholders as
participating in analyzing and
identifying the department's
workforce needs and in developing
a departmentwide workforce plan
to fill identified gaps.
The organization In its IT human capital plan and
defines successful supporting documentation, DHS
achievement of its defines accomplishing its
mission in terms of near-term and long-term IT human
valid and reliable capital goals and objectives in
data, including both terms of qualitative and
long- and short-term quantitative measures that are to
human capital be based on valid and reliable
performance goals. data, and links them to
accomplishing DHS's mission.
Specifically, the plan identifies
departmental human capital goals,
such as recruiting a high-quality
IT workforce, training its IT
workforce to be capable, and
retaining high performers. It
also describes how these goals
support the strategic goal of
empowering the IT workforce and
how this helps to achieve DHS's
mission.
Trends in In the IT human capital plan and
mission-critical supporting documentation, the
occupations are department provides updates for
analyzed in terms of fiscal years 2004 and 2005 on,
suggested factors in for example, the number of
order to continually mission-critical occupations that
adjust the agency's are increasing, decreasing, or
recruitment and new. However, the plan and
retention strategy to supporting documentation
its current state of generally do not identify and
need. analyze the year-to-year trends.
For example, supporting
documentation (e.g., the DHS
Workforce Plan FY 2005-2008) has
data for 2003 and 2004, but the
year-to-year changes and trends
in occupations are not identified
and analyzed to determine whether
the recruitment and retention
strategy needs to be updated to
meet the current state of
organizational need. In addition,
while DHS officials noted an
example of one component agency
(Transportation Security
Administration) adjusting its
recruitment and retention
strategy to meet the current
state of need, they stated that
most components are not adjusting
recruitment strategies on the
basis of available occupation
data.
An integrated human DHS's IT human capital plan and
capital planning supporting documentation identify
process is in use, use of a human capital planning
including process that includes
representatives from stakeholders from across the
the agency/unit human department and component
capital team, the agencies. For example, in
primary IT human developing the IT human capital
capital officer, and plan, the department used a
senior leaders and process involving representatives
managers from from the department's CHCO, CIO,
mission-specific and component offices, among
program areas. others. This was also the case
with regard to other supporting
documentation. For example, in
developing the DHS Workforce Plan
FY 2005-2008, the department
brought together stakeholders
from across the department to
collaborate on and produce this
product. This workforce plan also
defines a human capital planning
process whose stated purpose is
to help identify, in an
integrated and cost-effective
manner, the human capital
resources needed to meet mission
goals and develop strategies for
developing or acquiring those
resources.
Mission-critical Although documentation supporting
occupations and DHS's IT human capital plan
competencies are identifies mission-critical
identified in the occupations (e.g., IT project
agency's strategic managers and IT security
plan and/or specialists), the IT human
performance plan, and capital plan and other DHS
its strategic human strategic and human capital plans
capital plan. do not. Specifically, DHS's IT
Human Capital Plan to Mitigate IT
Competency and Skill Gaps and the
DHS Workforce Plan FY 2005-2008
identify technical competencies
and skills needed for IT
occupations. However, the DHS IT
human capital plan and the
departmentwide strategic and
human capital plans do not
identify mission-critical IT
occupations and competencies.
The strategic human While documents supporting DHS's
capital plan sets IT human capital plan (e.g., the
human capital progress November 2005 implementation
milestones and briefing and the May 2007 IT Gap
identifies those Analysis Report and Improvement
responsible for Plan) include milestones and
meeting them. assign roles and
responsibilities, neither these
documents nor the IT human
capital plan include specific
time frames or milestones for
when most defined activities and
steps are to be completed. In
addition, although the supporting
documents and the plan provide
for involving key stakeholders,
they do not assign stakeholders
responsibility and accountability
for specific activities.
