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Calendar No. 240
108th Congress Report
SENATE
1st Session 108-119
_______________________________________________________________________
HOMELAND SECURITY FEDERAL
WORKFORCE ACT
__________
R E P O R T
of the
COMMITTEE ON GOVERNMENTAL AFFAIRS
UNITED STATES SENATE
to accompany
S. 589
together with
ADDITIONAL VIEWS
TO STRENGTHEN AND IMPROVE THE MANAGEMENT OF NATIONAL SECURITY,
ENCOURAGE GOVERNMENT SERVICE IN AREAS OF CRITICAL NATIONAL SECURITY,
AND TO ASSIST GOVERNMENT AGENCIES IN ADDRESSING DEFICIENCIES IN
PERSONNEL POSSESSING SPECIALIZED SKILLS IMPORTANT TO NATIONAL SECURITY
AND INCORPORATING THE GOALS AND STRATEGIES FOR RECRUITMENT AND
RETENTION FOR SUCH SKILLED PERSONNEL INTO THE STRATEGIC AND PERFORMANCE
MANAGEMENT SYSTEMS OF FEDERAL AGENCIES
July 31 (legislative day, July 21), 2003.--Ordered to be printed
______
U.S. GOVERNMENT PRINTING OFFICE
19-010 WASHINGTON : 2003
COMMITTEE ON GOVERNMENTAL AFFAIRS
SUSAN M. COLLINS, Maine, Chairman
TED STEVENS, Alaska JOSEPH I. LIEBERMAN, Connecticut
GEORGE V. VOINOVICH, Ohio CARL LEVIN, Michigan
NORM COLEMAN, Minnesota DANIEL K. AKAKA, Hawaii
ARLEN SPECTER, Pennsylvania RICHARD J. DURBIN, Illinois
ROBERT F. BENNETT, Utah THOMAS R. CARPER, Delaware
PETER G. FITZGERALD, Illinois MARK DAYTON, Minnesota
JOHN E. SUNUNU, New Hampshire FRANK LAUTENBERG, New Jersey
RICHARD C. SHELBY, Alabama MARK PRYOR, Arkansas
Michael D. Bopp, Staff Director and Chief Counsel
Jennifer A. Hemingway, Professional Staff Member
Joyce A. Rechtschaffen, Minority Staff Director and Counsel
Jennifer L. Tyree, Minority Counsel, Subcommittee on Financial
Management,
the Budget, and International Security
Amy B. Newhouse, Chief Clerk
Calendar No. 240
108th Congress Report
SENATE
1st Session 108-119
======================================================================
HOMELAND SECURITY FEDERAL WORKFORCE ACT
_______
July 31 (legislative day, July 21), 2003.--Ordered to be printed
_______
Ms. Collins, from the Committee on Governmental Afairs, submitted the
following
R E P O R T
together with
ADDITIONAL VIEWS
[To accompany S. 589]
The Committee on Governmental Affairs, to which was
referred the bill (S. 589) to amend chapter 53 of title 5,
United States Code, to strengthen and improve the management of
national security, encourage Government service in areas of
critical national security, and to assist government agencies
in addressing deficiencies in personnel possessing specialized
skills important to national security and incorporating the
goals and strategies for recruitment and retention for such
skilled personnel into the strategic and performance management
systems of Federal agencies, having considered the same,
reports favorably thereon without amendment and recommends that
the bill do pass.
CONTENTS
Page
I. Purpose and Summary..............................................2
II. Background.......................................................2
III. Legislative History..............................................9
IV. Section-by-Section Analysis.....................................10
V. Evaluation of Regulatory Impact.................................14
VI. CBO Cost Estimate...............................................14
VII. Additional Views................................................18
VIII.Changes to Existing Law.........................................21
I. Purpose and Summary
S. 589, the Homeland Security Workforce Act, is a bill to
strengthen and improve the management of national security,
encourage government service in the areas of critical national
security, and to assist government agencies in addressing
deficiencies in personnel possessing specialized skills
important to national security and incorporating the goals and
strategies for recruitment and retention for such skilled
personnel into the strategic and performance management systems
of Federal agencies.
S. 589 would establish a pilot program repaying student
loans for individuals who agree to serve in national security
positions for a minimum of three years. The legislation
authorizes funds for key national security agencies to operate
such a program. The pilot program established under the
legislation would differ from the existing loan repayment
program for federal employees in that it authorizes separate
funding for the program and increases to $10,000 the amount of
loan debt repayment an employee may receive per year. The
maximum amount ofloan repayment an employee would be eligible
to receive under this program would be $80,000.
S. 589 would establish a National Security Fellowship
Program for graduate students pursuing advanced degrees in
mathematics, science, engineering, a foreign language, or other
international fields that are critical areas of national
security. Students who receive a fellowship would be required
to work for the federal government in a position of national
security for a minimum of three years. Fellowships would cover
tuition costs plus a stipend equivalent to that which graduate
fellows receive from the National Science Foundation. Twenty
percent of the fellowship slots would be set aside for current
federal employees to pursue an advanced degree or for continued
academic training in national security positions. The
legislation authorizes $100 million to support the National
Security Fellowship Program.
The Homeland Security Federal Workforce Act would establish
a rotational assignment program to provide mid-level federal
employees in national security positions at the Departments of
State, Defense, Homeland Security, Treasury, Energy, Justice,
and the National Security Agency the opportunity to broaden
their knowledge through exposure to other agencies. The purpose
of the program would be to provide training and incentives in
addition to the building of professional relationships and
contacts among the employees and agencies of the national
security community.
