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Report to Congressional Requesters:

June 2005:

Human Capital:

Selected Agencies Have Opportunities to Enhance Existing Succession 
Planning and Management Efforts:

[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-05-585]:

GAO Highlights:

Highlights of GAO-05-585, a report to congressional requesters.

Why GAO Did This Study:

As the federal government confronts an array of challenges in the 21st 
century, it must employ strategic human capital management, including 
succession planning, to help meet those challenges. Leading 
organizations go beyond a succession planning approach that focuses on 
replacing individuals and engage in broad, integrated succession 
planning and management efforts that focus on strengthening current and 
future organizational capacity. 

GAO reviewed how the Census Bureau, Department of Labor (DOL), the 
Environmental Protection Agency (EPA) and the Veterans Health 
Administration (VHA) are implementing succession planning and 
management efforts. 

What GAO Found:

The Census Bureau, DOL, EPA, and VHA have all implemented succession 
planning and management efforts that collectively are intended to 
strengthen organizational capacity. However, in light of governmentwide 
fiscal challenges, the agencies have opportunities to enhance some of 
their succession efforts. 

* While all of the agencies have assigned responsibility for their 
succession planning and management efforts to councils or boards, VHA 
has established a subcommittee and high-level positions that are 
directly responsible for its succession efforts. Also, VHA and the 
Census Bureau specifically mention succession planning and management 
as performance expectations in their executives’ performance plans.

* The four agencies have begun to link succession efforts to strategic 
planning. For example, DOL plans to shift from a historical enforcement 
role to a compliance assistance and consulting role, requiring stronger 
skills in communication and analysis. To attract and retain employees 
with such skills, DOL launched the Masters in Business Administration 
Fellows program in 2002, which it considers one of its major succession 
training and development programs. 

* Monitoring mission-critical workforce needs helps make informed 
planning decisions. DOL, EPA, and VHA have identified gaps in 
occupations or competencies, have undertaken strategies to address 
these gaps, and are planning or are taking steps to monitor their 
progress in closing these gaps. The Census Bureau could strengthen the 
monitoring of its mission-critical occupations more closely and at a 
higher level to ensure it is prepared for the 2010 Decennial Census.

* Effective training and development programs can enhance the federal 
government’s ability to achieve results. All of the agencies’ 
succession efforts include training and development programs at all 
organizational levels. However, in the current budget environment, 
there are opportunities to coordinate and share these programs and 
create synergies through benchmarking with others, achieving economies 
of scale, limiting duplication of efforts, and enhancing the 
effectiveness of programs, among other things. Performance measures for 
these programs can also help agencies evaluate these programs’ effects 
on organizational capacity and justify their value.

* Finally, agencies have recognized the importance of diversity to a 
successful workforce and use succession planning and management to 
enhance their workforce diversity.

What GAO Recommends:

GAO made specific recommendations to enhance agencies’ succession 
efforts. The Department of Veterans Affairs agreed with our 
recommendations. The Census Bureau agreed with two recommendations and 
in response to a third, stated that its existing monitoring approach is 
effective. However, without strengthened monitoring, the Bureau is at 
increased risk that it will not have the skills it needs for the 2010 
Census. DOL did not take issue with our findings and will consider our 
recommendations. EPA did not comment on our recommendations. DOL and 
EPA provided technical comments.

[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-05-585].

To view the full product, including the scope
and methodology, click on the link above.
For more information, contact Eileen Larence at (202) 512-6806 or 
[Hyperlink, larencee@gao.gov].

[End of Section]

Contents:

Letter:

Results in Brief:

Background:

Agencies Reinforce Top Leadership Support by Assigning Responsibility 
for Succession Efforts:

Agencies Have Begun to Link Succession Efforts to Their Strategic Goals:

Monitoring Mission-Critical Workforce Needs Helps Make Informed 
Succession Planning Decisions:

Enhanced Coordination and Evaluation of Training and Development 
Programs Could Help Leverage Scarce Resources:

Agencies Use Succession Efforts to Enhance Workforce Diversity:

Conclusions:

Recommendations for Executive Action:

Agency Comments and Our Evaluation:

Appendixes:

Appendix I: Objectives, Scope, and Methodology:

Appendix II: Comments from the Department of Veterans Affairs:

Appendix III: Comments from the Department of Commerce:

Appendix IV: GAO Contact and Staff Acknowledgments:

Table:

Table 1: Agencies' Core Succession Training and Development Programs:

Figures:

Figure 1: VHA's Assigned Responsibility for Succession:

Figure 2: EPA's Strategic Goals and Associated Human Capital Focus:

Figure 3: VISN 16 Workforce Assessment and VHA's National Succession 
Plan:

Figure 4: Selected DOL Performance Measures Designed to Gauge 
Organizational Capacity:

Figure 5: Selected DOL Human Capital Measures Related to Succession 
Planning and Management:

Abbreviations:

CHCO: Chief Human Capital Officers (Council):

DOC: Department of Commerce:

DOL: Department of Labor:

EEOC: Equal Employment Opportunity Commission:

EPA: Environmental Protection Agency:

Fed CDP: Federal Candidate Development Program:

MBA: Masters in Business Administration:

MSPB: Merit Systems Protection Board:

OPM: Office of Personnel Management:

SES: Senior Executive Service:

VA: Department of Veterans Affairs:

VHA: Veterans Health Administration::

VISN: Veterans Integrated Service Network:

Letter June 30, 2005:

The Honorable George V. Voinovich:
Chairman:
Subcommittee on Oversight of Government Management, the Federal 
Workforce, and the District of Columbia Committee on Homeland Security 
and Governmental Affairs:
United States Senate:

The Honorable Jon Porter:
Chairman:
Subcommittee on the Federal Workforce and Agency Organization Committee 
on Government Reform:
House of Representatives:

The Honorable Jo Ann Davis:
House of Representatives:

Large, escalating, and persistent deficits that are unsustainable over 
the long term are among an array of challenges that the federal 
government confronts in the 21st century.[Footnote 1] To help meet 
government's challenges, we have reported that agencies must employ 
strategic human capital management. We also continue to designate 
strategic human capital management as a high-risk area, one that 
threatens the federal government's ability to serve Americans 
effectively, because federal human capital strategies are still not 
appropriately constituted to meet current and emerging challenges or 
drive the transformations necessary for agencies to meet these 
challenges.[Footnote 2] More specifically, agencies need to identify, 
develop, and select the appropriate leaders, managers, and workforce to 
meet 21ST century challenges, and one critical step is through 
effective succession planning and management. Leading organizations go 
beyond a succession planning approach that focuses on simply replacing 
individuals and engage in broad, integrated succession planning and 
management efforts that focus on strengthening both current and future 
organizational capacity. Particularly in an environment of likely 
continued budget constraints, federal agencies must implement human 
capital strategies, including succession planning and management, to 
transform their cultures to achieve their long-term goals.

Congress has recognized the important role of succession planning and 
management in preparing federal workers for the future. The Federal 
Workforce Flexibility Act of 2004 requires the head of each agency to 
establish, in consultation with the Office of Personnel Management 
(OPM), a comprehensive management succession program to provide 
training for employees and develop future managers for the 
agency.[Footnote 3] In addition, the Chief Human Capital Officers Act 
led to the creation of a governmentwide Chief Human Capital Officers 
(CHCO) Council, which subsequently established a leadership and 
succession planning subcommittee.[Footnote 4] This subcommittee' s 
intended focus is on reviewing leadership development, moving leaders 
from technicians to strategic thinkers, and meeting future workforce 
needs in a planned manner. The act also calls for OPM to design 
measures to assess, among other issues, the continuity of effective 
leadership through the implementation of succession plans.

We previously identified how agencies in Australia, Canada, New 
Zealand, and the United Kingdom are adopting a more strategic approach 
to managing the succession of senior executives and other employees 
with critical skills.[Footnote 5] We found that these agencies' 
succession planning and management efforts (1) receive active support 
of top leadership; (2) link to the agencies' strategic planning; (3) 
identify talent from multiple organizational levels, early in their 
careers, or with critical skills; (4) emphasize developmental 
assignments for high-potential employees in addition to formal 
training; (5) address specific human capital challenges, such as 
diversity; and (6) facilitate broader transformation efforts.[Footnote 
6] We observed that these experiences may prove valuable to agencies in 
the United States.

As a follow up to that report, we reviewed how selected U.S. agencies 
are implementing succession planning and management efforts. For 
purposes of this report, we specifically address the first five 
practices given the selected agencies' immediate succession challenges. 
We selected agencies based on the nature of these succession challenges 
as well as their diverse organizational structures and missions.

Specifically, we reviewed the:

* Census Bureau, which has a unique, event-driven requirement, namely 
the 2010 Decennial Census, and projected that 45 percent of its 
workforce will be eligible to retire by 2010;

* Department of Labor (DOL), which has reported a Senior Executive 
Service (SES) retirement eligibility rate of more than 60 percent by 
the beginning of fiscal year (FY) 2010;

* Environmental Protection Agency (EPA), which has reported that almost 
60 percent of its SES will be eligible to retire by 2008 and projected 
a loss of at least 20 percent of its supervisors in 10 of 18 priority 
occupations; and:

* Veterans Health Administration (VHA), which reported a 38 percent SES 
retirement eligibility rate through 2008 and projects that 24 percent 
of its Nurse Executives will be eligible for regular retirement in 2005.

