MSHA's Revised Hiring Process Has Improved the Agency's
Recruiting Efforts, but Its Human Capital Strategic Plan Does Not
Adequately Project or Address Its Future Workforce Needs
(16-MAY-07, GAO-07-704R).
In 2003, GAO recommended that the Mine Safety and Health
Administration (MSHA) develop a plan for addressing anticipated
shortages in the number of qualified inspectors due to upcoming
retirements, including considering options such as streamlining
the agency's hiring process and offering retention bonuses. As
you requested, we conducted follow-up work on the implementation
of this recommendation. We reviewed MSHA's human capital planning
documents and obtained data on the number of inspectors employed
by MSHA and the number of them eligible for retirement. In
addition, we interviewed officials responsible for MSHA's human
resources department, officials in MSHA's district offices, and
officials at the National Mine Health and Safety Academy. We
completed our work between June 2006 and March 2007 in accordance
with generally accepted government auditing standards. In 2004,
MSHA began a new process for hiring mine inspectors under the
auspices of the Federal Career Intern Program (FCIP)--a federal
program designed to recruit and retain high caliber candidates
and develop their professional abilities. The use of the FCIP has
led to a number of improvements in inspector recruiting and
hiring, such as being able to identify applicants with the basic
skills needed to be a successful inspector early in the process
and decreasing the time it takes the agency to hire new
inspectors. Since MSHA began using the program, the agency has
hired 236 new coal mine inspector trainees. However, while MSHA
has taken significant steps to improve its hiring process, the
agency's human capital plan does not include a strategic approach
for addressing the large number of retirements expected in the
next 5 years. MSHA estimates that over 40 percent of its
inspectors will be eligible for retirement by 2012. District
officials expressed concerns about the impact that losing
experienced inspectors may have on the agency's ability to
achieve its goals, particularly completing required safety and
health inspections on time.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-07-704R
ACCNO: A69692
TITLE: MSHA's Revised Hiring Process Has Improved the Agency's
Recruiting Efforts, but Its Human Capital Strategic Plan Does Not
Adequately Project or Address Its Future Workforce Needs
DATE: 05/16/2007
SUBJECT: Employee training
Employees
Hiring policies
Human capital
Inspection
Mine safety
Mining
Personnel recruiting
Policy evaluation
Safety regulation
Staff utilization
Strategic planning
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GAO-07-704R
May 16, 2007
Subject: MSHA's Revised Hiring Process Has Improved the Agency's
Recruiting Efforts, but Its Human Capital Strategic Plan Does Not
Adequately Project or Address Its Future Workforce Needs
Congressional Requesters
In 2003, GAO recommended that the Mine Safety and Health Administration
(MSHA) develop a plan for addressing anticipated shortages in the number
of qualified inspectors due to upcoming retirements, including considering
options such as streamlining the agency's hiring process and offering
retention bonuses.^1 As you requested, we conducted follow-up work on the
implementation of this recommendation. We reviewed MSHA's human capital
planning documents and obtained data on the number of inspectors employed
by MSHA and the number of them eligible for retirement. In addition, we
interviewed officials responsible for MSHA's human resources department,
officials in MSHA's district offices, and officials at the National Mine
Health and Safety Academy. We completed our work between June 2006 and
March 2007 in accordance with generally accepted government auditing
standards.
In 2004, MSHA began a new process for hiring mine inspectors under the
auspices of the Federal Career Intern Program (FCIP)--a federal program
designed to recruit and retain high caliber candidates and develop their
professional abilities. The use of the FCIP has led to a number of
improvements in inspector recruiting and hiring, such as being able to
identify applicants with the basic skills needed to be a successful
inspector early in the process and decreasing the time it takes the agency
to hire new inspectors. Since MSHA began using the program, the agency has
hired 236 new coal mine inspector trainees.
However, while MSHA has taken significant steps to improve its hiring
process, the agency's human capital plan does not include a strategic
approach for addressing the large number of retirements expected in the
next 5 years. MSHA estimates that over 40 percent of its inspectors will
be eligible for retirement by 2012. District officials expressed concerns
about the impact that losing experienced inspectors may have on the
agency's ability to achieve its goals, particularly completing required
safety and health inspections on time. We are recommending that MSHA
engage in a strategic planning effort that utilizes the data it collects
on expected retirements and actual attrition to develop goals that can be
monitored and evaluated.