Key human capital DHS's IT human capital plan and
leaders and agency supporting documentation describe
stakeholders utilize the department's collaborative
collaborative mechanisms and forums for
mechanisms/forums that planning strategic human capital
provide a venue for activities. They include, for
consistent dialogue in example, the DHS CIO Council,
the planning process which is made up of component
(e.g., team members of agency CIOs and which has monthly
review boards, working meetings to discuss, among other
groups, or executive things, human capital matters.
off-sites). The council used this forum and
off-site meetings to collaborate
with the DHS CHCO office, the IT
Human Capital Resource Center,
and component human capital
directors, among others, in
developing the IT human capital
plan. In addition, the department
tasks the Human Capital Resource
Center to bring together
representatives from DHS and the
components on a monthly basis to
share ideas and strategies on
emerging IT human capital issues.
Furthermore, DHS established a
Workforce Planning Council,
comprising department and
component agency officials, to
develop a workforce plan and
provide for analysis across DHS.
The agency has a In the IT human capital plan and
documented change supporting documentation, DHS
management process documents a change management
that identifies process that identifies human
necessary human capital practices needed to
capital practices to achieve the department's human
achieve human capital capital objectives. For example,
objectives. in the DHS Workforce Plan FY
2005-2008, the department
describes its change management
process that includes steps such
as identifying departmental
goals, identifying workforce
requirements, developing a
workforce strategy, and
evaluating the effectiveness of
the planning process. In
addition, the IT human capital
plan identifies certain
practices--such as analyzing
workforce needs and capabilities,
developing an IT training
strategy, implementing an IT
leadership development program,
and developing performance
measures for accountability--as
being critical to achieving DHS
human capital objectives.
Moreover, supporting
documentation (e.g., DHS's
November 2005 implementation
briefing) identifies traceable
linkages between the practices it
is intended to implement and IT
human capital goals and
objectives.
Studies indicate which Documentation supporting the IT
occupations and human capital plan (e.g., DHS's
competencies are IT Human Capital Plan to Mitigate
essential to achieving IT Competency and Skill Gaps)
the agency's strategic identifies occupations and
goals. competencies to achieve the
agency's strategic goals. For
example, the department
identified competencies within IT
project management, information
security, and enterprise
architecture as being critical to
achieving the department's
mission goals.
Line managers and key DHS's IT human capital plan and
staff, including human supporting documentation include
resources, consider guidance for managers and key
and prepare for staff to consider, plan, and
possible workforce prepare for changes in the
changes in areas such department's mission, programs,
as mission/goals, and workforce composition.
technology, program Specifically, DHS's IT human
additions or capital plan states that DHS
deletions, functions, managers should consider and
and outsourcing prepare for changes in
initiatives. organizational goals, personnel,
and technology. In addition,
supporting documentation (e.g.,
the DHS Workforce Plan FY
2005-2008) acknowledges the
possibility of workforce changes
due to retirements and attrition.
The workforce plan also states
that it will serve as an
integrated approach for
addressing future business needs,
and identifies steps that
department managers should go
through in planning for changes,
including considering how changes
will impact mission goals,
programs, functions, and
workforce composition. The
workforce plan also states that
managers should consider using
alternative strategies, such as
outsourcing.
Turnover indicators Documentation supporting the IT
are monitored human capital plan (specifically,
regularly. the DHS Workforce Plan FY
2005-2008) identifies several
factors to be monitored,
including appointments,
separations, and retirements, and
assigns the responsibility for
monitoring the factors to the
department's Office of the CHCO.
This documentation also reports
on the department's appointments,
separations, and retirements
during fiscal years 2004 and
2005.
A workforce analysis The IT human capital plan and
process is used on a supporting documentation show
regular basis for that DHS uses a workforce
assessment and analysis process for human
planning, and to drive capital assessment, planning, and
human capital decisions. For example,
decisions. supporting documentation (e.g.,
the DHS Workforce Plan FY
2005-2008) identifies workforce
trends analyzed among
cross-cutting and high-profile
mission-critical occupations and
the process established and
followed to develop such trend
data. Furthermore, the
documentation also shows that DHS
established a Workforce Planning
Council that is responsible for
ensuring that workforce planning
and human capital initiatives are
integrated consistently and
cost-effectively across DHS.