To meet this objective, we analyzed strategic, human capital, 
workforce, succession, and training and development plans; guidance for 
managers' performance agreements; human capital team charters; and 
diversity information from the selected agencies. In addition, we 
reviewed policies and guidance on succession-related issues from OPM, 
as well as the Equal Employment Opportunity Commission (EEOC) and the 
Merit Systems Protection Board (MSPB) because of their responsibilities 
for ensuring the fair application of personnel decisions, such as 
selection for training and development programs. We also interviewed 
agency, OPM, EEOC, and MSPB officials involved with strategic, human 
capital, and succession planning and management. To get the varied 
perspectives of agencies' staff located in headquarters and regional 
offices, we interviewed agency officials in Washington, D.C; Charlotte, 
North Carolina; and Los Angeles and San Francisco, California. Appendix 
I provides additional information on our scope and methodology. We 
conducted our study from June 2004 through April 2005 in accordance 
with generally accepted government auditing standards.

Results in Brief:

The Census Bureau, DOL, EPA, and VHA have all implemented selected 
succession planning and management efforts that collectively are 
intended to strengthen both current and future organizational capacity. 
Generally, these efforts receive top leadership support and commitment, 
link with strategic planning, identify critical gaps in occupations or 
competencies, offer training and development programs, and enhance 
diversity. However, each of the agencies should enhance some succession 
efforts to better position themselves for the future.

All four agencies have the support and commitment of their 
organizations' top leadership. For example, they have established 
councils or boards with responsibility for human capital that involve 
top agency leadership. Specifically, VHA has a dedicated subcommittee 
as well as high-level positions that are directly accountable for 
succession planning and management, while the other three agencies have 
councils or boards that are responsible for human capital more broadly, 
including succession. Furthermore, all four agencies include a 
performance expectation that in general holds executives accountable 
for human capital management in their performance plans. However, VHA 
and the Census Bureau include an expectation that specifically holds 
executives accountable for succession planning and management.

All four agencies have also begun to link their succession efforts to 
their strategic goals. DOL states that to meet its strategic goal of 
ensuring a competitive 21ST century workforce, it plans to identify 
skill gaps, assess training needs, and recruit new employees. For 
example, DOL plans to shift from a historical enforcement role to 
compliance assistance and consultation, requiring stronger skills in 
communication and analysis. DOL seeks to develop more skills in 
technology and project management as well as in strategic planning, 
quantitative analysis, and analytical thinking for a more "business- 
like" management approach. To attract and retain employees with such 
skills, DOL launched the Masters in Business Administration (MBA) 
Fellows program in 2002, which it considers one of its major succession 
development programs.

These agencies have identified the talent, and specifically the mission-
critical occupations or competencies required to achieve their goals. 
For example, VHA projects the number of employees needed to fill the 
gaps in mission-critical occupations and monitors changes in its 
mission-critical workforce. EPA has projected gaps by mission-critical 
occupations, identified technical and cross-occupational competencies, 
and plans to monitor its progress in closing these gaps. DOL assesses 
its mission-critical requirements through skills inventories and 
monitors the turnover of its workforce. The Census Bureau, on the other 
hand, has also identified its mission-critical occupations, but does 
not monitor its progress in closing gaps because decisions to fill 
vacancies are delegated to line managers. However, without monitoring 
the readiness of its mission-critical workers more closely and at a 
higher level than line managers, the Bureau may not know overall if it 
is acquiring the skills it needs to be prepared to conduct the 2010 
Decennial Census.

Effective training and development programs can enhance the federal 
government's ability to prepare its workforce and thereby achieve 
results. Further, effective succession planning and management efforts 
identify talent from multiple organizational levels and early in their 
careers as well as provide both formal and developmental training to 
strengthen high-potential employees' skills and to broaden their 
experience. All four agencies have core succession training and 
development programs for entry-level employees, middle-level 
management, and senior executives. However, in the current budget 
environment, there are opportunities for agencies to coordinate and 
share these programs and create synergies through benchmarking with 
others, achieving economies of scale, limiting duplication of efforts, 
and enhancing the effectiveness of programs, among other things. 
Examples of such coordinated and shared training include a partnership 
across three agencies to share best practices among their acquisition 
workforces and OPM's program to help agencies meet their senior 
executive succession goals and create a leadership corps. The selected 
agencies generally had not sought out such opportunities for their core 
succession programs.

Given this environment, agencies also need credible information to 
evaluate how training and development programs affect organizational 
capacity. All four agencies are able to report on measures such as 
participant number and program cost. However, the Census Bureau, VHA, 
and EPA could better demonstrate their programs' value in providing 
future talent by identifying outcome-oriented measures and evaluating 
the extent to which these programs enhance their organizations' 
capacity. For example, DOL has identified measures that are intended to 
provide the department with an understanding of the programs' impact on 
organizational capacity, such as its SES "bench strength," a ratio of 
senior executives who are in training or have completed training to 
those projected to leave.

Finally, all four agencies report using their succession planning and 
management efforts to enhance diversity. For example, VHA has 
integrated diversity planning into its succession and workforce 
planning process. Initially, each regional office that has primary 
responsibility for health care--or Veterans Integrated Service Network 
(VISN)--submits a regional succession plan that includes diversity 
information. VHA then analyzes these data, highlights 
underrepresentation of certain demographic groups in specific mission- 
critical occupations, and provides guidance to focus recruiting efforts 
to enhance diversity.

To improve and refine their succession planning and management efforts, 
we are recommending that all four agencies actively seek opportunities 
to coordinate and share their core succession training and development 
programs with other outside agencies. By doing so, agencies can enhance 
efficiency and increase the effectiveness of their programs, among 
other things. We are also making other recommendations to individual 
agencies to enhance their succession planning and management efforts.

We provided a draft of this report to the Acting Director of OPM and 
the CHCO Council's Leadership and Succession Planning Subcommittee for 
their information. We also provided a draft of this report to the 
Secretaries of Commerce, Labor, and Veterans Affairs (VA) and the 
Administrator of EPA for their review and comment. VA agreed with our 
findings and recommendations, and we present their written comments in 
appendix II. The Department of Commerce (DOC) and the Census Bureau 
agreed with our findings and our recommendations to seek opportunities 
to coordinate core succession training and development programs and to 
evaluate the extent to which these programs enhance organizational 
capacity. In response to our recommendation to strengthen the 
monitoring of its mission-critical workforce, the Census Bureau stated 
that its existing approach is effective. However, without strengthened 
monitoring of its mission-critical workforce, the Census Bureau is at 
increased risk that it will not have the skills it needs to be prepared 
to conduct the 2010 Census as efficiently or effectively as possible. 
For example, a lesson from the 2000 Census was that while contracts for 
various projects supported decennial census operations, they did so in 
many instances at a higher cost than necessary because the Census 
Bureau did not have sufficient contracting and program staff with the 
training and experience to manage them. We present DOC's and the Census 
Bureau's written comments in appendix III. DOL did not take issue with 
our findings, stated that it will consider our recommendations, and 
provided technical comments, which we incorporated as appropriate. EPA 
did not comment on our recommendations, but provided a technical 
comment, which we incorporated.

Background:

We have found that other countries are experiencing challenges in 
managing their human capital, and their experiences may prove valuable 
to federal agencies in the United States. For example, they are using 
their performance management systems to connect employee performance 
with organizational success to help foster a results-oriented 
culture.[Footnote 7] They are also implementing succession planning and 
management initiatives that are designed to protect and enhance 
organizational capacity.[Footnote 8] Collectively, these agencies' 
initiatives demonstrated the following practices.

* Receive active support of top leadership. Top leadership actively 
participates in, regularly uses, and ensures the needed financial and 
staff resources for key succession planning and management initiatives. 
New Zealand's State Services Commissioner, whose wide-ranging duties 
include the appointment and review of public service chief executives, 
formulated a new governmentwide senior leadership and management 
development strategy.

* Link to strategic planning. To focus on both current and future needs 
and to provide leaders with a broader perspective, the Royal Canadian 
Mounted Police's succession planning and management initiative figures 
prominently in the agency's multiyear human capital plan and provides 
top leaders with an agencywide perspective when making decisions.

* Identify talent from multiple organizational levels, early in their 
careers, or with critical skills. For example, the United Kingdom's 
Fast Stream program targets high-potential individuals as well as 
recent college graduates, and aims to provide individuals with 
experiences and training linked to strengthening specific competencies 
required for admission to the Senior Civil Service.

* Emphasize developmental assignments in addition to formal training. 
Initiatives emphasize developmental assignments in addition to formal 
training to strengthen high-potential employees' skills and broaden 
their experiences. For example, Canada's Accelerated Executive 
Development Program temporarily assigns executives to work in 
unfamiliar roles or subject areas, and in different agencies.

* Address specific human capital challenges, such as diversity, 
leadership capacity, and retention. For example, the United Kingdom 
created a centralized development program that targets minorities with 
the potential to join the Senior Civil Service.

* Facilitating broader transformation efforts. The United Kingdom 
launched a wide-ranging reform program know as Modernizing Government, 
which focused on improving the quality, coordination, and accessibility 
of the services government offered to its citizens and restructured the 
content of its leadership and management development programs to 
reflect this new emphasis on service delivery. In Australia, to find 
individuals to champion recent changes in how it delivers services and 
interacts with stakeholders, the Family Court of Australia identifies 
and prepares future leaders who will have the skills and experiences to 
help the organization successfully adapt to agency transformation.

We at GAO have also undertaken a variety of succession planning and 
management initiatives consistent with these leading practices to 
strengthen our own internal efforts. For example, we have constructed a 
detailed workforce planning model and analyzed it to ensure that it 
hired, retained, and contracted for the appropriate number of staff 
with the needed competencies. In addition, we have developed certain 
"people measures" to assess its performance in human capital 
management, including measures for the attraction and retention of 
staff, staff utilization and development, and organizational leadership.