S. 589 would require federal agencies to include in their
strategic and performance plans the extent to which specific
skills in the agency's human capital are needed to achieve the
mission, goals and objectives of the agency, particularly those
goals and objectives that are critical to national security.
II. Background
In 2001 the Hart-Rudman Commission on National Security in
the 21st Century issued a sobering report on our national
security needs \1\ and highlighted the federal government's
need to recruit and retain a highly skilled workforce.
---------------------------------------------------------------------------
\1\ The United States Commission on National Security/ 21st
Century, Road Map for National Security: Imperative for Change (2001).
---------------------------------------------------------------------------
As it enters the 21st century, the United States finds
itself on the brink of an unprecedented crisis of competence in
government. The declining orientation toward government service
as a prestigious career is deeply troubling. Both civilian and
military institutions face growing challenges, albeit of
different forms and degrees, in recruiting and retaining
America's most promising talent. This problem derives from
multiple sources. * * * These factors are adversely affecting
recruitment and retention in the Civil and Foreign Services and
particularly throughout the military, where deficiencies are
both widening the gap between those who serve and the rest of
American society and putting in jeopardy the leadership and
professionalism necessary for an effective military. If we
allow the human resources of government to continue to decay,
none of the reforms proposed by this or any other national
security commission will produce their intended results.\2\
---------------------------------------------------------------------------
\2\ Id. at xx.
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On September 11, 2001, the need for skilled personnel to
meet our national security needs became even more obvious. On
that day, two airliners crashed into the World Trade Center in
New York City, one crashed into the Pentagon in Arlington,
Virginia, and another crashed into the fields of Pennsylvania
signaling a coordinated terrorist attack on the United States.
Shortly after the attacks, Robert Mueller, Director of the
Federal Bureau of Investigation (FBI), made a public plea for
speakers of Arabic and Farsi to help the FBI and national
security agencies investigate the attacks and translate
documents that were in U.S. possession but which were left
untranslated due to a shortage of employees with proficiency in
those languages.\3\ In addition, the General Accounting Office
(GAO) reports that federal agencies have shortages in
translators and interpreters and an overall shortfall in the
language proficiency levels needed to carry out agency
missions.\4\ These reports demonstrate that action is needed to
help federal agencies more effectively recruit and retain
highly skilled individuals for national security positions. In
an effort to address the critical needs in this area, the
Homeland Security Federal Workforce Act was introduced.\5\
---------------------------------------------------------------------------
\3\ Richard Lee Colvin and Soraya Sarhaddi Nelson, FBI Issues Call
for Translators to Assist Probe, L.A. Times, September 18, 2001. See
also Findings of the Final Report of the Senate Select Committee on
Intelligence and the House Permanent Select Committee on Intelligence
Joint Inquiry into the Terrorist Attacks of September 11, 2001,
December 10, 2002, (Finding 6: Prior to September 11, the Intelligence
Community was not prepared to handle the challenge it faced in
translating the volumes of foreign language counterterrorism
intelligence it collected. Agencies within the Intelligence Community
experienced backlogs in material awaiting translation, a shortage of
language specialists and language-qualified field officers, and a
readiness level of only 30 percent in the most critical terrorism-
related languages.).
\4\ Foreign Languages: Human Capital Needed to Correct Staffing and
Proficiency Shortfalls, General Accounting Office, GAO-02-375, January
2002.
\5\ 149 Cong. Rec. S. 3512 (daily ed. March 11, 2003) (statement of
Senator Daniel K. Akaka on the introduction of S. 589, the Homeland
Security Federal Workforce Act). See also 147 Cong. Rec. S. 12859-12861
(daily ed. December 11, 2001) (statements of Senators Richard Durbin
and Daniel Akaka on the introduction of S. 1800, the Homeland Security
Federal Workforce Act).
---------------------------------------------------------------------------
The Homeland Security Federal Workforce Act consists of
several provisions to address some of the country's current
national security workforce needs and to help the government
better prepare for future personnel needs.
Pilot program for student loan repayment for federal employees in areas
of critical importance
According to the Hart-Rudman Commission, there are still
major problems in turning interest in government positions into
actual service. The Commission report notes that many young
adults have completed or are enrolled in graduate school, and
thus carry a much heavier student loan burden than their
predecessors.\6\ This is important as high educational debt
makes a huge difference in the federal government's ability to
recruit talented employees. On June 4, 2003, Dr. Paul Light,
Director of the Brookings Institution Center for Public
Service, testified before the Committee on Governmental Affairs
and stated that while the nature of the job remains the most
important consideration in making a decision about where to
work, college debt makes a difference in job choice for the
class of 2003.\7\
---------------------------------------------------------------------------
\6\ Supra note 1, page 114.
\7\ Transforming the Department of Defense Personnel System:
Finding the Right Approach, Senate Committee on Governmental Affairs,
108th Cong. (June 4, 2003) (statement of Paul Light).
---------------------------------------------------------------------------
However, the current federal student loan repayment program
is not being used as intended. According to the Office of
Personnel Management (OPM), agencies said that the barrier to
using the loan repayment program is a lack of funding.\8\ With
college debt playing such a large factor in where recent
graduates decide to work, funding student loan repayment
programs is essential to recruit skilled individuals.