According to DHS CHCO officials,
the department intends to conduct
workforce analysis efforts every
2 years. However, these officials
also report that not all
components are using the
workforce data on a regular basis
to drive human capital decisions.
The agency has a The IT human capital plan and
clearly defined supporting documents clearly
strategy and plan to identify human capital strategies
facilitate human and goals, but do not fully
capital changes. provide for how and when human
capital changes will be made. For
example, the plan defines
strategic goals and objectives
and states that an implementation
plan is to be developed and
executed with performance
measures, such as milestones,
deadlines, and assignment of
personnel responsible for
achieving them. However, as we
have previously discussed, DHS
developed such a plan in November
2005 (i.e., the November 2005
implementation briefing) and
later updated it in the May 2007
IT Gap Analysis Report and
Improvement Plan, but these
documents do not include specific
time frames or milestones for
when most defined activities and
steps are to be completed. In
addition, although the document
provides for involving key
stakeholders, it does not assign
stakeholders responsibility and
accountability for specific
activities.
Workforce planning and
deployment
Staffing data showing The IT human capital plan and
trends in supporting documentation include
appointments, analyses of staffing data for
promotions, appointments, separations, and
conversions, retirements that are reported to
separations, and the Office of Management and
retirements are Budget (OMB) on a quarterly
analyzed regularly, basis. In addition, these
and management documents (e.g., the DHS
decisions regarding Workforce Plan FY 2005-2008)
workforce deployment include workforce trends analyses
are based on among cross-cutting and
documented data. mission-critical occupations.
However, trends in these data are
not fully analyzed, and,
according to DHS CHCO officials,
not all components are using the
data on a regular basis to drive
human capital decisions.
The agency uses The IT human capital plan and
multifaceted supporting documentation provide
techniques to close for a variety of recruitment and
competency gaps within training techniques to be used in
the organization closing competency gaps. For
(e.g., strategic example, supporting documents
recruitment, midcareer (e.g., DHS's IT Human Capital
hiring, and training). Plan to Mitigate IT Competency
and Skill Gaps) describe efforts
planned and under way to mitigate
gaps using strategic recruitment
through outsourcing,
private/public cross training,
internal training, and
e-training.
Leadership and
knowledge management
Leadership development The IT human capital plan and
and succession needs supporting documentation, in
are considered, particular DHS's Succession
reflected in human Management Plan FY 2006-2009,
capital plans and describe practices to be followed
strategies, and in developing the leadership
addressed through skills of DHS personnel. These
related human capital documents also identify
management succession planning goals and
efforts/programs. objectives, implementation
strategies, and program
evaluation critical success
factors to measure whether
expected outcomes are being
achieved.
The agency has a In its IT human capital plan and
strategy and plan for supporting documentation, DHS
communication of human identifies strategies and plans
capital changes and for communicating changes and
progress, and to progress to employees. For
capture employee example, the IT human capital
feedback related to plan includes initiatives to
human capital improve communication on human
practices and needs. capital changes and progress,
such as developing training
materials and courses to educate
supervisors on how to (1) take
advantage of hiring
flexibilities; (2) promote the
use and accessibility of
departmentwide training
opportunities, including
e-learning; and (3) provide
Web-based information on training
and human capital policies and
procedures. In addition,
supporting documentation, such as
the DHS Workforce Plan FY
2005-2008, includes a
communications plan on how to
keep DHS personnel informed on
workforce changes, including the
department's progress in
implementing them. Furthermore,
according to DHS CHCO and CIO
officials, the department
captures employee feedback on its
practices through representatives
to the IT Human Capital Resource
Center and also through annual IT
staff surveys.