Agencies Reinforce Top Leadership Support by Assigning Responsibility 
for Succession Efforts:

Effective succession planning and management programs have the support 
and commitment of their organizations' top leadership. Our past work 
has shown that demonstrated commitment of top leaders is perhaps the 
single most important element of successful management reform.[Footnote 
9] We have reported that to demonstrate its support of succession 
planning and management efforts, top leadership actively participates 
in and regularly uses these initiatives to develop and promote 
individuals, and ensures that these programs receive sufficient 
resources.[Footnote 10] As a next step, federal agencies are to hold 
their senior executives accountable to address human capital issues, 
such as succession.[Footnote 11] We found that VHA has assigned 
responsibility for succession planning and management initiatives to a 
dedicated subcommittee, while DOL, the Census Bureau, and EPA have 
councils or boards that are responsible for human capital more broadly, 
including succession efforts.

VHA has established a subcommittee and high-level positions that are 
directly responsible for succession planning and management. The 
Succession and Workforce Development Management Subcommittee reports to 
the Human Resources Committee of the National Leadership Board, as 
illustrated in figure 1. VHA's Chief Executive Officer--the Department 
of Veterans Affairs' Undersecretary for Health--chairs the board, which 
consists of VISN directors, chief officers, and heads of offices.

Figure 1: VHA's Assigned Responsibility for Succession:

[See PDF for image]

[End of figure]

In addition, VHA has established (1) a workforce planner position to 
help coordinate and manage VHA workforce planning activities, and (2) a 
nurse workforce planner position to help respond to its nursing 
shortage and consult with the workforce planner on certain issues, such 
as regional-specific recruiting challenges and training. Also, this 
year, VHA seeks to establish a director of succession management, a 
senior executive-level position. According to a VHA human capital 
official, the new director's duties will include overseeing national 
coordination of VHA's succession activities.

At DOL, the Management Review Board, chaired by the Assistant Secretary 
for Administration and Management, is responsible for a variety of 
business issues, including human capital. The board is composed of top 
senior leaders from each of the agencies within DOL. According to DOL, 
the board's senior leaders helped garner support for departmentwide 
succession planning and management efforts. For example, the board 
recommended funding the development of departmentwide competencies 
required for mission-critical occupations.

The Census Bureau's Human Capital Management Council, consisting of 
representatives from each of the Census Bureau's directorates, reports 
to the Deputy Director of Census. According to Census Bureau human 
resource officials, the Council plays a key role in involving and 
advising top leadership on human capital issues. For example, the 
Council developed and presented a succession management plan that 
recommended, among other things, piloting job rotations and assignments 
to address mission-critical priorities and resources. In addition, 
according to a Census Bureau human resource official, the Council 
assesses various succession-related issues, such as recruiting and 
competency development for the Bureau's senior management. In turn, 
senior management recently tasked a Council representative to provide 
monthly updates on succession-related issues.

EPA's Human Resources Council, composed of senior leaders who are to 
advise the EPA Administrator on human capital issues, released EPA's 
"Strategy for Human Capital," a planning document outlining EPA's long- 
term human capital goals. The strategy names the offices responsible 
for leading each of its goals. For example, the Office of Human 
Resources, the Executive Resources Board, and human resources officers 
are to implement a strategy to "Ensure the Continuity of Leadership, 
Critical Expertise, and Agency Values through Succession Planning and 
Management/Executive Development." According to agency human capital 
officials, EPA's assistant and regional administrators and their senior 
managers are responsible for executing succession planning initiatives.

As a next step, federal agencies are to hold their senior executives 
accountable for human capital issues, thus explicitly aligning 
individual performance expectations with organizational goals. VHA and 
the Census Bureau specifically mention succession planning and 
management in their executives' performance plans. DOL and EPA senior 
executive performance expectations also include aspects of succession 
planning and management as part of more general human capital 
management responsibilities.

* At VHA, in their FY 2005 performance plans, chief officers and 
program officials are to assure that the regional strategic plans 
address workforce development, including a succession plan that 
projects workforce needs. A VHA official also stated that VHA is 
considering including specific succession-related performance measures, 
such as turnover rates for selected priority occupations, in applicable 
executive performance plans.

* The Census Bureau's FY 2005 executive performance plans state that 
each senior executive "effectively develops and executes plans to 
accomplish strategic goals and organizational objectives, setting clear 
priorities and acquiring, organizing, and leveraging available 
resources (human, financial, budget, etc.,) and succession planning to 
ensure timely delivery of high quality services and products in 
compliance with applicable laws, regulations and policies." Senior 
executives are also to demonstrate a planned approach to workforce 
development for managers and staff.

* At DOL, executives are to ensure that "staff are appropriately 
selected, utilized, appraised, and developed…" Executives are also to 
develop the talents of the staff and qualified candidates for positions 
in the organization, according to DOL's latest senior executive 
performance management plan, revised in 2004.

* EPA' s FY 2004 performance plan for senior executives states that 
executives should identify current and projected skill gaps and develop 
strategies for addressing these gaps. According to an EPA executive 
resource policy official, the FY 2005 senior executive performance plan 
is under revision, but the expectations concerning skill gaps will not 
change.

We have also reported that to demonstrate its support of succession 
planning and management, top leadership ensures that these programs 
receive sufficient financial and staff resources and are maintained 
over time.[Footnote 12] DOL uses a centrally managed "crosscut fund" to 
supplement its succession planning and management initiatives. 
Component agencies within DOL submit project proposals, which DOL 
evaluates against established criteria, such as supporting initiatives 
in the department's Human Capital Strategic Plan. According to DOL, 
from FY 2003-2004, the agency allocated about $6.1 million for 18 human 
capital projects, such as competency assessments for mission-critical 
occupations, and the Management Development Program, one of DOL's major 
succession development programs. The Census Bureau, EPA, and VHA 
allocate money to various programs, including succession efforts, 
intended to contribute to human capital goals, but detailed funding 
information was not readily available from the agencies.

Agencies Have Begun to Link Succession Efforts to Their Strategic Goals:

Leading organizations use succession planning and management as a 
strategic planning tool that focuses on current and future needs and 
develops pools of high-potential staff in order to meet the 
organization's mission over the long term. That is, succession planning 
and management is used to help the organization become what it needs to 
be, rather than simply to recreate the existing organization. We have 
previously reported on the importance of linking succession planning 
and management with the forward-looking process of strategic 
planning.[Footnote 13] Specifically, discussing how workforce 
knowledge, skills, and abilities will contribute to the achievement of 
strategic and annual performance goals, how significant gaps are 
identified, and what mitigating strategies are proposed (such as hiring 
and training) can show the connection between succession planning and 
strategic planning. All four agencies have begun to link their 
succession planning to their strategic goals.

We previously reported that EPA's human capital strategy lacked some 
key elements, including the linking of human capital objectives to 
strategic goals.[Footnote 14] Since then, EPA's current strategic plan 
recognizes that human capital management spans its 5 strategic goals 
and identifies specific workforce knowledge, skills, and abilities to 
achieve each goal. For example, as illustrated in figure 2, to achieve 
its goal for "Clean Air and Global Climate Change," EPA states that its 
workforce planning, hiring, and training activities will emphasize risk 
assessment, including environmental-risk modeling and monitoring, 
economic analysis, and standard setting, among other factors.

Figure 2: EPA's Strategic Goals and Associated Human Capital Focus:

[See PDF for image]

[End of figure]

Separately, the succession plan states that the agency faces a number 
of future challenges, such as global pollution, and identifies key 
drivers shaping the agency's future work, such as science and 
technology advancements, budget constraints, administration priorities, 
agricultural practices, public expectations, and the media's 
influences. To respond to these drivers, EPA states that its employees 
must have the capacity to build stronger working partnerships, increase 
on-site problem solving, and enhance internal and external 
communication practices.

As a component of VA, VHA recognizes VA's strategic objective to 
"recruit, develop and retain a competent, committed and diverse 
workforce that provides high quality service to veterans and their 
families" in its Workforce Succession Strategic Planning Guide. To 
achieve this objective, VHA identifies a number of strategic 
assumptions about the future of veterans' health care. For example, it 
states that health care delivery will become more patient centered, 
that patients will be seen based on need instead of a predetermined 
schedule, and the use of in-home and interactive technology will 
increase, along with noninstitutional long-term care. Although VHA 
states that technological advances will improve access and quality of 
care for veterans, it does not anticipate significant impacts on the 
need for health care professionals over the next 5 years, and expects 
to continue to compete for scarce health care professionals in certain 
occupations.

DOL states that to meet its strategic goal of ensuring a competitive 
21ST century workforce, it plans to identify skill gaps, assess 
training needs, and recruit new employees. For example, DOL plans to 
shift from a historical enforcement role to compliance assistance and 
consultation, requiring stronger skills in communication and analysis. 
DOL seeks to develop more skills in technology and project management 
as well as in strategic planning, quantitative analysis, and analytical 
thinking for a more "business-like" management approach. To attract and 
retain employees with such skills, DOL launched the MBA Fellows program 
in 2002, which it considers one of its major succession development 
programs. The 2-year developmental program includes rotational 
assignments, mentoring, and promotional opportunities for successful 
graduates. In FY 2004, DOL reported retaining 89 percent of its MBA 
Fellows after 2 years.

Among the Census Bureau's strategic goals is its unique requirement to 
conduct the Decennial Census. According to the agency strategic plan, 
the Bureau plans to reengineer the 2010 Census so that it "is cost- 
effective, provides more timely data, improves coverage accuracy, and 
reduces operational risk." The agency will accomplish this by 
collecting information on a yearly basis, enhancing address databases, 
using local geographic information, and undertaking operational tests 
of these new sources and methods. In its human capital plan, the Bureau 
acknowledges that reengineering the 2010 Census requires new skills in 
project, contract, and financial management; advanced programming and 
technology; and statistics, mathematics, economics, quantitative 
analysis, marketing, demography, and geography. To help obtain these 
skills, the Bureau has established training programs and developed 
competency guides. For example, it has instituted a Project Management 
Master's Certificate Program and an Information Technology Master's 
Certificate Program. All program managers now are to receive project 
management training.

