Overview
HRD did not ensure that all executive branch agencies submitted affirmative action and diversity plan progress reports by the annual deadline. These progress reports provide HRD with annual updates on an agency’s progress toward achieving its affirmative action and workforce diversity goals for training, hiring, and employee awareness. Although HRD had identified a significant number of executive branch agencies that did not file the required progress reports, it had not taken any remedial actions. Without the information in these reports, HRD cannot determine to what extent executive branch departments are meeting the hiring goals they have established to comply with EO 526.
Specifically, we noted the following issues from our audit period:
- Thirty-two (49.2%) of 65 agencies never submitted the affirmative action plan progress reports due August 30, 2016.
- Forty (61.5%) of 65 agencies never submitted the affirmative action plan progress reports due August 30, 2017.
- Twenty-seven (81.8%) of the 33 affirmative action plan progress reports received that were due August 30, 2016 were late, as were 11 (44%) of the 25 that were due August 30, 2017.
- Of the 25 agencies that submitted August 30, 2017 progress reports, only 5 (20%) reported that they had met their goals for the two-year cycle.
- Thirty-two (47.8%) of 67 agencies had not submitted diversity plan progress reports as of August 30, 2016, and 36 (53.7%) of 67 had not submitted them as of August 30, 2017.
- Seven (20%) of the 35 diversity plan progress reports received that were due August 30, 2016 were late, as were 3 (9.7%) of the 31 that were due August 30, 2017.
- Of the 31 agencies that submitted progress reports that were due August 30, 2017, only 13 (41.9%) reported that they had met their goals for the two-year cycle.
- Overall, 35 (52.2%) of 67 agencies never submitted any required progress reports during the audit period. These 35 agencies hired 3,004 (57.9%) of the 5,186 employees hired by agencies that were required to comply with EO 526.
The hiring information shows that the agencies that submitted all of the required progress reports were as successful as those that did not do so, or more successful, in hiring women, minorities, veterans, and people with disabilities.
Authoritative Guidance
Section 3 of EO 526 states that affirmative action and diversity plans “shall set forth specific goals and timetables for achievement.” Additionally, Section 3.2 of HRD’s “Guidelines for Implementation of Executive Order 526” states,
On an annual basis, the secretariats and agencies shall submit progress updates on their Affirmative Action and Diversity Plans. These reports should be submitted sixty days after the close of the fiscal year, or August 30th.
Included in these updates on affirmative action and diversity plans are updates to agency goals, which are a required part of each plan. HRD management told us that these goals are to be completed within the two-year plan cycle.
Section 7 of EO 526 states that HRD’s ODEO director has the authority to “establish periodic reporting requirements for agencies concerning the implementation of their plans and all actions taken to ensure compliance with this Executive Order.” The section also gives the director of ODEO the authority to ensure compliance with the order and impose remedial courses of action on noncompliant agencies:
Where appropriate, determine and impose remedial courses of action, including the potential imposition of a freeze on all personnel requisitions and appointment forms submitted by any non-compliant agency to the Chief Human Resources Officer.
To facilitate the timely filing of these progress reports, HRD should hold all agencies to the same standard and impose remedial actions against agencies that do not file these reports by established deadlines with no reasonable explanation.
Reasons for Noncompliance
HRD management told us that all noncompliant agencies were in communication with HRD about becoming compliant with EO 526 and therefore, HRD did not believe it was necessary to take any remedial actions. However, HRD’s records did not indicate to what extent noncompliant agencies had been contacted regarding missing progress reports.
HRD did not have any policies and procedures in place for ODEO staff members to track the timely filing of progress reports for affirmative action and diversity plans, to communicate with agencies regarding noncompliance, or to take remedial actions against noncompliant agencies.
Recommendation
HRD should develop policies and procedures to monitor the tracking of all affirmative action and diversity plan progress reports to ensure that all agencies are working toward, and reporting on, meeting their goals in the two-year plan cycle. These policies and procedures should also establish the conditions under which HRD will take remedial actions against noncompliant agencies.
Auditee’s Response
HRD/ODEO acknowledges that we can improve the monitoring of the submission of progress reports, as these progress reports provide HRD/ODEO with information as to how agencies are progressing towards achieving their stated Affirmative Action and Diversity goals.
HRD/ODEO will follow the recommendations of the Audit team and implement tighter monitoring controls to ensure adherence to the stated policy and procedures. Going forward HRD will: work to develop an electronic tickler alerts system to send more timely reminders of outstanding items on [affirmative action] and Diversity Plans; and review and revise current protocols as necessary to ensure greater enforcement leading to swifter agency remedial action.
| Date published: | February 14, 2019 |
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