Annual performance As directed by OMB, DHS reports
plans, budgets, and quarterly on its progress on
performance reports human capital goals. However,
document plans for and DHS's IT human capital plan and
progress toward human supporting documentation do not
capital goals. provide for developing annual
performance plans, budget
documents, or performance reports
that discuss plans for and
progress against human capital
goals. In addition, the
information reported to OMB is
primarily on DHS efforts to close
IT competencies and skills gaps,
which is just one of the multiple
goals and objectives in DHS's
plan and supporting
documentation.
Results-oriented
performance culture
Work units have Although DHS's IT human capital
documented performance plan and related documentation
goals and objectives support having measurable
linked to the agency performance goals for work units,
strategic plan and such performance plans and
performance plan. measures have not been fully
developed. For example, DHS CIO
and CHCO officials stated that
although the department has
documented performance goals and
objectives for some work units
(e.g., managers in Customs and
Border Protection) and linked
them to department-level
organizational goals, it had not
done so for much of the
department. Specifically, only
managers in the DHS CHCO's office
and also at Customs and Border
Protection have performance
objectives that are linked to
strategic plans.
Talent management
The agency's strategic DHS's IT human capital plan and
planning process supporting documentation provide
documents and tracks details on the department's
mission-critical strategic planning process,
occupations and including the reporting and
competency tracking of mission-critical
gap-reduction efforts. occupations and efforts to reduce
competency gaps. For example, in
supporting documentation (e.g.,
the DHS Workforce Plan FY
2005-2008), the department
describes a workforce planning
process that is to help identify
the human capital resources
needed to meet mission goals and
develop strategies for developing
or acquiring those resources. In
addition, other supporting
documentation (e.g., the IT Human
Capital Plan to Mitigate IT
Competency and Skill Gaps)
identifies mission-critical IT
occupations and high-level
efforts needed to close its
competency gaps. The department
uses its OMB quarterly reports to
document and track the status of
efforts to close those competency
gaps.
Strategies are As described in its IT human
developed and capital plan and supporting
implemented for documentation, DHS's strategies
reducing competency to close its competency gaps
gaps through training, consist of a number of human
development, or capital initiatives, including
alternative sources. training, staff development, and
an outside executive exchange
program. Specifically, DHS's IT
Human Capital Plan to Mitigate IT
Competency and Skill Gaps details
planned and ongoing efforts to
mitigate gaps using, for example,
strategic recruitment through
outsourcing, private/public cross
training, internal training, and
e-training.
Staffing, training, The IT human capital plan and
and performance data supporting documentation state
indicate success in that data on its progress toward
closing competency meeting human capital goals will
gaps. be reported to OMB and DHS
management as required; they do
not, however, specify what data
are to be reported. The
department reports quarterly to
OMB on the status of efforts to
close competency gaps. In
addition, a recently completed
(May 2007) DHS workforce survey
and gap analysis^b identify
existing IT competency gaps, but
do not indicate any progress in
closing them. According to DHS
CHCO and CIO officials, the
department to date has had
limited resources and data
available to assess the
effectiveness of ongoing efforts
to close competency gaps. They
further stated that they intend
to use the newly completed
analysis as a baseline for
measuring the success of future
efforts.
Recruitment strategies Documentation supporting DHS's IT
are created to human capital plan provides for
maintain developing recruiting strategies
mission-critical based on workforce forecasting
competencies at the and analysis results. For
desired level using example, the DHS Workforce Plan
business forecasting FY 2005-2008 states that the
and workforce analysis department is to use a strategic
results. approach to recruitment and
workforce planning. In addition,
it identifies a DHS corporate
recruitment workgroup, which
includes senior human resources
and civil rights staff throughout
DHS, who are to assess
departmentwide recruitment
activities and tools; coordinate
participation in recruitment
fairs; and develop recruitment
strategies and activities for
crosscutting occupations,
primarily entry-level positions.
In May 2007, the department
developed an improvement plan
that provides updated strategies
for addressing competency gaps
and maintaining mission-critical
competencies. This plan is based
on the analysis of a recently
completed workforce survey.
