In fiscal year 2011, 5 of  DOT’s 11 OAs with procurement spending accounted for 92 percent of  the department’s $5.6 billion in procurements. DOT submitted acquisition workforce plans to  OFPP in 2010, 2011, and 2012 that reported progress in increasing  department-wide acquisition workforce staff levels and certification rates,  but did not maintain the supporting data in 2010 and 2011, and lacked  internal controls to ensure the quality of the data. By contrast, we obtained the data DOT used  to prepare the 2012 plan, compared it with data from the OAs, and  interviewed OA officials about the sources and methods they used to  report the data. We found inconsistencies in how the OAs reported their  data that would affect the reliability of the department’s aggregate data,  but determined that the OA-level data were sufficiently reliable to make  observations about staffing and certification rates at the individual OAs. Based on our analysis of this data, we found that four OAs would  potentially need to replace from 50 percent to over 80 percent of their  contract specialists by the end of fiscal year 2013 to meet staffing targets. In addition, some OAs have low certification rates particularly for  program/project managers and contracting officer’s representatives,  which increases the risk that DOT acquisition programs are not being  effectively managed and that contractors are not receiving appropriate  oversight. However, the Office of  the Senior Procurement Executive did not retain the underlying data it  used to prepare the 2010 and 2011 plans and in some cases, the data  were also not available from the OAs. Although the data we obtained and reviewed were not sufficient to assess  DOT’s progress in improving certification rates over time, DOT reported  that the number of people certified increased substantially between fiscal  years 2010 and 2011 and that a focus on certification programs is central  to DOT’s strategy to strengthen the skills and capabilities of the  acquisition workforce. Federal policy requires agencies to conduct strategic  planning to identify short- and long-term agency needs. However, officials stated that their capacity to direct planning  efforts is limited because the OAs have their own budget authorities and  that the office does not have the staff or resources needed to perform  oversight of strategic planning efforts. The Office of the Senior Procurement Executive Has Taken Steps to Align Its Workforce Plans with Strategic Goals, but Faces Challenges to Assess Progress

The Office of the Senior Procurement Executive has recently taken steps  to align its workforce plans with the department’s strategic goals, but  given challenges with maintaining reliable data, lacks a sound baseline  for assessing progress toward reaching these goals or for making a  business case for directing resources or management attention to OAs  which may face the greatest workforce risks. Conclusions

DOT relies on its acquisition workforce to negotiate and administer  contracts and manage large-scale acquisition programs, but lacks the  reliable data and strategic focus needed to fully understand its workforce  needs over time and to ensure that the department can hire, develop, and  retain the acquisition professionals needed to perform the agency’s  current and future missions. Further, the Office of the Senior Procurement Executive relies  on the OAs to collect and compile acquisition workforce data and conduct  strategic planning but has not provided guidance on how to collect and  report workforce data, established internal controls to ensure that data  provided are accurate and complete, or established specific  responsibilities for maintaining the data, or for using it for management  purposes. This exposes the department to  substantial risk that the workforce does not have the capacity or skills  needed to effectively manage the department’s current and future  acquisition missions. Recommendations for Executive Action

To help improve DOT’s ability to effectively address workforce needs, we  recommend that the Secretary of Transportation take the following five  actions:
Direct the Senior Procurement Executive to define data the  department needs to meet OFPP and DOT workforce planning and  oversight requirements;
Provide standards for internal controls or other guidance to ensure the  OAs collect, report, and maintain consistent and reliable data for  workforce planning and in FAITAS;
Establish specific responsibilities for the Office of the Senior  Procurement Executive and the OAs to maintain workforce data,  develop strategies and metrics, and monitor progress toward  addressing workforce gaps and certification deficiencies;
Assess whether the Office of the Senior Procurement Executive has  sufficient resources to effectively oversee the acquisition workforce;  and
Direct the Senior Procurement Executive and Chief Human Capital  Officer to establish a coordinated process for future acquisition  workforce planning. Our report assessed: (1) the  efforts of the Office of the Secretary of Transportation and DOT’s OAs to  identify acquisition workforce needs, and (2) the Office of the Secretary’s  role in providing oversight and support for acquisition workforce planning  and management. For  example, DOT’s 2010 plan includes conflicting information on the size of  the acquisition workforce for fiscal year 2009.
Why GAO Did This Study