Monitoring Mission-Critical Workforce Needs Helps Make Informed 
Succession Planning Decisions:

Leading organizations use succession planning and management to 
identify the talent required to achieve their goals. We have also 
identified key principles for effective workforce planning including 
determining the critical skills and competencies that will be needed to 
achieve current and future programmatic results; developing strategies 
that are tailored to address gaps in number, deployment, and alignment 
of human capital approaches for enabling and sustaining the 
contributions of all critical skills and competencies; and monitoring 
and evaluating the agency's progress toward its human capital goals and 
the contribution that human capital results have made toward achieving 
programmatic results.[Footnote 15]

VHA, EPA, and DOL have identified gaps in occupations or competencies 
in their mission-critical workforce to achieve their goals, have 
undertaken strategies to address these gaps, and plan to or are taking 
steps to monitor their progress. By doing so, they can make more 
informed planning decisions and help appropriately focus succession 
efforts. While the Census Bureau has identified and is recruiting for 
its mission-critical occupations, it could achieve similar benefits if 
it more closely monitors its mission-critical workforce as it plans for 
the 2010 Decennial Census.

VHA has identified 13 occupations it deems as national priorities for 
recruitment and retention, including registered nurses, physicians, and 
nuclear medicine technicians, among others. VHA uses a Web-based tool 
with a workforce strategic planning template to help project its needs 
in these mission-critical occupations. Each VISN completes a 
comprehensive and detailed regional workforce assessment that projects 
staffing needs for priority occupations for at least the next 5 years. 
These projections are based on anticipated resignations, retirements, 
other separations, and future mission needs. VHA's workforce planner 
considers these data when projecting national staffing needs. For 
example, as illustrated in figure 2, VHA anticipates hiring 3,403 
nurses in FY 2005 and 21,796 nurses from FY 2006 through FY 2011. This 
national projection includes, for example, the VISN 16 assessment that 
it will need from 220 to 238 nurses from FY 2005 to FY 2008.

Figure 3: VISN 16 Workforce Assessment and VHA's National Succession 
Plan:

[See PDF for image]

[End of figure]

VHA also monitors and reports changes in its mission-critical workforce 
based on these data. For example, VHA reports that it increased the 
total nurses it had on-board by 6.2 percent or 2,184 from FY 1999 to FY 
2004. VHA states that the succession programs implemented since 1999 
have helped it to meet these mission-critical needs and, therefore, it 
does not plan to implement additional programs.

We previously recommended that EPA comprehensively assess its workforce 
needs.[Footnote 16] Subsequently, EPA identified 18 priority 
occupations, including physical scientists, biologists, chemists, and 
attorneys. EPA projects each occupation's retirement, attrition, and 
accession rates based on historical averages. For example, EPA 
estimates that approximately 20 percent of the managers and supervisors 
in 10 of the 18 priority occupations will leave by 2008, mostly due to 
retirements. In addition, human capital officials stated that the 
agency's strategy has been on strengthening mission-critical 
competencies among their priority occupations. For example, EPA has 
identified 12 technical competencies, such as information management 
and sciences and biological sciences, and 12 cross-occupational 
competencies, such as teamwork and oral communication, that are 
essential for the agency to acquire, retain, or develop to accomplish 
its future mission. EPA plans to address emerging mission-critical 
competencies and gaps in priority occupations through recruitment and 
development. EPA also plans to update its 2004 strategic workforce 
planning effort on a cyclical basis to monitor progress in closing any 
gaps, but the agency did not indicate specific time frames for these 
updates.

DOL has identified 27 mission-critical occupations, such as 
investigators, workforce development specialists, and mining engineers 
as well as the skills needed for each occupation, which it specifies in 
competency models. For example, for criminal investigators, DOL 
identified skills such as external awareness and interpersonal 
communication in addition to the knowledge and conduct of 
investigations. DOL has also inventoried the skills of its on-board 
mission-critical workers through the department's mission-critical 
Skills Assessment Initiative. DOL reports that its component agencies 
are developing action plans to reduce or close skill gaps which DOL is 
incorporating into its human capital planning and reporting process.

In addition, DOL has developed performance measures that are designed 
to help it gauge its organizational capacity, as illustrated in figure 
4. For example, for FY 2004 DOL reported a 5 percent turnover rate of 
its mission-critical employees during their first year, meeting its 
goal of less than 10 percent. Likewise, DOL reported a 19.5 percent 
turnover rate during their first 3 years, meeting its goal of less than 
25 percent. In addition, DOL reported a 95.4 percent FTE utilization 
rate, the percentage of filled and authorized, full-time equivalent 
positions, for FY 2004, compared with a 98 percent goal.

Figure 4: Selected DOL Performance Measures Designed to Gauge 
Organizational Capacity:

[See PDF for image]

[End of figure]

The Census Bureau has identified its mission-critical occupations and 
is recruiting for statisticians, mathematical statisticians, 
information technology specialists, cartographers, and geographers on 
its employment Web site. According to an agency human capital official, 
the Census Bureau does not monitor or assess gaps in numbers by mission-
critical occupation, but focuses on "building infrastructure" by 
recruiting and developing competencies. The same official stated that 
the Bureau delegates decisions to line managers to fill vacancies, and 
thus there is no need to assess workers by mission-critical categories. 
To assist these managers, the Bureau reports that an electronic hiring 
system allows them to identify competencies for each vacancy, and that 
line managers engage in a continuing dialogue with senior managers, the 
Hiring Coordinators Group, and the Human Capital Management Council to 
address hiring needs. Nevertheless, while line managers are 
appropriately concerned with filling vacancies, as noted earlier, the 
Bureau has also acknowledged that reengineering the 2010 Decennial 
Census requires new competencies. By not monitoring its mission-
critical occupations more closely and at a higher level, Census may not 
know overall if it is acquiring the skills it needs to be prepared to 
conduct the 2010 Decennial Census as efficiently or effectively as 
possible.

Enhanced Coordination and Evaluation of Training and Development 
Programs Could Help Leverage Scarce Resources:

Effective training and development programs can enhance the federal 
government's ability to achieve results. Further, effective succession 
planning and management efforts identify talent from multiple 
organizational levels, early in their careers, or with critical skills 
as well as provide both formal training and opportunities for 
rotational, developmental, or "stretch" assignments, to strengthen high-
potential employees' skills and to broaden their experience and 
perspective.[Footnote 17] While all four agencies offer core succession 
training and development programs, they each can seek opportunities to 
achieve efficiencies through more coordination and sharing of these 
programs. In addition, establishing valid measures to better evaluate 
how these programs affect organizational capacity can give agency 
decision makers credible information to justify training and 
development programs' value.

Agency Succession Efforts Include Training and Development for 
Employees across Organizational Levels:

All four agencies offer programs to train and develop their entry-, 
middle-, and senior-level employees. These programs provide 
opportunities for formal training, and all but one program offers 
rotational or developmental assignments.[Footnote 18] Table 1 provides 
a summary of core succession training and development programs by 
agency.

Table 1: Agencies' Core Succession Training and Development Programs:

Program: Census Bureau (DOC Programs): Aspiring Leaders Development 
Program;
Level of training: Entry: x;
Level of training: Middle: x;
Level of training: Senior: [Empty].

Program: Census Bureau (DOC Programs): Executive Leadership Development 
Program;
Level of training: Entry: x;
Level of training: Middle: x;
Level of training: Senior: [Empty].

Program: Census Bureau (DOC Programs): SES Candidate Development 
Program;
Level of training: Entry: [Empty];
Level of training: Middle: [Empty];
Level of training: Senior: x.

Program: DOL: MBA Fellows Program;
Level of training: Entry: x;
Level of training: Middle: x;
Level of training: Senior: [Empty].

Program: DOL: Management Development Program;
Level of training: Entry: [Empty];
Level of training: Middle: x;
Level of training: Senior: [Empty].

Program: DOL: SES Candidate Development Program;
Level of training: Entry: [Empty];
Level of training: Middle: [Empty];
Level of training: Senior: x.

Program: EPA: EPA Intern Program;
Level of training: Entry: x;
Level of training: Middle: [Empty];
Level of training: Senior: [Empty].

Program: EPA: EPA Rotational Program;
Level of training: Entry: x;
Level of training: Middle: [Empty];
Level of training: Senior: [Empty].

Program: EPA: Mid-level Development Programs;
Level of training: Entry: x;
Level of training: Middle: x;
Level of training: Senior: [Empty].

Program: EPA: SES Candidate Development Program;
Level of training: Entry: [Empty];
Level of training: Middle: [Empty];
Level of training: Senior: x.

Program: VHA: Facility LEAD Program;
Level of training: Entry: x;
Level of training: Middle: [Empty];
Level of training: Senior: [Empty].

Program: VHA: VISN LEAD Program;
Level of training: Entry: [Empty];
Level of training: Middle: x;
Level of training: Senior: [Empty].

Program: VHA: Executive Career Field Candidate Development Program;
Level of training: Entry: [Empty];
Level of training: Middle: [Empty];
Level of training: Senior: x.

Source: Census Bureau, DOC, DOL, EPA, and VHA.

Note: Agency human capital officials identified these as their core 
succession training and development programs.