^1GAO, Mine Safety: MSHA Devotes Substantial Efforts to Ensuring the
Safety and Health of Coal Miners, but Its Programs Could Be Strengthened,
GAO-03-945 (Washington, D.C.: Sept. 5, 2003).
Background
Mine safety and health inspectors carry out the day-to-day responsibility
of ensuring that underground coal mines are safe and hazard-free
workplaces. The Federal Mine Safety and Health Act of 1977, as amended
(the Mine Act) requires that representatives of MSHA conduct frequent
inspections and investigations in coal and other mines each year for the
purpose of
o obtaining, utilizing, and disseminating information relating to
health and safety conditions; the causes of accidents; and the
causes of diseases and physical impairments originating in such
mines;
o gathering information with respect to mandatory health or safety
standards;
o determining whether an imminent danger exists; and
o determining whether there is compliance with the mandatory
health or safety standards detailed in the act, or with citations,
orders, or decisions issued under the act.
For underground coal mines, MSHA is required to inspect each mine in its
entirety at least four times a year. The agency also has the authority to
conduct more frequent inspections for some mines, such as those that
liberate excessive quantities of methane or other explosive gases. It is
the job of the inspectors to conduct these inspections and issue citations
for any violations of the health and safety standards. Inspectors are
granted a great deal of responsibility and ultimately have the authority
to interrupt a mine's production in certain circumstances.
The Mine Act outlines the qualifications each mine inspector must possess:
o practical experience in mining,
o experience as a practical mining engineer, or
o education.
In addition, 5 years of practical experience is preferred, but not
required.^2
As we identified in our 2003 report, the inspector workforce is in a state
of transition. At the time of that report, we recommended that MSHA
develop a plan for addressing anticipated shortages in the number of
qualified inspectors due to upcoming retirements. As a part of that
recommendation, we suggested that the agency consider options such as
streamlining its hiring process and offering retention bonuses. This
recommendation stemmed from the finding that, at that time, between 20 and
86 percent of the underground coal mine inspectors in the agency's 11
districts were eligible for retirement within 5 years--an average of 44
percent across all of the districts. In addition to the anticipated
turnover in experienced inspectors, the officials we talked with at that
time reported difficulty in hiring new inspectors quickly and training
them to replace outgoing staff.
^2An associate solicitor of the Department of Labor issued a memorandum in
1991 analyzing the statutory qualification requirements for inspectors. He
concluded that the 5 year requirement, which is qualified by the statement
"to a maximum extent feasible," is not an absolute requirement. Therefore,
MSHA can appoint individuals who lack 5 years of experience but meet one
of the three qualifications noted above.
MSHA Developed a Strategic Approach to Hire Mine Inspectors
In 2004, MSHA began using the FCIP to hire new mine inspectors. Since it
began using the program, MSHA has hired 301 interns, 236 of whom are coal
mine inspector trainees.^3 The FCIP requires agencies to determine how the
program can be used to fulfill recruitment needs for particular
occupations, and develop procedures for accepting applications,
evaluating, and selecting candidates. They also must implement a formal
training program for the interns and monitor program activities. MSHA's
use of this program has led to a number of improvements in its hiring
practices.
Through the FCIP, MSHA developed a process for assessing applicants'
skills, conducting interviews, and providing applicants with immediate
feedback on their aptitude during 1-day job fairs held in locations around
the country. As of October 2004, all applicants for inspector positions
must attend job fairs, where they are tested on basic math and writing
skills. In order to interview with MSHA for the positions, applicants must
pass these standardized exams. MSHA reported that this screening process
has helped the agency maximize its resources, since the exams identify at
an early stage applicants who do not have the basic skills needed to
become a successful inspector. For example, of the 1,256 applicants tested
in 2005 and 2006, 49 percent failed either the math or written exam, or
both.
In comparison, MSHA's previous hiring process limited its ability to
assess the skills and abilities of applicants for mine inspector
positions. MSHA officials explained that, under the old process,
applicants were ranked by experience, and their basic skills were not
considered. For example, they explained that the agency hired people with
considerable mining experience, but some of them had weak reading and
writing skills. As a result, MSHA spent time during new mine inspector
training teaching these basic skills. A skills inventory conducted by the
Department of Labor in fiscal year 2003 identified the need to close the
competency gaps in the mine safety and health inspector workforce in three
areas: oral communication; writing; and legal, government, and
jurisprudence.^4 The new assessment process used during the job fairs is a
step toward ensuring that MSHA's inspectors have a standard level of
proficiency.