---------------------------------------------------------------------------
\8\ Federal Student Loan Repayment Program, Fiscal Year 2002,
Report to Congress, Office of Personnel Management, June 2003. In
contrast, see Pub. L. No. 107-68, the FY2002 Legislative Branch
Appropriations Act, which authorized Senate employing offices to
establish a program for Senate employees, and also authorized specific
appropriations to fund the program.
---------------------------------------------------------------------------
In addition, the current student loan repayment program is
not targeted to meet national security needs. In 2002 the
Department of Defense and the Justice Department, key agencies
with national security responsibilities, have together awarded
student loan repayment to only seven employees. Moreover, the
repayments were not on the basis of their utility to national
security.\9\
---------------------------------------------------------------------------
\9\ Id.
---------------------------------------------------------------------------
To address this need, S. 589 would establish an eight year
pilot program to recruit and retain qualified personnel for
positions critical to national security through the repayment
of student loans. Payments under this program may not exceed
$10,000 per year or $80,000 total. This pilot program would not
affect any existing student loan repayment programs, revoke or
rescind any existing law, or be used as a basis for removing
employees from collective bargaining units.
Similar to the loan repayment program for employees of the
United States Senate, participating agencies would not have to
finance the program out of existing funds. Instead, a separate
account would be established at OPM and specific funds
authorized to pay for the pilot program. Unlike current law,
the pilot program under S. 589 would be limited to agencies
with the greatest need--those agencies with national security
responsibilities. S. 589 would also increase the amount of the
repayment authority and provide the funding necessary to use
this important tool. After the fourth year of the program, OPM
would report on the status of the program including whether it
has met objectives of increasing the use of student loan
repayment as a recruitment and retention tool for employees in
national security positions. OPM would also provide
recommendations for extending this program to other agencies
and employee positions.
Fellowships for graduate students to enter federal service
The Hart-Rudman Commission cautioned that the nation's need
for the highest quality employees in science, mathematics, and
engineering is not being met.\10\ For example, there will not
be enough qualified American citizens to perform the new jobs
being created today--including technical jobs crucial to the
maintenance of national security.\11\ As our nation's security
depends on the quality of the people, both civilian and
military, serving within the ranks of government, our national
security is put at risk by a lack of qualified personnel with
science and math skills.
---------------------------------------------------------------------------
\10\ Supra note 1 at 30.
\11\ Id. at 39.
---------------------------------------------------------------------------
The issue of math and science shortages in the federal
government and its national security implication is well known
at the highest levels in government. In fact, President Bush's
science advisor, Dr. John H. Marburger, has expressed concern
about the shortage of American scientists and engineers. He
also noted that the National Academies of the United States and
the nation's universities would have to help evaluate
scientific proposals for how to address terrorism because `` *
* * there is not enough expertise in agencies to deal with them
in a timely fashion.'' \12\ The fact that the federal
government is scrambling to fill this science gap from outside
sources raises concerns over how these ideas can be evaluated
by government officials if there is a lack of expertise in the
agencies where these ideas will be used.
---------------------------------------------------------------------------
\12\ William J. Broad, Government Reviving Ties to Scientists, New
York Times, November 20, 2001.
---------------------------------------------------------------------------
On February 25, 2003, William Wulf, president of the
National Academy of Engineering,noted that the supply of
talented engineers in government is not keeping pace with growing
demand.\13\ A new poll at that time found that a mere 24 percent of job
seekers believe that the best engineering job opportunities are in the
federal government compared to 52 percent for the private sector.\14\
In another example, a 1999 report of the National Research Council
found significant science and technology weaknesses throughout the
Department of State.\15\ These shortfalls have real consequences that
hamper our ability to monitor exports of military-sensitive technology
and preventing proliferation of biological warfare expertise from the
former Soviet Union.
---------------------------------------------------------------------------
\13\ Public, Private Leaders and NASA Head Cite Need for Government
Engineers, Partnership for Public Service, February 25, 2003,
.
\14\ Id.
\15\ National Research Council, The Pervasive Role of Science,
Technology, and Health in Foreign Policy: Imperatives for the
Department of State (1999).
---------------------------------------------------------------------------
The same problem exists for personnel with foreign language
skills. There is a growing need for higher levels of language
competency among a broader cross-section of professionals,
particularly for those who will join the federal workforce.
Professional proficiency is considered to be at least a Level
III proficiency in listening, reading, and speaking where an
individual is capable of speaking with sufficient structural
accuracy and vocabulary to participate effectively in most
formal and informal conversations on practical, social, and
professional topics.\16\
---------------------------------------------------------------------------
\16\ Supra note 4 at 5.
---------------------------------------------------------------------------
However, current foreign language programs in the United
States, both federal and academic, at best, aim toward limited
working proficiency which is defined as Level II. This skill
level includes the ability to satisfy routine social demands
and limited work requirements and handle routine work-related
interactions that are limited in scope.\17\ Level II
proficiency is generally insufficient for more complex and
sophisticated work-related national security tasks.
---------------------------------------------------------------------------
\17\ Id.
---------------------------------------------------------------------------
In 1991 the National Security Education Act \18\ which
created the National Security Education Program (NSEP), sought
to address this long-standing problem by providing limited
undergraduate scholarships and graduate fellowships for
students to study certain subjects, including foreign language
and foreign area studies. The Act also allows the use of funds
at institutions of higher learning to develop faculty expertise
in the languages and cultures of less commonly studied
countries. Student recipients of these funds incur an
obligation either to work for an office or agency of the
federal government, preferably in national security affairs, or
to pursue careers as educators for a period equal to the time
covered by the scholarship.