[End of table]

At the senior level, all four agencies have succession training and 
development programs intended to enhance leadership skills, primarily 
through SES candidate development programs. For example, EPA's SES 
Candidate Development Program--designed to prepare a cadre of leaders 
to fill future vacant executive positions in the agency and to maintain 
valuable institutional knowledge--requires candidates to complete an 
executive development plan and work with an SES mentor and executive 
coach to help define career goals and provide guidance. The program 
also requires participants to complete at least 80 hours of formal 
leadership development training, as well as complete a 4-month 
developmental assignment. DOL and VHA have similar programs in place. 
The Census Bureau, as a component of DOC, participates in DOC's SES 
Candidate Development Program.

The four agencies also have programs intended to develop the leadership 
and supervisory skills for middle-level managers. For example, VHA's 
program named "VISN LEAD" provides an opportunity for high-potential 
employees in field locations to receive coaching and mentoring, create 
a personal development plan, and join with special VISN-wide project 
task teams, while retaining their current responsibilities. EPA's Mid- 
level Development Programs, DOL's Management Development Program, and 
DOC's Executive Leadership Development Program--in which the Census 
Bureau participates--all offer similar opportunities.

At the entry level, all agencies have programs intended to develop 
employees and provide them with the foundation for future leadership. 
For example, DOL's MBA Fellows program requires participants to take a 
minimum of four rotational assignments and core training classes, 
complete a personal development plan, and work with a senior-level 
mentor, among other activities. Targeting recent MBA graduates, DOL 
established its program not only to address increased departmentwide 
needs for business and project-management skills, but also to create a 
cadre of future department leaders. EPA's Intern Program and Rotational 
Program, VHA's Facility LEAD Program, and DOC's Aspiring Leaders 
Development Program, in which the Census Bureau participates, are 
similar in nature.

According to agency human capital officials, other programs also 
contribute to their succession efforts. For example, the Census Bureau 
has established certificate programs in project management and 
leadership for all employees to develop and enhance these specific 
skills. The Bureau also has a mathematical statisticians program, 
which, according to the Deputy Director, provides career enhancement 
opportunities designed to help develop and retain employees in this 
critical occupation. Similarly, DOL has a Career Assistance Program 
that provides employees at all levels with career planning advice and 
other development assistance. In addition, the agencies use formal 
mentoring or coaching programs to help guide employees throughout their 
career.

Coordination and Sharing of Training and Development Programs Can 
Achieve Efficiencies:

As agencies implement their core succession training and development 
programs, they must plan and prepare for the possibility of significant 
and recurring constraints on their resources, in light of fiscal and 
budgetary constraints. Recognizing this, leading agencies look for 
opportunities to coordinate and share their efforts and create 
synergies through benchmarking with others, achieving economies of 
scale, limiting duplication of efforts, and enhancing the effectiveness 
of programs, among other things.[Footnote 19] An example of such a 
coordinated and shared training effort is the recent announcement of a 
new partnership by the Office of Federal Procurement Policy, Department 
of Defense, and the General Services Administration. The initiative is 
geared toward the civilian and defense acquisition workforces, and is 
intended to provide similar training and development opportunities for 
acquisition personnel across all three agencies with the goal of 
sharing best practices, among other things.

OPM has begun to serve as a bridge for agencies to seek opportunities 
to coordinate their succession training and development programs as it 
shifts its role from less of a rule maker and enforcer to more of a 
strategic partner in leading and supporting agencies' human capital 
management. For example, OPM established a governmentwide Federal 
Candidate Development Program (Fed CDP). OPM expects the 14-month 
program to help agencies meet their SES succession planning goals and 
contribute to the government's efforts to create a high-quality SES 
leadership corps. Participating agencies may select, without further 
competition, people who have successfully completed the Fed CDP 
training program. In addition, we have testified that approaches to 
interagency collaboration, such as the CHCO Council, have emerged as an 
important central leadership strategy:

and that agency collaboration can serve to institutionalize many 
management policies governmentwide.[Footnote 20] The Leadership and 
Succession Planning Subcommittee of the CHCO Council is charged with 
reviewing leadership development, among other things, and is a possible 
mechanism to help agencies coordinate succession training and 
development programs.

While some agencies' human capital officials acknowledged the potential 
benefits of coordinating succession training and development programs 
with other agencies or departments, they all could do more to seek 
coordination and sharing opportunities. Cognizant human capital and 
training officials stated that they had not actively sought 
opportunities to coordinate core succession training and development 
programs. Although EPA plans to select one senior executive through the 
Fed CDP, human capital officials stated they had not extensively 
explored the idea of coordinating with other agencies for their core 
succession training and development. VHA human capital officials said 
they did not coordinate further because they have specialized skill 
needs. DOL and Census Bureau human capital managers also stated that 
they had not partnered with other outside agencies to coordinate their 
core succession training and development programs. By not actively 
seeking to coordinate and share core succession training and 
development programs, agencies may miss a potentially valuable 
opportunity to gain efficiency, which may be especially important in 
the current budget environment.

Performance Measures Can Help Agencies Assess Programs' Effects on 
Organizational Capacity:

Decision makers need credible information to justify training and 
development programs' value. We have also reported that agencies need 
credible information to assess how their training and development 
programs affect organizational performance and enhance organizational 
capacity.[Footnote 21] We have observed in our guide for assessing 
strategic training and development that while not all training and 
development programs require, or are suitable for, higher levels of 
evaluation, establishing valid performance measures can ensure that 
agencies adequately address their development objectives. Moreover, our 
guide states that such measures should go beyond input and output data, 
and can include data on quality, costs, and time. We also recognize, 
however, that agencies need to scale their efforts depending on the 
program. Factors to consider when deciding on the appropriate level of 
evaluation include the estimated costs of training efforts, size of 
training audience, and program visibility, among other things.

All four agencies are able to report on participation and cost related 
to their succession training and development programs. For example, 12 
Census Bureau employees participated in DOC's Aspiring Leaders 
Development Program in FY 2004, with an average cost of $6,267 per 
participant, according to the Bureau. In addition, the Census Bureau 
and DOL have also identified outcome measures related to the 
performance of some of their succession-related training and 
development programs. For example, the Census Bureau evaluates, among 
other things, the extent to which certified project managers are using 
the skills they have learned in the Project Management Masters 
Certificate Program. Only DOL has identified measures intended to 
provide an understanding of core succession training and development 
programs' effects on organizational capacity. Figure 5 illustrates a 
selection of these measures.

Figure 5: Selected DOL Human Capital Measures Related to Succession 
Planning and Management:

[See PDF for image]

[A] Promoted to date. Candidates are eligible for promotion through 
February 2006. 
[B] Currently retained after 2 years.

[End of figure]

For example, by considering the retention rate for MBA Fellows, DOL can 
make informed planning decisions about the potential availability of 
certain skill sets in the department as well as when to initiate a new 
program and how many students to include in it. DOL reported that in FY 
2004, it retained 89 percent of its MBA fellows after 2 years and has a 
goal of 75 percent after 3 years. DOL also tracks SES "bench strength," 
a ratio of senior executives who are in training or have completed 
training to those projected to leave. DOL reported a 96 percent "bench 
strength" for its senior executives in FY 2004, exceeding its goal of 
70 percent. The Census Bureau, VHA, and EPA could better demonstrate 
their programs' value in providing future talent by identifying outcome-
oriented measures and evaluating the extent to which these programs 
enhance their organizations' capacity.

Agencies Use Succession Efforts to Enhance Workforce Diversity:

Leading organizations recognize that diversity, ways in which people in 
a workforce are similar and different from one another, is an 
organizational strength and that succession planning is a leading 
diversity management practice.[Footnote 22] Given the retirement 
projections for the federal government that could create vacancies, 
agencies can use succession planning and management as a critical tool 
in their efforts to enhance diversity in their leadership positions. 
All of the selected agencies have recognized the importance of 
diversity to a successful workforce and use succession planning and 
management efforts to enhance their workforce diversity.

VA requires all of its administrative staff offices to produce 
workforce and succession plans aligned with overall VA strategic 
planning. VHA states that although its overall workforce is fairly 
diverse, women and minorities are not well represented in leadership 
positions nor are they well represented in the pipeline to such 
positions. We have reported that VHA has integrated diversity planning 
into its succession efforts.[Footnote 23] As part of their regional 
succession plans, VISNs submit diversity information to VHA for 
national planning. VHA then analyzes the diversity of its top-priority 
occupations, highlights underrepresentation of certain demographic 
groups in specific mission-critical occupations, and provides guidance 
to focus recruiting efforts to enhance diversity. For example, VHA 
states that White females and American Indian/Alaskan Native females 
are underrepresented in the nurse occupation and advises that 
recruitment efforts should focus on them. In addition, VHA tracks 
applicant diversity for the Executive Career Field Candidate 
Development Program, one of:

VHA's core succession training and development programs, and reports 
that applicants to this program are drawn from a diverse pool.

EPA has stated in its human capital plan that a diverse workforce makes 
the agency a more effective and healthy organization that is better 
able to relate to the American people and develop more creative and 
workable solutions. EPA credits its Intern Program, one of its core 
succession training and development programs, with attracting and 
retaining a diverse group of employees based on a 2003 assessment of 
the program. For example, the assessment found that EPA interns were 
more ethnically diverse than other comparable groups of hires. As part 
of its diversity action plan, EPA reports that it is expanding targeted 
recruitment initiatives to identify well-qualified candidates for 
mission-critical occupations. In addition, regional offices report 
succession-related efforts intended to enhance diversity initiatives, 
such as mentoring, leadership, and career development programs, and 
workforce demographic analyses, among other activities.