^3These data are as of February 2007. The non coal interns were hired as
inspector trainees for metal/nonmetal mining operations. Metal and
nonmetal mining is separated into four broad categories: metal, nonmetal,
stone, and sand and gravel.
^4Labor defined the "legal, government, and jurisprudence" area as
knowledge of laws, legal codes, court procedures, precedents, legal
practices and documents, government regulations, executive orders, agency
rules, government organization and functions, and the democratic political
process.
Applicants that successfully complete the math and written exams move on
to a structured interview with a panel of MSHA officials that includes an
administrative official, such as someone from human resources, and one
supervisory or management official. During the interviews, the same
questions are posed to all applicants at each job fair in the same order.
The questions assess, among other things, the applicant's general skills
in areas such as problem solving, interpersonal skills, and oral
communication. In addition, applicants for higher paying positions are
asked about their knowledge of and experience in mining, including
experience with inspections and knowledge of the laws and regulations
governing mines.
Under its new approach, MSHA has been able to reduce the amount of time it
takes to hire a new mine inspector. Under the old hiring process, MSHA
officials reported that it often took up to 180 days to hire an inspector.
Now, agency officials reported that they have reduced the hiring time to
45 days or less.^5 In addition, the Office of Personnel Management
approved MSHA's request to hire mine inspectors through the FCIP under a
broader range of pay scale levels, which allows the agency to hire
individuals with a broader range of experiences.^6 For example, an
applicant might have little experience in mining but possess relevant
experience in construction and electrical engineering. This applicant
would be hired as a mine inspector trainee at the lower end of the pay
scale and given additional training in areas specific to mine health and
safety. Similarly, MSHA can hire highly experienced applicants, such as
those with knowledge of progressive mining methods, at the higher end of
the pay scale as an incentive to attract these candidates.
In addition, MSHA officials commented that the job fairs have helped the
agency reduce the number of interagency transfers that occurred under its
old hiring process, which was a significant problem. According to these
officials, because applicants from any location could apply for positions
in any MSHA district office, they often applied for a position in one
location and then, shortly after being hired, applied for a transfer to
the area where they lived. Now, however, since job fairs are held in the
locations where applicants are being sought and applicants must attend the
job fairs in person, they tend to live in those communities and are less
likely to request a transfer to another location once they are hired.^7
Appointments to the FCIP are generally for 2 years, at which point the
intern may be offered a permanent position. During the internship, new
hires are required to participate in a formal training program. To meet
this requirement, inspector trainees participate in training modules at
the National Mine Health and Safety Academy--a training center run by MSHA
that conducts a variety of education and training programs in health and
safety and related subjects for federal mine inspectors and other
government mining and industry personnel. Each module lasts for 3 to 4
weeks and is interspersed by periods of time when inspector trainees
return to their districts for on-the-job training with experienced
inspectors. Training classes include mine rescue, accident prevention,
investigations, inspection procedures, mine emergency procedures, mine
technology, and management, among others. Some of the courses include
practicing techniques in the Mine Academy's mine lab to provide the new
inspectors with training in a simulated mine environment. Mine Academy
officials reported that new inspectors can complete the formal training in
11 months but are expected to continue with structured on-the-job training
throughout the duration of their participation in the FCIP. Each inspector
trainee also develops an Individual Development Plan, which guides and
documents the training and development process. Inspectors with relatively
little experience (and hired at the lower end of the pay scale)
participate in the FCIP longer--3 years instead of 2 years--to give the
agency time to assess their performance and knowledge before a decision is
made on whether to convert them to permanent employee status. While the
internship period serves to develop the inspectors, it also doubles as an
opportunity to determine their quality and compatibility with the agency.
Although new inspectors participate in a 2- to 3-year training program ,
district managers and Mine Academy officials agreed that, realistically,
new inspectors can take up to 5 years to become fully competent and
confident in their roles as underground coal mine inspectors.
^5According to an MSHA human resources official, this time frame begins
when an applicant receives a job offer and includes time for the agency to
review the results from a medical exam and drug test. It does not include
any time that an applicant might be placed on a waiting list if the
district does not have a job opening available.