Accountability
Human capital risks Documents supporting DHS's IT
are tracked, human capital plan (e.g., the IT
documented, and Human Capital Plan to Mitigate IT
reported to a central Competency and Skill Gaps and the
advisory or management IT Gap Analysis Report and
board, and action is Improvement Plan) identify and
taken to mitigate document some but not all key
high-risk areas. human capital risks and do not
provide for reporting risks to
management or a management board.
More specifically, these plans
document that failure to fill
critical competency and skill
sets (e.g., IT project management
and IT security) poses a
medium-to-high human capital risk
to DHS's ability to achieve
mission goals. However, DHS CHCO
and CIO officials acknowledged
that the department does not
track these risks through any
formal mechanism. In addition,
they stated that DHS has not
established a comprehensive
effort to identify and track the
full range of human capital risks
facing the department, as well as
reporting those risks to
management or a central advisory
or management board.
Applicable merit DHS's IT human capital plan and
principles and supporting documentation provide
standards are upheld, for the application and
and employee enforcement of merit principles
grievances are and standards and for considering
considered and and addressing employee
addressed. grievances. For example, the plan
recognizes that the department
has legislative and regulatory
requirements to implement
performance-based management
practices, including merit
principles and standards, for its
IT workforce. In addition, an OPM
analysis of DHS's human resources
management operations reports
that the department's human
resources management operates in
a consistent manner with merit
principles.^c Moreover, DHS has a
policy directive that defines the
process for administering its
employee grievance system. The
department also regularly reports
to management and employees on
the number of grievances filed
and resolved as well as the
number of cases outstanding.
Program and initiative DHS's IT human capital plan and
implementation efforts supporting documentation provide
include published for performance reviews of
plans that clearly desired outcomes. For example,
outline periodic supporting documentation
review of performance (specifically, DHS's IT Human
and desired outcomes. Capital Plan to Mitigate IT
Competency and Skill Gaps and IT
Gap Analysis Report and
Improvement Plan) provides
analyses and snapshots of the
department's performance in
trying to close gaps in
mission-critical competencies.
However, these competency gap
snapshots do not constitute a
comprehensive review and
evaluation of progress against
all of the objectives established
in the human capital plan. In
addition, DHS's IT human capital
plan and supporting documentation
do not clearly outline or
identify time frames for periodic
review. DHS CHCO and CIO
officials stated that they intend
to address this in future
revisions to the plan.
Accountability for DHS's IT human capital plan does
human capital not clearly assign accountability
improvements is for human capital improvements or
clearly assigned and provide for regular assessments
assessed regularly, of that accountability. However,
and is an input into documents supporting the plan
future planning and (specifically, the department's
resource allocation November 2005 implementation
decisions. briefing and the May 2007 IT Gap
Analysis Report and Improvement
Plan) do assign accountability
and responsibility for human
capital improvements. For
example, the documents assign
accountability to the DHS CHCO,
DHS CIO, and component agency
heads to make improvements
related to closing selected
competency gaps. However, the
documents do not provide for
assessing accountability on a
regular basis and using the
results as an input into future
planning and resource allocation
decisions. DHS CHCO and CIO
officials stated that while data
related to competency gaps are
used as an input, data regarding
accountability are not.
Source: GAO analysis of OPM and DHS data.
^a"Fully satisfied" means that the agency demonstrated, through
verifiable evidence, that it has addressed all aspects of the key
practice. "Partially satisfied" means that such evidence shows
that some, but not all, aspects of the key practice have been
addressed.
^bDHS, Office of the Chief Information Officer/Office of the Chief
Human Capital Officer, IT Gap Analysis Report and Improvement Plan
(May 1, 2007).
^cOPM, Department of Homeland Security: Human Resources Operations
Audit Report Q2 FY 2006 (Washington, D.C.: Aug. 23, 2006).