DOL identifies a strategic initiative to enhance diversity in 
management and mission-critical occupations in its human capital plan. 
To help it achieve this initiative, DOL monitors and evaluates 
diversity information for its mission-critical occupations annually, 
and has identified "pockets of low participation" for certain minority 
groups, such as Hispanics. In addition, DOL has reported a higher 
percentage of women and Hispanics in its three core succession training 
and development programs than in its general workforce.

The Census Bureau has established a diversity program office to manage 
the Bureau's diversity efforts. Bureau officials stated that because of 
the highly specialized nature of the Bureau's work, such as the use of 
statistics and mathematics, and the relatively small pool of people 
trained in these areas, it is difficult to enhance diversity in several 
critical occupation categories. As part of its combined diversity and 
recruiting initiative, the Bureau has established a specific recruiting 
team for mathematical statisticians, one of its highlighted mission- 
critical occupations. The Bureau also has various targeted recruiting 
efforts at academic institutions and community organizations with high 
Hispanic and other minority enrollment, and various Hispanic or Latino 
Chambers of Commerce.

Conclusions:

The Census Bureau, DOL, EPA, and VHA have all implemented succession 
planning and management efforts that collectively are intended to 
strengthen organizational capacity. Generally, these efforts receive 
top leadership support, link with strategic planning, identify critical 
skills gaps and strategies to fill them, offer training and development 
programs for high-potential employees, and enhance diversity. 
Nevertheless, given the nation's large current budget deficit and long- 
range fiscal imbalance, Congress is likely to place increasing emphasis 
on agencies to exercise fiscal restraint.

Given this environment, these agencies can look for opportunities to 
coordinate and share their succession training and development programs 
to achieve economies of scale, limit duplication of efforts, increase 
efficiency, and enhance the effectiveness of their programs. For 
example, all four agencies emphasize rotational or developmental 
assignments and formal training, and they may have opportunities to 
coordinate and share these assignments and training with each other or 
other federal agencies or departments. Agencies can also work with OPM 
and the CHCO Council to determine how they can better leverage other 
agencies' succession training and development programs.

Furthermore, it is increasingly important for agencies to evaluate 
their training and development programs to be able to demonstrate how 
these efforts enhance organizational capacity. While the Census Bureau, 
EPA, and VHA have some information on their succession training and 
development programs, such as participation and cost, they can take 
additional steps, such as enhanced evaluations, to justify these 
programs' value. DOL has identified measures intended to provide an 
understanding of these programs' effects on organizational capacity.

Finally, although the Census Bureau has identified and is recruiting 
for its mission-critical occupations, it can better monitor its mission-
critical workforce. By not monitoring more closely and at a higher 
level than line managers, the Bureau may not know how to best focus its 
succession planning efforts, and ultimately how well it is prepared for 
major tasks, such as the 2010 Decennial Census.

Recommendations for Executive Action:

To help agencies reinforce their succession planning and management 
efforts, and make well informed planning decisions, we recommend a 
number of actions.

The Secretary of Commerce should ensure that the Director of Census 
takes the following three actions:

* Strengthen the monitoring of its mission-critical workforce by 
identifying mission-critical workforce gaps, developing strategies to 
address gaps, evaluating progress toward closing gaps, and adjusting 
strategies accordingly.

* Seek appropriate opportunities to coordinate and share core 
succession training and development programs with other outside 
agencies to achieve economies of scale, limit duplication of efforts, 
benchmark with high-performing agencies, keep abreast of current 
practices, enhance efficiency, and increase the effectiveness of its 
programs.

* Evaluate core succession training and development programs to assess 
the extent to which programs contribute to enhancing organizational 
capacity. When deciding the appropriate analytical approach and level 
of evaluation, the Bureau should consider factors such as estimated 
costs of training efforts, size of training audience, and program 
visibility, among other things.

The Administrator of EPA should take the following two actions:

* Seek appropriate opportunities to coordinate and share core 
succession training and development programs with other outside 
agencies to achieve economies of scale, limit duplication of efforts, 
benchmark with high-performing agencies, keep abreast of current 
practices, enhance efficiency, and increase the effectiveness of its 
programs.

* Evaluate core succession training and development programs to assess 
the extent to which programs contribute to enhancing organizational 
capacity. When deciding the appropriate analytical approach and level 
of evaluation, EPA should consider factors such as estimated costs of 
training efforts, size of training audience, and program visibility, 
among other things.

The Secretary of Labor should take the following action:

* Seek appropriate opportunities to coordinate and share core 
succession training and development programs with other outside 
agencies to achieve economies of scale, limit duplication of efforts, 
benchmark with high-performing agencies, keep abreast of current 
practices, enhance efficiency, and increase the effectiveness of its 
programs.

The Secretary of VA should take the following two actions:

* Seek appropriate opportunities to coordinate and share core 
succession training and development programs with other outside 
agencies to achieve economies of scale, limit duplication of efforts, 
benchmark with high-performing agencies, keep abreast of current 
practices, enhance efficiency, and increase the effectiveness of its 
programs.

* Evaluate core succession training and development programs to assess 
the extent to which programs contribute to enhancing organizational 
capacity. When deciding the appropriate analytical approach and level 
of evaluation, VHA should consider factors such as estimated costs of 
training efforts, size of training audience, and program visibility, 
among other things.

Agency Comments and Our Evaluation:

We provided a draft of this report to the Secretaries of Commerce, 
Labor, and VA and the Administrator of EPA for their review and 
comment. In addition, we provided a draft of this report to the Acting 
Director of OPM and the CHCO Council's Leadership and Succession 
Planning Subcommittee for their information.

VA agreed with our findings and recommendations. In response to our 
recommendation to seek opportunities to coordinate and share core 
succession training and development programs, VA suggested that OPM 
could act as a "clearinghouse" by gathering and publishing curricula 
and other relevant training information from agencies, thus enabling 
agencies to identify existing training programs across the government. 
We present VA's written comments in appendix II. DOC and the Census 
Bureau agreed with our findings and our recommendations to seek 
opportunities to coordinate core succession training and development 
programs and to evaluate the extent to which these programs enhance 
organizational capacity. In response to our recommendation to 
strengthen the monitoring of its mission-critical workforce, the Census 
Bureau stated that its existing approach is effective in meeting its 
needs. However, as we discussed earlier, the Census Bureau acknowledges 
that reengineering the 2010 Decennial Census requires new competencies. 
By not strengthening the monitoring of its mission-critical workforce, 
the Census is at increased risk that it will not have the skills it 
needs to be prepared to conduct the 2010 Census as efficiently or 
effectively as possible. For example, a lesson from the 2000 Census was 
that while contracts for various projects supported decennial census 
operations, they did so in many instances at a higher cost than 
necessary because the Census Bureau did not have sufficient contracting 
and program staff with the training and experience to manage 
them.[Footnote 24] We present DOC's and the Census Bureau's written 
comments in appendix III. DOL did not take issue with our findings, 
stated that it will consider our recommendations, and provided 
technical comments, which we incorporated as appropriate. EPA did not 
comment on our recommendations, but provided a technical comment, which 
we incorporated.

As agreed with your offices, unless you publicly announce its contents 
earlier, we plan no further distribution of this report until 30 days 
after its date. At that time, we will provide copies of this report to 
other interested congressional parties; the Secretaries of Commerce, 
Labor, and VA; the Administrator of EPA; the Director of Census; the 
Acting Director of OPM; and the CHCO Council's Leadership and 
Succession Planning Subcommittee. We will also make this report 
available at no charge on the GAO Web site at [Hyperlink, http://www.gao.gov].

If you or your staff have any questions about this report, please 
contact me on (202) 512-6806 or at [Hyperlink, larencee@gao.gov]. 
Contact points for our Offices of Congressional Relations and Public 
Affairs may be found on the last page of this report. GAO staff who 
made major contributions to this report are listed in appendix IV.

Signed by:
Eileen Larence:
Director, Strategic Issues:

[End of section]

Appendixes:

Appendix I: Objectives, Scope, and Methodology:

To review how federal agencies are implementing succession planning and 
management efforts, we selected the Department of Labor (DOL), the 
Veterans Health Administration (VHA), the Environmental Protection 
Agency (EPA), and the Census Bureau for our review. We considered the 
nature of their succession challenges, agency missions, and prior GAO 
human capital work conducted at these agencies. These agencies 
represent an array of organizational structures, missions, and 
succession challenges.

We analyzed strategic, human capital, workforce, succession, and 
training and development plans, performance contracts, human capital 
team charters, and diversity information from the selected agencies. In 
addition, we reviewed policies and guidance on succession-related 
issues from the Office of Personnel Management (OPM), the Equal 
Employment Opportunity Commission (EEOC), and the Merit Systems 
Protection Board (MSPB) because of their responsibilities for ensuring 
the fair application of personnel decisions, such as selection for 
training and development programs. We also interviewed agency, OPM, 
EEOC, and MSPB officials involved with strategic, human capital, and 
succession planning and management.

The scope of our work did not include independent evaluation or 
verification of the effectiveness of the succession planning and 
management initiatives used in the four agencies, including any 
performance results that agencies attributed to specific practices or 
aspects of their programs. We assessed the reliability of staffing and 
projection data provided to us by the Census Bureau, DOL, EPA, VHA, and 
OPM to ensure the data we used in this report were complete and 
accurate by (1) interviewing agency officials knowledgeable about the 
data and (2) performing manual and electronic testing, when applicable. 
We determined that these data were sufficiently reliable for the 
purposes of this engagement.

To get the varied perspectives of agencies' staff located in 
headquarters and regional offices, we interviewed agency officials in 
Washington, D.C; Charlotte, North Carolina; and Los Angeles and San 
Francisco, California. We conducted our study from June 2004 through 
April 2005.