---------------------------------------------------------------------------
\18\ National Security Education Act 1991, Pub. L. No. 102-183.
---------------------------------------------------------------------------
Despite the success of the program over the past twelve
years, the General Accounting Office has reported that agencies
still have shortages in translators and interpreters and an
overall shortfall in the language proficiency levels needed to
carry out their missions.\19\ According to the 2002 report,
agency officials stated that these shortfalls have adversely
affected agency operations and hindered U.S. military, law
enforcement, intelligence, counterterrorism, and diplomatic
efforts. Many shortages were in hard-to-learn languages from
the Middle East and Asia, although shortages varied greatly
depending on the agency, occupation, and language. GAO also
found that foreign language shortages are, in part, caused by
technology advances that allow the collection of growing
amounts of information and thus require greater numbers of
staff proficient in foreign languages; by rising language
proficiency requirements in the face of changing and more
complex agency missions; and by a competitive job market that
has made attracting and retaining staff more difficult.\20\
---------------------------------------------------------------------------
\19\ Supra note 4.
\20\ Id. at 2.
---------------------------------------------------------------------------
To address the lack of scientific and language expertise in
critical national security positions, S. 589 creates a separate
and distinct program from NSEP designed to focus on the overall
critical national security needs of the federal government. The
program established under S. 589 provides tuition and stipend
for students pursuing graduate study not only in foreign
languages, but also in science, mathematics, engineering, or
non-proliferation studies. In exchange for tuition and a
stipend, fellowship recipients are to work in a national
security position for a period of at least three years.
The fellowship program is separate from NSEP because NSEP
lacks the capacity to handle math and science education and
combining the two would dilute NSEP's focus on foreign language
education. In addition, the program under S. 589 is broader
than NSEP in that it specifically applies to current federal
employees. S. 589 invests in the government's human capital by
requiring that 20 percent of all fellowships awarded go to
current federal workers to enhance their training and skills in
areas key to national security.
Both the fellowship program under S. 589, as well as the
National Security Service Corps program, would be under the
National Security Service Board headed by the Director of the
Office of Personnel Management. Since the program will be
overseen by OPM, S. 589 emphasizes placement and opportunities
for individuals in federal agencies. On average, 65 percent of
NSEP graduate fellows fulfill their service requirement in a
national security position with the federal government.\21\ It
is important to recruit individuals with critical national
security skills and place them where they are needed most.
---------------------------------------------------------------------------
\21\ National Security Education Program, 2000 Annual Report.
---------------------------------------------------------------------------
National Security Service Corps
According to the Hart-Rudman Commission, the national
security component of the civil service is faced with an
additional problem: the need to develop professionals with
breadth of experience in the interagency process and with depth
of knowledge about substantive policy issues.\22\ Both elements
are crucial to ensuring the highest quality policy formulation
and analysis, and are key to maintaining a robust national
security workforce.
---------------------------------------------------------------------------
\22\ Supra note 1 at 102.
---------------------------------------------------------------------------
Traditional national security agencies need to work
together. Better integration of these agencies in policy
development and execution requires a human resource strategy
that achieves the following objectives: expanded opportunities
to gain expertise and to experience the culture of more than
one department or agency; an assignment and promotion system
that rewards those who seek broad-based, integrative approaches
to problem solving instead of those focused on departmental
turf protection; and the erasure of artificial barriers among
departments.\23\
---------------------------------------------------------------------------
\23\ Id.
---------------------------------------------------------------------------
The current federal civil service personnel system does not
achieve these objectives because career civilians in the
national security field rarely serve outside their parent
department.\24\ While employees can be detailed to other
agencies, \25\ there is no formal rotational program for
federal workers or a government body supporting and promoting
rotational assignments. Because of this problem, the Hart-
Rudman Commission recommend the creation of a National Security
Service Corps. S. 589 follows this advice and ensures that
there is a formal rotation program between agencies with
national security responsibilities.
---------------------------------------------------------------------------
\24\ A recent OPM survey of SES personnel indicates that only nine
percent of those surveyed have changed jobs to work in another agency
since becoming an SES member, despite the fact that 45 percent said
that mobility would improve job performance. See U.S. Office of
Personnel Management and Senior Executives Association, pp. 27-8.
\25\ See 5 U.S.C. Sec. 3341.
---------------------------------------------------------------------------
Pursuant to the Commission's recommendations, the National
Security Service Corps (NSSC) would broaden the experience base
of senior departmental managers and develop leaders skilled at
producing integrative solutions to U.S. national security
policy problems. The program would be characterized by a
rotational system and robust professional education programs.
In designating positions for Corps members, departments would
identify basic requirements in education and experience.
Rotations to other departments and interagency professional
education could be required in order to hold certain positions
or to be promoted to certain levels.\26\
---------------------------------------------------------------------------
\26\ Supra note 1 at 103.
---------------------------------------------------------------------------
S. 589 would also establish the National Security Service
Board to govern the program and ensure that promotion rates for
those within the NSSC were at least comparable to those
elsewhere in the civil service. It would help establish the
guidelines for rotational assignments needed for a Corps member
to hold a given position and for the means of meeting the
members' educational requirements. Such guidance and oversight
will help ensure that there are compelling incentives for
professionals to join the NSSC.