^6MSHA can offer new mine inspectors positions under the government
general schedule (GS) that range from GS-5 to GS-11. As of January 2007,
the potential pay ranged from $25,623 to $61,068.
^7For example, between October 2006 and April 2007, MSHA held job fairs in
each of its 11 coal mine districts.
MSHA's Human Capital Plan Does Not Adequately Project Its Workforce Needs
While the improvements MSHA has made to its recruiting process are an
important part of addressing impending retirements, the agency has not
developed a long-term strategy for replacing mine inspectors. MSHA has
developed a human capital strategic plan that declares it is designed to
shift the basis of human resources planning from a reactive and passive
model to a proactive competency-based model. However, according to our
review of the plan and discussions with MSHA officials, the agency has not
demonstrated how it plans to address the large number of retirements of
its inspector workforce in the coming years.
MSHA estimates that over 40 percent of its inspectors will be eligible for
retirement by 2012 (see table 1).^8
8MSHA faces similar shortages in its engineer and scientist workforce in
coming years. See GAO, Mine Safety: Better Oversight and Coordination by
MSHA and Other Federal Agencies Could Improve Safety for Underground Coal
Miners, GAO-07-622 (Washington, D.C.: May 16, 2007).
Table 1: Number of Underground Coal Mine Inspectors and Those Eligible for
Retirement by 2012
District office
1 2 3 4 5 6 7 8 9 10 11 Total
Number of underground coal
mine inspectors 6 38 39 71 35 56 52 24 26 16 14 377
Number of underground coal
mine inspectors eligible
to retire within 5 years 3 23 15 36 12 16 13 10 13 8 5 154
Percentage eligible to
retire within 5 years 50% 61% 38% 51% 34% 29% 25% 42% 50% 50% 36% 41%
Source: GAO analysis of MSHA data.
Note: Data are as of January 31, 2007.
MSHA reported that, in the last 3 years, between 32 and 47 percent of the
coal mine enforcement employees eligible to retire actually did so in the
first year of eligibility.
Human resources officials explained some steps they are taking to monitor
the retirements in each district, such as maintaining communication with
the district managers so that, when a retirement is announced, the agency
can authorize the district manager to begin the process to hire a
candidate from the job fairs. In addition, these officials explained that
MSHA is about to start a new program to prepare for the loss of
supervisors and managers, which will consist of a 1-year training program.
Despite these steps, the agency has not developed a strategic plan that
demonstrates how it will address the challenges in a manner that is
clearly linked to achieving its mission and goals. For example, the plan
does not adequately take into account the potential increases in future
hiring and the time necessary to fully train replacements.
Further, district officials expressed concern over the retirements and
loss of highly experienced coal mine inspectors, and the impact these
challenges have on achieving the goals of the agency. For example, one
district official told us that recent retirements have left the district
short-handed and expressed concern over the inspectors' ability to
complete the required annual mine inspections on time.
MSHA officials told us they generally hire replacements only after a
current inspector leaves, which prevents having a period of overlap during
which experienced inspectors likely to retire soon and newly hired
inspectors are both on board. They also said that, given the long time it
takes to train new inspectors, having this overlap would assist them to
better manage their workload because it would allow experienced inspectors
to train their replacements before they retired. The officials explained
that budget restrictions contribute to this approach.
GAO has reported on effective strategies for workforce planning that
require a more strategic outlook to meeting the challenges of the future
and developing a process for monitoring and evaluating an agency's
goals.^9 Strategic human capital planning that is integrated with broader
organizational strategic planning is critical in ensuring that agencies
have the talent they need for future challenges, especially as the federal
government faces a large wave of retirements. Among other elements,
strategic planning serves as a tool to help agencies address challenges in
a manner that is clearly linked to achieving their mission and goals. For
example, GAO reported on an approach the Social Security Administration is
using to mitigate the impact of retirements on its workforce and broader
agency goals. By using data to make long-term projections, the agency was
able to design a transition program to ensure that experienced employees
were available in critical areas of the agency and that the institutional
knowledge would not be lost because of turnover. The agency revisits the
projections on a regular basis and uses the information to address broader
agency goals for improvement.