Appendix III: Comments from the U.S. Department of Homeland Security
Appendix IV: GAO Contact and Staff Acknowledgments
GAO Contact
Randolph C. Hite, (202) 512-3439, or [33][email protected]
Staff Acknowledgments
In addition to the individual named above, Gerard Aflague, Mathew
Bader, Justin Booth, Barbara Collier, S. Mike Davis, Bill Doherty
(Assistant Director), and Gary Mountjoy (Assistant Director) made
key contributions to this report.
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[52]www.gao.gov/cgi-bin/getrpt?GAO-07-425 .
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Highlights of [53]GAO-07-425 , a report to congressional committees
September 2007
INFORMATION TECHNOLOGY
DHS's Human Capital Plan Is Largely Consistent with Relevant Guidance, but
Improvements and Implementation Steps Are Still Needed
In performing its missions, the Department of Homeland Security (DHS)
relies extensively on information technology (IT). Recognizing this, DHS's
fiscal year 2006 appropriations act required its Chief Information Officer
(CIO) to submit a report to congressional appropriations committees that
includes, among other things, an IT human capital plan, and the act
directs GAO to review the report. GAO's review addressed (1) whether the
IT human capital plan is consistent with federal guidance and associated
best practices and (2) the status of the plan's implementation. In
performing its review, GAO compared DHS's plan and supporting
documentation with 27 practices in the Human Capital Assessment and
Accountability Framework of the Office of Personnel Management, and
examined plan implementation activities at three DHS component agencies.
[54]What GAO Recommends
GAO is recommending that DHS make completion and implementation of a
compre-hensive IT human capital plan an imperative, and in doing so,
ensure that implementation roles and responsibilities are clearly defined
and adequate resources are made available. DHS agreed with GAO's
recommendations and acknowledged that IT human capital has been a lower
priority relative to other IT initiatives. It committed to having a highly
skilled IT workforce and described efforts planned and under way to do so.
DHS's IT human capital plan is largely consistent with federal guidance
and associated best practices; however, it does not fully address a number
of important practices that GAO examined. Specifically, the plan and
supporting documentation fully address 15 practices; for example, they
provide for developing a complete inventory of existing staff skills,
identifying IT skills that will be needed to achieve agency goals,
determining skill gaps, and developing plans to address such gaps. They
also provides for involving key stakeholders--such as the CIO, the Chief
Human Capital Officer (CHCO), and component agency CIOs and human capital
directors--in carrying out the skill gap analyses and other workforce
planning activities. Nevertheless, elements of 12 of the 27 practices are
not included in the plan or related documentation. For example, although
the plan and supporting documents describe the department's IT human
capital goals and steps necessary to implement them, most steps do not
include associated milestones. In addition, although the plan and
supporting documents provide for involving key stakeholders, they do not
specifically assign these stakeholders responsibility and accountability
for carrying out planned activities. These and other missing elements of
the practices are important because they help ensure that the plan is
implemented efficiently and effectively. DHS officials provided various
reasons why the missing practices were omitted, including uncertainty
surrounding the source of resources for implementing the plan and the
demands of other IT priorities, such as consolidating component agency
data centers.
To date, DHS has made limited progress in implementing the plan, according
to officials from the offices of the department's CIO and CHCO and three
DHS agencies (the Coast Guard, Customs and Border Protection, and the
Federal Emergency Management Agency). These officials said that they are
nonetheless following several of the practices because they are required
to report quarterly to the Office of Management and Budget on progress in
meeting such human capital goals as filling mission-critical positions and
delivering key IT training. DHS officials stated that the department's
limited progress in implementing the plan was due to its focus on other
priorities, and ambiguity surrounding plan implementation roles and
responsibilities. Until DHS has a complete plan that fully addresses all
practices and the department and components implement the plan, DHS will
continue to be at risk of not having sufficient people with the right
knowledge, skills, and abilities to manage and deliver the IT systems that
are essential to executing the department's mission and achieving its
transformation goals.
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