Miscellaneous provisions
The Government Performance and Results Act of 1993 (GPRA)
\27\ requires that federally funded agencies develop and
implement an accountability system based on performance
measurement, including setting goals and objectives and
measuring progress toward achieving them. The legislation was
enacted after finding that federal managers are seriously
disadvantaged in their efforts to improve program efficiency
and effectiveness, because of insufficient articulation of
program goals and inadequate information on program
performance; and because congressional policymaking, spending
decisions and program oversight are seriously handicapped by
insufficient attention to program performance and results.\28\
---------------------------------------------------------------------------
\27\ Government Performance and Results Act of 1993, Pub. L. No.
103-62.
\28\ Id.
---------------------------------------------------------------------------
To fully comply with GPRA, agencies must focus on whether
their workforce includes all of the necessary skills to achieve
agency goals and objectives. To address this issue, the
Homeland Security Act (HSA) required agencies to include human
capital strategic planning in their performance plans and
program performance reports.\29\ However, many agencies have
important national security missions and objectives that need
to be fulfilled and may lack appropriate personnel to fulfill
these missions and objectives. In addition, these agencies may
not fully reflect their human capital strategic planning for
national security mission in their GPRA reporting. As such, S.
589 requires an additional discussion of the extent to which
specific skills in the agency's workforce are needed to achieve
missions critical to national security.
---------------------------------------------------------------------------
\29\ The Homeland Security Act, Pub. L. No. 107-296, Sec. 1311.
---------------------------------------------------------------------------
One of the lessons learned after September 11th was that
every agency has a role in preserving the security of our
nation. According to Mr. Donald Winstead, Assistant Director
for Compensation Administration at the Office of Personnel
Management, September 11th ``foreverchanged the federal
government's personnel requirements. Every agency must now consider its
work and mission in a new context, one that was nearly unimaginable
before. The skills needed by agencies to fulfill their expanded
homeland security missions are diverse and in many cases unique to the
particular mission of the agency.'' \30\
---------------------------------------------------------------------------
\30\ Critical Skills for National Security and the Homeland
Security Federal Workforce Act: Hearing on S. 1800 before the Subcomm.
on International Security, Proliferation, and Federal Services of the
Senate Committee on Governmental Affairs, 107th Cong. 468 (March 12,
2002) (testimony of Donald Winstead, Assistant Director for
Compensation Administration at the Office of Personnel Management).
---------------------------------------------------------------------------
For example, the Department of Education has a role in
ensuring an educated citizenry. The security, stability, and
economic vitality of the United States depend on American
citizens being knowledgeable about the world. To become so, we
need to encourage knowledge of foreign languages and cultures.
The lack of ongoing support for language and cultural programs
from both the Administration and Congress contributed to the
lack of skilled personnel translating key intelligence
documents.
This requirement is intended to highlight an agency's role
in preserving national security and ensure that well-rounded
national security workforce planning is part of an agency's
strategic plan. As a result, Congress will be better informed
about the national security role of each agency and can make
better informed funding decisions.
III. Legislative History
During the 107th Congress, Senator Richard Durbin, Senator
Fred Thompson, and Senator Daniel Akaka introduced the
predecessor to this legislation, S. 1800. Senator George Allen,
Senator Thad Cochran, Senator Susan Collins, and Senator George
Voinovich cosponsored the bill. On March 12, 2002, the
Committee on Governmental Affairs Subcommittee on International
Security, Proliferation, and Federal Services held a hearing
chaired by Senator Akaka, entitled, ``Critical Skills for
National Security and the Homeland Security Federal Workforce
Act.'' \31\
---------------------------------------------------------------------------
\31\ Supra note 30.
---------------------------------------------------------------------------
In his opening statement, Senator Akaka spoke of the ``lack
of critical personnel and needed skills in our national
security agencies.'' He emphasized that it had ``taken years of
neglect to reach this deficit in trained workers, and it will
take sustained efforts to hire, retain and retrain employees
with critical skills.'' \32\ Senator Voinovich, a cosponsor of
the legislation, stated that the bill includes ``important
flexibilities and innovative programs designed to make the
federal government a more attractive employer for applicants
with academic and professional background in areas critical to
national security.'' \33\
---------------------------------------------------------------------------
\32\ Id. (opening statement of Senator Akaka).
\33\ Id. (opening statement of Senator Voinovich).
---------------------------------------------------------------------------
Former Representative Lee Hamilton noted that the U.S.
Commission on National Security/21st Century, on which he
served, made recommendations on student loan repayment that
were similar to those included in S. 1800. He expressed his
strong support for S. 1800 and stated that the bill ``would
encourage more people to enter national security positions by
easing the financial sacrifices often associated with graduate
study and with government service.'' \34\ In his testimony,
Rep. Hamilton stressed the urgent need to attract and retain
talented and committed individuals to government service and,
in particular, civilian and military personnel in key positions
in national security departments and agencies.
---------------------------------------------------------------------------
\34\ Id. (testimony of Representative Lee Hamilton).
---------------------------------------------------------------------------
S. 589, the Homeland Security Federal Workforce Act, was
introduced by Senator Daniel Akaka, Senator George Allen,
Senator Richard Durbin, and Senator George Voinovich on March
11, 2003, and referred to the Governmental Affairs Committee.
