Federal Protective Service: Enhancements to Performance Measures and Data Quality Processes Could Improve Human Capital Planning
Highlights
What GAO Found
The Federal Protective Service (FPS)—which protects about 9,500 federal facilities—developed a Strategic Human Capital Plan ( Plan ) and engaged in related efforts that generally align with most key principles GAO identified for strategic workforce planning. Specifically, FPS
- solicited input from key stakeholders, such as its employees and the National Protection and Programs Directorate (NPPD)—FPS's parent organization responsible for managing and overseeing FPS's human capital efforts;
- determined critical skills and competencies;
- developed human capital strategies (i.e., programs, policies, and processes) tailored to address identified gaps and needs in its workforce; and
- identified actions that build the organizational capability to support the strategies.
However, FPS has not fully developed performance measures to evaluate progress toward goals, which is also a key principle for strategic workforce planning. For example, FPS has not identified performance measures for all of the Plan's strategies, has not included targets for the identified performance measures (e.g., a desired target for the “attrition rate” measure), and has not linked the measures to FPS's human capital goals. GAO's work on measuring program performance has found that targets and linkages are among the attributes of successful performance measures. FPS and NPPD officials said they plan on developing measures with targets and linkages but have not yet established time frames for completing these tasks. Without performance measures that have targets and linkages, it will be difficult for NPPD and FPS to assess whether the Plan and related efforts are helping achieve FPS's human capital goals and its facility protection mission.
FPS designed its staffing model—which identifies the federal workforce the agency needs to meet its mission—consistent with most key practices GAO identified for the design of staffing models, and FPS uses the model to help make management decisions. Specifically, FPS's model includes:
- work activities and the time required to perform them;
- facility risk levels, which determine the frequency with which FPS must complete facility security assessments; and
- input from key stakeholders, including NPPD and some regional officials.
FPS officials said they took steps, such as reviewing work hour estimates, to ensure the quality of data used in the model—another key practice. FPS currently uses the model to help make human capital planning and other management decisions, but NPPD and FPS have not identified time frames for updating the model since its last update in August 2013. Furthermore, FPS cannot assure data quality in future updates to the model because it has no documented process for ensuring data quality. Without time frames for updating the model and guidance on ensuring data quality, NPPD and FPS may not have accurate estimates of staffing needs to make management decisions.
Why GAO Did This Study
The federal security workforce plays a crucial role in meeting the growing challenges of protecting federal facilities. FPS, within the Department of Homeland Security (DHS), worked with NPPD to develop a staffing model and a Plan in 2013 and 2015 to help FPS manage its workforce. A 2015 Senate Appropriations Committee report included a provision for GAO to review the Plan . The committee also asked GAO to evaluate the staffing model. GAO examined (1) FPS's Plan and related human capital planning efforts and (2) how FPS designed and uses its staffing model. GAO assessed FPS's Plan and model to determine if they aligned with key workforce-planning principles and practices for designing staffing models. GAO identified these principles and practices from prior work and other sources. GAO also interviewed NPPD and FPS officials in headquarters and three regions selected to obtain regional variation such as in the number of FPS staff.
Recommendations
To improve FPS's human capital planning, GAO recommends that the Secretary of DHS direct NPPD and FPS to identify time frames for developing performance measures with targets that are explicitly aligned to FPS's goals, establish a plan and time frames for updating its staffing model, and develop and document guidance for ensuring the quality of staffing model data. DHS concurred with GAO's recommendations and outlined steps it plans to take to address them.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of Homeland Security | To help FPS enhance its strategic human capital planning efforts, the Secretary of Homeland Security should direct the Under Secretary of NPPD to work with the Director of FPS to identify time frames for developing human capital performance measures with targets that are explicitly aligned to FPS's stated human capital goals. | In March 2016, GAO reported that the Federal Protective Service (FPS) developed a Strategic Human Capital Plan (Plan) and engaged in related efforts that generally aligned with four of the five key principles GAO identified for strategic workforce planning. However, GAO found that FPS did not fully develop its human capital performance measures, which is the fifth key principle for strategic workforce planning. Specifically, FPS did not identify performance measures for all human capital strategies identified in the Plan, did not include targets for the identified measures, and did not link the identified measures to FPS's human capital goals. According to GAO's key workforce-planning... principles, agencies should establish performance measures to evaluate their progress toward reaching human capital goals and the contribution of human capital activities toward achieving agency goals. Further, GAO's work on measuring program performance has found that targets and linkages are among the attributes of successful performance measures. At the time of GAO's review, FPS had taken some initial steps to develop targets and linkages but did not complete these steps in anticipation that the National Protection and Programs Directorate (NPPD)--FPS's parent agency--would finalize its own human capital plan. FPS and NPPD officials said they planned to develop performance measures with targets and linkages but had not established time frames for completing these steps. GAO reported that if FPS and NPPD did not develop performance measures, including targets and linkages to goals, in a timely manner, neither agency would be able to accurately assess FPS's progress in achieving FPS's human capital goals. To address this problem, GAO recommended that NPPD work with FPS to identify time frames for developing human capital performance measures with targets that are explicitly aligned to FPS's stated human capital goals. In 2018, GAO confirmed that FPS revised its strategic human capital goals and developed performance measures and other indicators that explicitly aligned to the goals. FPS also developed targets for measures where data are available. As a result of these actions, FPS will be better able to understand whether it is on track to meet its human capital and agency goals or needs to make adjustments.
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| Department of Homeland Security | To help FPS enhance its strategic human capital planning efforts, the Secretary of Homeland Security should direct the Under Secretary of NPPD to work with the Director of FPS to establish a plan and time frames for updating FPS's staffing model regularly and for unexpected changes in operating conditions. | In March 2016, GAO reported that the Federal Protective Service (FPS) used the staffing model in conjunction with other management tools, professional judgment, and institutional knowledge to help inform human capital planning and budget requirements. However, GAO found that the staffing model did not reflect regular and unexpected changes in FPS's operating conditions that have occurred since the model's last update in August 2013. Further, GAO found that the National Protection and Programs Directorate (NPPD)--FPS's parent agency--and FPS had not established specific time frames for updating the model because NPPD had not determined whether update responsibility would remain with FPS,...
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| Department of Homeland Security | To help FPS enhance its strategic human capital planning efforts, the Secretary of Homeland Security should direct the Under Secretary of NPPD to work with the Director of FPS to develop and document guidance on the process FPS will use to ensure the quality of its staffing model data, such as guidance on how to collect data, validate assumptions, and perform sensitivity analyses to assess the assumptions. | In March 2016, GAO reported that the Federal Protective Service (FPS) designed its staffing model to align with three of four key practices GAO identified for the design of staffing models. GAO found that FPS took steps to ensure the quality of the data used in the model it developed in August 2013. However, GAO found that FPS could not assure data quality in future updates to its staffing model because it had not documented a process for ensuring data quality. As such, it was not clear whether the model would use quality data that reflect current operations conditions. GAO Standards for Internal Control in the Federal Government and associated guidance note that agencies should use a...
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