[End of section]

Appendix II: Comments from the Department of Veterans Affairs:

The Deputy Secretary Of Veterans Affairs:
Washington:
June 13, 2005:

Ms. Eileen Larence:
Director:
Strategic Issues:
U. S. Government Accountability Office:
441 G Street, NW:
Washington, DC 20548:

Dear Ms. Larence:

The Department of Veterans Affairs (VA) has reviewed the Government 
Accountability Office's (GAO) draft report, HUMAN CAPITAL: Selected 
Agencies Have Opportunities to Enhance Existing Succession Planning and 
Management Efforts, (GAO-05-585). The Department agrees with GAO's 
overall conclusions and concurs with the recommendations. The 
enclosures provide additional discussion on the recommendations.

VA appreciates the opportunity to comment on your draft report.

Sincerely yours,

Signed by:
Gordon H.Mansfield

Enclosure:

The Department Of Veterans Affairs (Va) Comments To Government 
Accountability Office (GAO) Draft Report:
Human Capital: Selected Agencies Have Opportunities to Enhance Existing 
Succession Planning and Management Efforts (GAO-05-585):

* To help agencies reinforce their succession planning and management 
efforts, and make well informed planning decisions, we recommend a 
number of actions. Specifically, the Secretary of VA should take the 
following actions:

Seek appropriate opportunities to coordinate and share core succession 
training and development programs with other outside agencies to 
achieve economies of scale, limit duplication of efforts, benchmark 
with high-performing agencies, keep abreast of current practices, 
enhance efficiency, and increase the effectiveness of its programs.

Concur-The Department of Veterans Affairs (VA) agrees with GAO's 
underlying rationale that improved coordination among and between 
federal agencies would strengthen training programs across the federal 
sector. As an alternative means of implementation, the Department 
suggests that the Office of Personnel Management (OPM) serve as a 
clearinghouse for information sharing. For example, VA could provide 
information to OPM on the target audience, a description of its 
training programs, and the curricula. OPM, in turn, would publicize 
such information, allowing other agencies to pick and choose best 
practices for adoption into their own organizations. This would 
maximize each agency's ability to identify existing training programs 
throughout the government that might provide targeted training content 
for occupational, professional, technical or supervisory skills, and 
would achieve the objectives contemplated in the recommendation 
efficiently and effectively.

Evaluate core succession training and development programs to assess 
the extent to which programs contribute to enhancing organizational 
capacity. When deciding the appropriate analytical approach and level 
of evaluation, VHA should consider factors such as estimated costs of 
training efforts, size of training audience, and program visibility, 
among other things.

Concur-In January 2005, the Veterans Health Administration (VHA) 
established a method for evaluating its succession planning and 
leadership development programs. A detailed action plan describing this 
evaluation process, as well as other actions being taken to implement 
the recommendation, is included as an enclosure to this response.

Veterans Health Administration (VHA) Action Plan:

GAO Draft Report: Human Capital: Selected Agencies Have Opportunities 
to Enhance Existing Succession Planning and Management Efforts, (GAO- 
05-585):

Recommended Improvement Action(s): The Secretary of VA should take the 
following action to evaluate core succession training and development 
programs to assess the extent to which programs contribute to enhancing 
organizational capacity. When deciding the appropriate analytical 
approach and level of evaluation, VHA should consider factors such as 
estimated costs of training, size of training audience, and program 
visibility, among other things.

Concur:

Goal: To ensure VHA's succession training and development plans enhance 
the organization's ability to face current and future organization 
challenges.

Strategy:

Detailed information concerning VHA's workforce planning efforts, 
including the VHA succession strategic planning guidance and Veterans 
Integrated Service Network (VISN) plans for 2006-2010, and the VHA 2005-
2009 workforce succession strategic plans is available to the 
Department of Veterans Affairs (VA) entities on the VHA Succession 
Planning Web Site. Enhancements to this website are continually being 
made and information is updated on an ongoing basis. VHA's three major 
succession training and development programs are: the Executive Career 
Field (ECF) Development program, the VISN Leadership Effectiveness 
Accountability and Development (LEAD) program, and the facility LEAD 
program.

In May 2005, VHA's National Leadership Board (NLB) began reviewing the 
fiscal year (FY) cost proposals and mid-year status of the national 
programs on a bi-annual basis. These are reported to NLB by the VHA 
Succession and Workforce Development Management Subcommittee through 
the VHA Human Resource Committee (HRC). Also in May 2005, VHA initiated 
bi-annual reviews of the participant size and scope, based on 
retirement and other losses. The findings are also reported to NLB by 
the VHA Succession and Workforce Development Management Subcommittee 
through VHA HRC.

The ECF Candidate Development program uses the eight VHA core High 
Performance Development Model (HPDM) competencies as a framework for 
VHA to develop a highly skilled, customer-centered workforce. Research 
was implemented in January 2005 by the Management Support Office in 
collaboration with the VHA Center for Organization Leadership and 
Management Research (COLMR) to establish criteria to evaluate the 
mentoring and precepting process of the candidate's development program 
(CDP). The research will be completed in the summer of 2005 and 
presented to the VHA Succession and Workforce Development Management 
Subcommittee and forwarded on to HRC and NLB for feedback and approval.

The Management Support Office and COLMR are also researching the ECF 
CDP rating and selection process (to validate the selection process), 
the ECF CDP's acceptance to the program with the HPDM 360 degree 
assessment of their critical core competencies/critical skills set, and 
the effects of ECF CDP on their manager's evaluation, their career 
advancement and turnover rates. Results of this research will be 
completed in summer 2006, although elements of it will be completed 
sooner. The results will be forwarded to the NLB for feedback and 
approval prior to implementation. When possible, research findings 
associated with the VHA leadership Development and Succession Planning 
program will be published.

The VISN LEAD program is based on six key elements designed to 
establish criteria for a successful leadership development program that 
will develop leaders and meet VHA's organizational goals for succession 
and diversity. The criteria were defined by the VHA LEAD steering 
committee that consists of all the VISN education coordinators. Annual 
assessment against these criteria served as a national performance 
measure for each VISN in FY 2004 and FY 2005 and will continue. Status 
and progress of the program is reported to the VHA Succession & 
Workforce Development Subcommittee by the VHA LEAD steering committee 
and Management Support Office. Attached are the criteria VISNs are 
measured on for the performance measure (Attachment A). A report 
summarizing findings of the LEAD assessment goes to the VHA Succession 
& Workforce Development Subcommittee. The VHA LEAD Steering Committee 
holds quarterly meetings to coordinate and share training information 
and programs. Since the establishment of this committee in 2004, VISNs 
across the system have partnered in the management of leadership 
development and this is ongoing. Participants in VISN LEAD programs are 
entered into the VHA Leadership and Workforce Development database for 
succession planning purposes.

The VHA LEAD Steering Committee also oversees the guidance and 
monitoring of the facility level LEAD programs. Status and progress is 
reported by the VHA LEAD Steering committee and Management Support 
Office to the VHA Succession & Workforce Development Subcommittee. An 
annual national performance measure for the facility level LEAD will be 
established for the FY 2006 performance cycle. Similar criteria as 
those used in the VISN LEAD program are being developed and are 
expected to be ready for use in the FY 2006 performance cycle. Sharing 
of information across the system concerning this program is already 
ongoing. Participants in facility LEAD programs will be entered into 
the VHA Leadership and Workforce Development Database for succession 
planning purposes.

Attachment A: Lead Program Certification:

[See PDF for Image]

Footnote:

The ECF application is structured on VHA's HPDM eight core competencies 
and requires applicants to describe their experience in a performance- 
based interviewing (PBI) format. It also includes a history of 
educational and work experience. Applications require management 
endorsement and are rated and ranked by a diverse panel of VHA senior 
executives. All applicants receive timely feedback on their application 
including areas of improvement.

[End of table]

[End of section]

Appendix III: Comments from the Department of Commerce:

The Deputy Secretary Of Commerce:
Washington, D.C. 20230:
June 7, 2005:

Ms. Eileen Larence:
Director:
Strategic Issues:
U.S. Government Accountability Office:
Washington, DC 20548:

Dear Ms. Larence:

The U.S. Department of Commerce appreciates the opportunity to comment 
on the Government Accountability Office draft report entitled Human 
Capita/: Selected Agencies Have Opportunities to Enhance Existing 
Succession Planning and Management Efforts (GAO-05-585).

I enclose the Department of Commerce's comments on this report.

Sincerely,
Signed by:
David A. Sampson:
(Acting Deputy Secretary)

Enclosure:

U.S. Department of Commerce Comments on Government Accountability 
Office Draft Report, Human Capital. Selected Agencies Have 
Opportunities to Enhance Existing Succession Planning and Management 
Efforts (GAO-05-585):

The U.S. Department of Commerce thanks the Government Accountability 
Office for the opportunity to review the draft report, Human Capital. 
Selected Agencies Have Opportunities to Enhance Existing Succession 
Planning and Management Efforts (GAO-05-585). This report discusses an 
important issue of concern to the Census Bureau --human capital 
management and in particular succession management.

General Comments:

Since 2000, the U.S. Census Bureau has carefully studied and improved 
its approaches to succession management. The report highlights some of 
the critical succession management practices the Census Bureau is 
employing. These, as well as other key practices, need to be seen 
within the broader context of the Census Bureau's succession management 
framework. Understanding this framework is important because it is the 
diversity and adaptability of approaches as a whole, rather than 
individual techniques, that have been the key to the Census Bureau's 
success in planning and meeting succession challenges.