The bill is cosponsored by Senator John Warner, Senator Sam
Brownback, Senator Saxby Chambliss, Senator Jay Rockefeller,
and Senator Susan Collins.
On June 17, 2003, the Committee met in open session to
consider S. 589. The Committee ordered the bill favorably
reported by voice vote, with no members present dissenting.
Senators present were as follows: Collins, Lieberman,
Voinovich, Coleman, Levin, Akaka, Carper, Lautenberg, and
Pryor.
IV. Section-by-Section Analysis
This section would provide that the bill may be cited as
the ``Homeland Security Federal Workforce Act.''
Section 2. Findings, purpose, and effect of law
This section contains findings of Congress, including the
finding that the United States must strengthen federal civilian
and military personnel systems in order to improve recruitment,
retention, and effectiveness at all levels. The section states
that the federal government has an interest in ensuring that
the employees of its departments and agencies with national
security responsibilities are prepared to meet the challenges
of the changing international environment.
Subsection (b) states that the purpose of the Homeland
Security Federal Workforce Act is to provide attractive
incentives to recruit capable individuals for government and
military service, and to provide the necessary resources,
accountability, and flexibility to meet the national security
educational needs of the Untied States, especially as such
needs change over time.
Subsection (c) clarifies that nothing in the Homeland
Security Federal Workforce Act shall be construed to affect the
collective bargaining unit status or rights of any federal
employee.
TITLE I--PILOT PROGRAM FOR STUDENT LOAN REPAYMENT FOR FEDERAL EMPLOYEES
IN AREAS OF CRITICAL IMPORTANCE
This section would amend subchapter VII of chapter 53 of
title 5 to establish a pilot program for student loan repayment
for Federal employees in areas of critical importance to
national security.
Paragraph (1) of subsection (a) would establish a new
section 5379A that would limit the pilot program to the
Departments of Defense, Homeland Security, State, Energy,
Treasury, and Justice, the National Security Agency, and the
Central Intelligence Agency. Paragraph (2) would limit the
pilot to employees in positions critical to national security,
as determined by the Office of Personnel Management in
consultation with the employing agency. Paragraph (3) would
state only federal loans are eligible for repayment under the
pilot program.
Subsection (b) would direct the Director of the Office of
Personnel Management to establish a pilot program to recruit
and retain qualified personnel for positions critical to
national security through the repayment of student loans.
Paragraph (3) of subsection (b) would limit payments under the
pilot program to no more than $10,000 per year or $80,000
total. Paragraph (4) would prohibit agencies from reimbursing
any employee for payments previously made on the loan prior to
any agreement established by the pilot program. Paragraph (5)
would clarify that the pilot program is not to affect any
existing student loan repayment programs, revoke or rescind any
existing law, or be used as a basis for removing employees from
collective bargaining units. Paragraph (6) would establish a
fund at the Office of Personnel Management to be used by
agencies to provide the repayments authorized under the
program.
Subsection (c) would establish reporting requirements to
assist Congress in reviewing the status of the program and its
success in recruiting and retaining employees for national
security positions, including an assessment as to whether the
program should be expanded to other agencies or to non-national
security positions to improve overall federal workforce
recruitment and retention.
Subsection (d) would declare that employees who are in
positions in the excepted service because of the confidential,
policy-determining, policy-making, or policy-advocating
character of the position are not eligible.
Subsection (e) would require that employees selected to
receive benefits under the section agree in writing to remain
in the federal government for at least three years. If the
employee voluntarily leaves service or is separated
involuntarily due to misconduct, the employee must repay the
amount received. This section also discusses recovery of
benefits.
Subsection (f) would clarify that an employee who fails to
maintain an acceptable level of performance shall be declared
ineligible for continued benefits under this section.
Subsection (g) would require agencies to take into
consideration the need to maintain a balanced workforce when
selecting individuals for this benefit.
Subsection (h) would state that the benefit under the pilot
program will be in addition to basic pay or other form of
compensation.
Subsection (i) would authorize appropriations as necessary
to carry out this pilot program established under this title.
Subsection (j) would establish the length of the pilot
program to be eight years. The subsection states that employees
recruited under the pilot program would continue to receive
benefits regardless of the length of the pilot program.
Subsection (k) would require the Office of Personnel
Management to propose regulations within two months after the
date of enactment, with final regulations promulgated no later
than six months after the date on which the initial comment
period for the proposed regulations expires.
TITLE II--FELLOWSHIPS FOR GRADUATE STUDENTS TO ENTER FEDERAL SERVICE
Sec. 201 would amend subchapter VII of chapter 53 of title
5, as amended by section 101, to create section 5379B to
establish fellowships for graduate students to enter federal
service.
Subsection (a) would limit agencies eligible to participate
in the fellowship program to the Departments of Defense,
Homeland Security, Justice, State, Energy, and Treasury, the
National Security Agency, the Central Intelligence Agency, and
other federal government agencies as determined by the National
Security Service Board.
Subsection (b) would require the Director of the Office of
Personnel Management to establish and implement a program for
the awarding of fellowships to graduate students who, in
exchange for receipt of the fellowship, agree to employment
with the federal government in a national security position.
Subsection (c) states that in order to be eligible to
participate in the fellowship program, applicants must be
accepted to graduate school and pursuing the disciplines of
foreign language, science, mathematics, engineering, non-
proliferation education, or other international fields that are
critical areas of national security; be a U.S. citizen, U.S.
national, permanent legal resident, or citizen of the Freely
Associated States; and agree to employment with an agency of
the federal government in a national security position.