With $5.6 billion in procurement spending in fiscal year 2011, DOT relies on its acquisition workforceincluding contracting and program management staffto negotiate and administer contracts and manage large-scale acquisition programs. Having sufficient numbers of adequately trained acquisition professionals is critical to ensuring maximum value and benefit to the department.
In a fiscal year 2012 Senate appropriations bill report, GAO was directed to assess (1) DOTs efforts to identify acquisition workforce needs, and (2) the Office of the Secretary of Transportations role in providing oversight and support for acquisition workforce planning and management. GAO reviewed DOTs acquisition workforce plans for 2010, 2011, and 2012 along with supporting documentation, and interviewed agency officials on how the data were collected and used. The primary focus was on five OAs that accounted for 92 percent of DOT procurement spending in fiscal year 2011.

What GAO Found

The Department of Transportation (DOT) lacks sufficient and reliable data to fully identify its acquisition workforce needs and assess progress in addressing shortfalls over time. Over the last 3 years, the Office of the Senior Procurement Executivethe office within the Office of the Secretary of Transportation responsible for department-wide acquisition workforce managementhas submitted acquisition workforce plans that reported progress in increasing the size of the workforce and the number of personnel certified to meet education, training, and experience requirements. However, GAO identified data limitations due to a lack of internal controls to maintain, compare, and reconcile the data compiled from DOTs 11 operating administrations (OA), and determined that the department-level data were not sufficient to assess progress over time. For example, DOT did not maintain the data it used to prepare the 2010 and 2011 plans and in some cases the data were also not available from the OAs. By contrast, GAO obtained the data DOT used to prepare the 2012 plan, compared it with data from the OAs, and interviewed OA officials about the sources and methods they used to report the data. GAO found inconsistencies in how the OAs reported their data that affect the reliability of the departments aggregate data, but determined that the OA-level data were sufficiently reliable to make observations about staffing challenges and certification shortfalls at the individual OAs. Specifically, GAO found that 4 of the 11 OAs would need to replace 50 percent or more of their contract specialists by the end of fiscal year 2013 to meet staffing targets. In addition, some OAs reported low certification rates for program/project managers and contracting officers representatives, which increases the risk of DOT programs not receiving appropriate oversight.
DOT lacks the strategic focus and oversight needed to ensure that the department can meet its acquisition workforce goals. Federal policy requires agencies to conduct strategic planning to identify short- and long-term needs and plans to address them. The Office of the Senior Procurement Executive relies on the OAs to conduct acquisition workforce planning, but has not provided oversight or support to help ensure that they collect and maintain consistent data or use it to develop strategies to address workforce goals. Officials from the Senior Procurement Executives office stated that they do not monitor the OAs acquisition workforce data throughout the year and that their capacity to direct planning efforts is limited in part because they do not have the staff needed to perform oversight. Instead, officials stated that the office provides a focal point for coordination among the OAs, approves certifications, and provides information on training opportunities. According to leading practices identified in prior GAO work, agencies should link workforce goals to budget formulation to ensure that requests are adequate to implement workforce strategies. The Office of the Senior Procurement Executive has taken steps to align workforce plans with its strategic goals and budget, but given the challenges with maintaining reliable data, lacks a sound baseline for assessing progress or for making a business case for directing resources or management attention to OAs that may face the greatest workforce risks. Until DOT addresses these issues, the department faces substantial risk that the workforce will not have the capacity or skills needed to effectively manage the departments acquisitions.

What GAO Recommends

GAO recommends that the Secretary of Transportation take steps to improve DOTs ability to address workforce needs, such as improving internal controls for acquisition workforce data and providing guidance to ensure that the OAs collect and report workforce data consistently. DOT acknowledged past data and coordination challenges and generally concurred with our recommendations. DOT also stated it now has the management framework needed to effectively monitor and develop the acquisition workforce.