The Census Bureau has created a matrix of broad succession planning 
practices that is used to structure succession management efforts, 
disseminate best practices across the organization, and provide a point 
of reference for gauging progress in succession management practices. 
The matrix consists of 13 categories: (1) setting strategic goals; (2) 
collecting and analyzing work force data; (3) assessing employees for 
management and leadership; (4) orienting new employees at junior, mid- 
and senior levels; (5) mentoring; (6) continuous career-long learning 
based on individual development plans; (7) rotational assignments; (8) 
stretch assignments; (9) formal and informal training (particularly in 
terms of technical and core competencies); (10) formal management and 
leadership development programs integrated with on-the-job training; 
(11) individual development plans and critical performance elements; 
(12) use of management flexibilities; and (13) knowledge management, 
including the use of transition positions to allow for overlapping 
periods of transition for critical retirements.

The Census Bureau refined its recruitment, development, training, and 
human capital management programs to support a strategic approach to 
succession management. These refinements included different approaches 
to meet the varied succession challenges relating to senior management, 
mathematical statisticians, information technology specialists, and 
other mission-critical job categories.

Succession management programs are critical for senior executives and 
other key staff who, as the federal civil service continues to age, are 
projected to retire in large numbers. The Census Bureau's strategy for 
succession, particularly for key staff, focuses on building a solid 
pool of candidates from which to select. This strategy also focuses on 
building external relationships and outreach to attract diverse and 
well-qualified applicants. The Census Bureau recognizes the constraints 
placed on agencies and bureaus by not knowing when people will actually 
retire and the inability to preselect successors. The individuals 
themselves cannot commit to a certain retirement date very far in 
advance of actual retirement. Personal circumstances change and with 
them, retirement decisions. Unlike private sector positions, the merit 
system limits the designation of an "heir apparent" as a tool for 
making smoother leadership transitions.

For mathematical statisticians, the pool of highly qualified applicants 
in the marketplace is diminishing. The report mentions one tool used by 
the Census Bureau to address this issue, which is the mathematical 
statisticians recruiting team. The recruiting team is part of the 
Methodology and Standards Council which, in addition to recruiting, 
leads the management and development of critical technical and 
leadership talent for mathematical statisticians across the entire 
organization. The efforts of the Council in building recruiting 
relationships; attracting candidates; and then selecting, developing, 
and retaining leading professionals, are critical and could serve as a 
useful model for other bureaus or agencies facing similar challenges 
for highly technical professionals.

The field of information technology changes rapidly and affects the 
competencies and work methods that are needed. To meet this challenge, 
the Census Bureau uses a strategy of hiring and developing 
professionals and complementing the capabilities of that work force by 
acquiring specialized skills and expertise through contracts. 
Contracting is used in areas where it has been determined, after an 
assessment of internal resources and capabilities, to be more effective 
than developing in-house talent. On a much broader scale, the Census 
Bureau is making the most extensive use of contracting in its history 
for the 2010 Census. The Census Bureau is contracting for data capture 
and processing services, geographic systems and support, as well as 
support for field automation systems. Collectively, these are very 
large contracts that represent strategic decisions to `buy' rather than 
`build.':

Specific Comments On The Report's Text And Recommendations:

P. 15, para. 2 "According to an agency human capital official,."

The Census Bureau's strategy for ensuring its mission-critical 
capabilities is an anticipatory one. As the report correctly states, it 
focuses on building infrastructure by recruiting and developing 
competencies.

The "delegation of line managers to fill vacancies" refers to the 
ability of managers to use a proven electronic hiring system that 
allows them to identify and request a unique blend of competencies for 
each vacancy. This approach allows the organization to continuously 
update the competencies it seeks and select staff for competencies that 
match emerging, as well as established, needs. Front-line managers are 
engaged in a continuing dialogue with senior managers and 
interdirectorate councils (e.g., Hiring Coordinators Group and Human 
Capital Management Council) to identify, plan for, and address skill 
and competency needs at all organizational levels. The line managers 
use the flexibility and precision of the hiring system (and the robust 
pool of applicants who have been recruited) to address both their 
specific hiring needs, as well as select for competencies that are of 
increasing importance to the Census Bureau as a whole.

The report recommends that the Secretary of Commerce should ensure that 
the Director of the Census take three actions. The Census Bureau's 
comments on each of these recommendations follow.

Recommendation I--"Strengthen the monitoring of its mission critical 
workforce by identifying mission critical workforce gaps, developing 
strategies to address gaps, evaluating progress toward closing gaps, 
and adjusting strategies accordingly."

The Census Bureau agrees that monitoring and assuring the necessary 
competencies of its mission-critical work force is essential and 
requires close and continuing attention. The Census Bureau has found 
that its existing approach to succession management is effective in 
meeting mission-critical requirements. The practices described in the 
general comments section above are designed to anticipate skill needs 
and ensure that those needs are met through diverse and flexible 
approaches. Contracting is also used strategically to meet mission- 
critical objectives. The Census Bureau has found that its present 
methods of assessing and ensuring appropriate levels of critical work 
force capabilities are more efficient and effective than attempting to 
categorize and quantify `gaps' within mission-critical occupations.

Recommendation 2--`Seek appropriate opportunities to coordinate and 
share core succession training and development programs with other 
outside agencies to achieve economies of scale, limit duplication of 
efforts, benchmark with high-performing agencies, keep abreast of 
current practices, enhance efficiency, and increase the effectiveness 
of its programs."

The Census Bureau agrees with this recommendation. As described in the 
report, the Census Bureau takes advantage of opportunities to partner 
and participate in succession development programs with its parent 
organization, the Department of Commerce. The Census Bureau will 
continue to explore opportunities to join with other bureaus and 
agencies in designing and conducting cost-effective training and 
development programs.

Recommendation 3--"Evaluate core succession training and development 
programs to assess the extent to which programs contribute to enhancing 
organizational capacity. When deciding the appropriate analytical 
approach and level of evaluation, the Bureau should consider factors 
such as estimated costs of training efforts, size of training audience, 
and program visibility, among other things."

The Census Bureau agrees with this recommendation. While, as the report 
notes, the Census Bureau tracks training and development program 
participation rates, costs, and outcome measures, a more comprehensive 
approach to evaluations is being planned. The Census Bureau has aligned 
its Planning and Evaluation Branch, along with its Work Force 
Development Branch, under the direction of a single Assistant Division 
Chief in its Human Resources Division. The report's recommendation 
reinforces the importance of these organizations working closely 
together to increase the efficiency and effectiveness of the Census 
Bureau's training and development programs.

[End of section]

Appendix IV: GAO Contact and Staff Acknowledgments:

GAO Contact:

Eileen Larence (202) 512-6806:

Acknowledgments:

In addition to the contact named above, Lisa Shames, Naved Qureshi, 
Peter Rumble, Jennifer Cooke, Erin Murello, and Elena Lipson made key 
contributions to this report.

(450332):

FOOTNOTES

[1] GAO, 21ST Century Challenges: Reexamining the Base of the Federal 
Government, GAO-05-325SP (Washington, D.C.: February 2005).

[2] GAO, High-Risk Series: An Update, GAO-05-207 (Washington, D.C.: 
January 2005).

[3] 5 U.S.C. §4121.

[4] 5 U.S.C. §1401.

[5] GAO, Human Capital: Insights for U.S. Agencies from Other 
Countries' Succession Planning and Management Initiatives, GAO-03-914 
(Washington, D.C.: Sept. 15, 2003).

[6] For more information on transformation, see GAO, Forum: High- 
Performing Organizations: Metrics, Means, and Mechanisms for Achieving 
High Performance in the 21ST Century Public Management Environment, GAO-
04-343SP (Washington, D.C.: Feb. 13, 2004).

[7] GAO, Results-Oriented Cultures: Insights for U.S. Agencies from 
Other Countries' Performance Management Initiatives, GAO-02-862 
(Washington, D.C.: Aug. 2, 2002).

[8] GAO-03-914.

[9] GAO, Management Reform: Elements of Successful Improvement 
Initiatives, GAO/T-GGD-00-26 (Washington, D.C.: Oct. 15, 1999).

[10] GAO-03-914.

[11] GAO, Results-Oriented Cultures: Using Balanced Expectations to 
Manage Senior Executive Performance, GAO-02-966 (Washington, D.C.: 
Sept. 27, 2002).

[12] GAO-03-914.

[13] GAO, Human Capital: A Self-Assessment Checklist for Agency 
Leaders, GAO/OCG-00-14G (Washington, D.C.: September 2000).

[14] GAO, Human Capital: Implementing an Effective Workforce Strategy 
Would Help EPA to Achieve Its Strategic Goals, GAO-01-812 (Washington, 
D.C.: July 31, 2001).

[15] GAO, Human Capital: Key Principles for Effective Strategic 
Workforce Planning, GAO-04-39 (Washington, D.C.: Dec. 11, 2003).

[16] GAO-01-812.

[17] GAO-03-914.

[18] EPA's Mid-level Development Programs do not offer formal 
rotational assignments but rotations are available to all employees.

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

[20] GAO, Human Capital: Observations on Agencies' Implementation of 
the Chief Human Capital Officers Act, GAO-04-800T (Washington, D.C.: 
May 18, 2004) and Posthearing Questions Related to Agencies' 
Implementation of the Chief Human Capital Officers (CHCO) Act, GAO-04- 
897R (Washington, D.C.: June 18, 2004).

[21] GAO-04-546G.

[22] GAO, Diversity Management: Expert-Identified Leading Practices and 
Agency Examples, GAO-05-90 (Washington, D.C.: Jan. 14, 2005).

[23] GAO-05-90. 

[24] U.S. Department of Commerce's Office of Inspector General, What 
Census 2000 Can Teach Us in Planning for 2010, Report No. OIG-14431 
(Spring 2002).

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