Subsection (d) would require fellows to agree to maintain
satisfactory academic progress, provide regular updates on
progress to the Director of the Office of Personnel Management,
andagree to be employed by the government for at least three
years. Paragraph (3) of subsection (d) would require fellows who fail
to meet the requirements of the program to repay the amount of the
award with interest, but not higher than the rate generally applied in
connection with other federal education loans.
Subsection (e) would permit a fellow who is unable to
obtain a national security position due to the inability to
obtain the requisite clearance to work in a non-national
security position for the federal government, or teach or
perform research at an institution of higher education. The
Director of the Office of Personnel Management would be
required to approve such a request.
Subsection (f) would require the Director of the Office of
Personnel Management to consult and cooperate with the National
Security Service Board to administer the fellowship program,
including the establishment of guidelines and requirements for
qualifications for students desiring fellowships under the
program. Paragraph (2) of subsection (f) would establish the
National Security Service Board.
Subsection (g) would require that twenty percent of all
fellowships awarded be set aside for federal employees working
in national security positions to enhance the education and
training of employees in areas important to national security.
Paragraph (2) of subsection (g) would allow federal employees
who receive the fellowships to obtain the advanced education on
a part-time or full-time basis.
Subsection (h) would allow individuals who are fellows
under the program to count their service to the federal
government under the program as time used to repay student
loans under Title I of this bill.
Subsection (i) would allow fellows to receive funding under
the program for up to three years. Paragraphs (1) and (2) of
subsection (i) would limit the amount of the fellowships to no
more than the amount of tuition paid by the fellow and a
stipend equal to that awarded to National Security Foundation
fellows under section 10 of the National Science Foundation Act
of 1950 (42 U.S.C. 1869).
Subsection (j) would authorize $100,000,000 for fiscal year
2004 to enable the Director of the Office of Personnel
Management to recruit and retain highly qualified employees in
national security positions for the program.
Subsection (k) would clarify that selection for a
fellowship position would have no impact on the employee's
rights under chapter 71 of title 5, relating to collective
bargaining rights.
TITLE III--NATIONAL SECURITY SERVICE CORPS
Section 301 would establish a National Security Service
Corps to enhance civilian career paths, and to provide a corps
experts with broad-based experience throughout the Executive
Branch.
Paragraph (2) of subsection (a) would clarify that the
intent of Congress in establishing the section would be to
provide mid-level employees in national security positions
within agencies the opportunity to broaden their knowledge
through exposure to other agencies and to expand the knowledge
base of national security agencies by providing for rotational
assignments of their employees at other agencies.
Subsection (b) would limit the application of section 301
to the Departments of Defense, Justice, Homeland Security,
State, Energy, and Treasury, and the National Security Agency.
Paragraph (4) of subsection (b) would define Corps positions as
positions that are at or above GS-12 of the General Schedule or
are in the Senior Executive Service; have duties that do not
relate to intelligence support for policy; and are designated
by the head of an agency as a Corps position.
Subsection (c) would require the National Security Service
Board established under section 5379B(f)(2) of title 5 to
review civil service rules and regulations to facilitate the
Corps program, develop incentives for rotation, and establish
interagency agreements relating to the rotation of employees.
Paragraph (6) of subsection (c) would require the National
Security Service Board to report to the Office of Personnel
Management on their findings and relevant information on the
establishment of the National Security Service Corps within 180
days after the date of enactment.
Subsection (d) would require the Office of Personnel
Management to issue regulations no later than 180 days after
receiving the National Security Service Board report required
under subsection (c) providing for the establishment and
operation of the National Security Service Corps program.
Paragraph (4) of subsection (d) would require agencies to
designate National Security Service Corps positions and begin
active participation in the operation of the Corps no later
than 180 days after the promulgation of final regulations under
paragraph (3) of subsection (d).
Subsection (e) would clarify that Corps participants
serving in another agency will retain their rights and benefits
and be considered to be employees of the original employing
agency.
Subsection (f) would authorize such sums as may be
necessary to carry out section 301.
TITLE IV--MISCELLANEOUS PROVISIONS
Section 401 would amend section 306(a)(3) of title 5 to
require agencies to include a discussion of the specific skills
needed to achieve the mission, goals and objectives of the
agency in the content of their strategic plans, especially to
the extent the agency's missions, goals, and objectives are
critical to ensuring national security.
Section 402 would amend section 1115(a) of title 31 to
require agencies to pay particular attention in their
performance plans to the extent to which specific skills are
needed to accomplish the performance goals and indicators that
are critical to ensuring the national security.
Section 403 would amend section 1116 of title 31 to require
agencies to specify which performance goals and indicators are
critical to enuring national security and whether human capital
deficiencies contributed to the failure of the agency to
achieve that goal in their respective program performance
reports.
V. Evaluation of Regulatory Impact
S. 589 contains no intergovernmental or private-sector
mandates as defined in UMRA and would impose no costs on state,
local, or tribal governments.
VI. CBO Cost Estimate
U.S. Congress,
Congressional Budget Office,
Washington, DC, July 1, 2003.
Hon. Susan M. Collins,
Chairman, Committee on Governmental Affairs,
U.S. Senate, Washington, DC.