Conclusions
MSHA has taken significant steps to reform its process to recruit and hire
new mine inspectors. However, the high attrition expected over the next 5
years, coupled with the amount of time needed to train new inspectors to
become proficient at their duties, means the agency could jeopardize these
successes without a clear and well-thought-out plan that addresses the
expected turnover in its experienced workforce. While the agency has data
on expected retirements and its recent attrition, it has not utilized this
information in a strategic approach to prepare for the longer-term needs
of the agency. Because MSHA does not utilize the data it already collects,
and has not developed measurable goals, the agency's ability to monitor
and evaluate its progress toward meeting its human capital goals is
inhibited.
Recommendation for Executive Action
Given the long lead time needed to train new inspectors to replace those
retiring, MSHA needs to focus its planning efforts on estimating and
managing the large number of expected retirements. To begin this process,
we recommend that the agency engage in a strategic planning effort that
utilizes the data it collects on expected retirements and actual attrition
to develop goals that can be monitored and evaluated.
Agency Comments
We obtained comments on a draft of this report from MSHA. These comments
are reproduced in appendix I.
^9GAO, Human Capital: Federal Workforce Challenges in the 21^st Century,
GAO-07-556T (Washington, D.C.: March 6, 2007); GAO, Human Capital: Key
Principles for Effective Strategic Workforce Planning, GAO-04-39
(Washington, D.C.: Dec. 11, 2003).
In general, MSHA agreed that it can continue to enhance strategic planning
in the area of human capital. However, in response to the number of
retirements expected, MSHA officials commented that only 15 percent of its
workforce will retire in the coming years. These data are based on
calculations that factor in the entire underground coal inspector
workforce, as opposed to just the number of inspectors eligible for
retirement. Our analysis focused on the number of inspectors eligible for
retirement who actually retired the first year they were eligible. We
found that between 32 and 47 percent of retirement-eligible inspectors are
likely to leave MSHA in the first year of eligibility. Therefore, MSHA's
succession planning should focus on the number of inspectors who are
eligible for retirement over the next 5 years. Understanding this
population will help the agency plan for the potential impact on its
experienced workforce and allow the agency to identify the needs of the
remaining workforce, such as training less experienced staff and
identifying supervisors to replace those who leave.
MSHA also stated in its response that the hiring of additional enforcement
staff as a result of funds provided by an emergency supplemental
appropriations bill passed in 2006 will effectively reduce mass
retirements because of the increased number of less tenured employees. In
addition, MSHA commented that it conducts exhaustive reviews to identify
where current and future vacancies exist and where industry shifts require
MSHA to adjust its workforce. The agency also noted that it has planned
its recruitment strategy to hire enough inspectors in fiscal year 2007 to
mitigate the impact of expected retirements this year. While these actions
are commendable, they are examples of actions that should be tied to
specific, measurable goals in the agency's strategic human capital plan.
This would provide accountability and allow better oversight by entities
such as GAO and the Congress.
We are sending copies of this report to the Secretary of Labor, relevant
congressional committees, and other interested parties. Copies will be
made available to others upon request. In addition, the report will be
available at no charge on GAO's Web site at http://www.gao.gov . Please
contact me at (202) 512-7215 if you or your staff have any questions about
this report. Revae Moran, Assistant Director; Sara L. Schibanoff,
Analyst-in-Charge; and Lerone C. Reid made key contributions to this
report. Sheila R. McCoy provided legal assistance.
Sincerely yours,
Daniel Bertoni
Director, Education, Workforce, and Income Security Issues
List of Congressional Requesters
The Honorable Robert C. Byrd
Chairman
Committee on Appropriations
United States Senate
The Honorable Edward M. Kennedy
Chairman
The Honorable Michael B. Enzi
Ranking Member
Committee on Health, Education, Labor, and Pensions
United States Senate
The Honorable Tom Harkin
Chairman
The Honorable Arlen Specter
Ranking Member
Subcommittee on Labor, Health and Human Services, Education, and
Related Agencies
Committee on Appropriations
United States Senate
The Honorable Patty Murray
Chair
The Honorable Johnny Isakson
Ranking Member
Subcommittee on Employment and Workplace
Safety Committee on Health, Education, Labor, and Pensions
United States Senate
The Honorable George Miller
Chairman
Committee on Education and Labor
House of Representatives
The Honorable John D. Rockefeller IV
United States Senate
The Honorable Shelley Moore Capito
House of Representatives
The Honorable Alan B. Mollohan
House of Representatives
The Honorable Nick Rahall
House of Representatives
Appendix I: Comments from the Department of Labor
(130653)
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