Dear Madam Chairman: The Congressional Budget Office has
prepared the enclosed estimate for S. 589, the Homeland
Security Federal Workforce Act
If you wish further details on this estimate, we will be
pleased to provide them. The CBO staff contact is Matthew
Pickford.
Sincerely,
Douglas Holtz-Eakin,
Director.
Enclosure.
S. 589--Homeland Security Federal Workforce Act
Summary: S. 589 would authorize new programs to recruit and
retain federal employees who have skills important to national
security. Agencies participating in the new programs would
include the Departments of Defense, Homeland Security, State,
Energy, Treasury, and Justice, as well as the National Security
Administration (NSA, and the Central Intelligence Agency (CIA).
The bill would create a pilot program to repay student loans
for federal employees involved in national security, a national
security fellowship program, and a National Security Service
Corps.
CBO estimates that implementing S. 589 would cost about
$600 million over the 2004-2008 period, assuming appropriation
of the necessary amounts. Enacting S. 589 would not affect
direct spending or revenues. The bill contains no
intergovernment or private-sector mandates as defined by the
Unfunded Mandates Reform Act (UMRA) and would not affect the
budgets of state, local, or tribal governments.
Estimated cost to the Federal Government: The estimated
budgetary impact of S. 589 is shown in the following table. The
costs of this legislation fall within budget function 800
(general government).
----------------------------------------------------------------------------------------------------------------
By fiscal year, in millions of dollars--
--------------------------------------------
2004 2005 2006 2007 2008
----------------------------------------------------------------------------------------------------------------
CHANGES IN SPENDING SUBJECT TO APPROPRIATION
Proposed Changes:
National Security Fellowship Program:
Authorization Level........................................ 100 102 104 106 108
Estimated Outlays.......................................... 10 102 104 106 108
National Security Student Loan Repayment:
Estimated Authorization Level.............................. 20 63 66 18 8
Estimated Outlays.......................................... 19 61 66 20 9
Total Changes:
Estimated Authorization Level.................................. 120 165 170 124 116
Estimated Outlays.............................................. 29 163 170 126 117
----------------------------------------------------------------------------------------------------------------
Basis of estimate: For this estimate, CBO assumes that the
bill will be enacted near the end of fiscal year 2003, that the
necessary amounts will be provided each year, and that spending
will follow historical patterns for similar programs.
National Security Fellowship Program. The bill would
authorize the appropriation of $100 million in fiscal year 2004
and such sums as may be necessary for each subsequent year for
the Office of Personnel Management (OPM) to establish and
implement a National Security Fellowship program. This program
would provide graduate study fellowship awards (for up to three
years) to graduate students who agree to subsequent employment
with the federal government in national security positions. Up
to 20 percent of the fellowships would be set aside for current
federal employees working in national security positions. All
recipients of the fellowships would be required to be employed
in national security positions for at least three years
following their education. The legislation would also establish
a National Security Service Board made up of 13 members of the
national seucrity agencies to select and place all eligible
fellows. CBO estimates that implementing those programs over
the 2004-2008 period would cost $430 million, assuming that the
amount authorized to be appropriated for the first year of the
program would be increased to account for anticipated
inflation.
National Security Student Loan Repayment. Section 101 would
authorize appropriations for OPM to establish a pilot program
that would repay student loans for current and future national
security employees. The pilot program would be available to
help agencies retain and recruit federal employees working in
areas of critical importance. The eight-year program would
allow agencies to offer eligible employees up to $10,000
annually ($80,000 per person) to repay federal student loans.
Assuming appropriation of the necessary amounts, CBO estimates
that implementing this provision would cost around $20 million
in 2004 and $175 million over the 2004-2008 period. That
estimate excludes costs for the CIA and NSA because the number
of potential beneficiaries of this program working for those
agencies is classified.
Loan Repayment Benefit for Current Employees. Currently,
there are 191,000 professional, white collar positions within
the Departments of Defense, Justice, Energy, State, and
Treasury. (That figure excludes positions at NSA and CIA
because their personnel data are classified.) CBO expects that
only a few job classifications would be deemed critical to
national security--such as nuclear engineering, physics,
chemistry, and foreign affairs. OPM does not currently track
employment in the federal government based on any definition or
classification of ``national security.'' The cost of
implementing this legislation would depend on OPM's
interpretation of how many ``national security'' positions
exist in the federal government.
For this estimate, CBO assumes that relatively few job
classifications would be determined by OPM to be national
security positions--resulting in about 20,000 possible
participants. We expect that the program would mainly be used
by younger workers with outstanding student loans, and we used
information on the age of federal employees to estimate that
the fund would be used by about 6,000 employees to pay off the
average amount of outstanding student loan balance--$25,000--at
a total cost of $150 million over the 2004-2008 period.
Loan Repayment Benefit for Future Employees. The new
program could also be used to recruit and retain new hires for
national security positions beginning in 2005. CBO assumes that
the positions determined to be national security positions
would have a lower-than-average-turnover rate, resulting in an
average of 300 new employees a year who would be eligible for
the student loan repayment benefit. We expect that agencies
would use the new authority to actively recruit new ``national
security'' employees and that the fund would make student loan
repayments at the $10,000 maximum until the student loans of
new hires are paid off over two to three years on average.
Assuming appropriation of the necessary amounts, CBO estimates
that the loan repayment benefit for future employees woiuld
cost about $25 million over the 2004-2008 period.
National Security Service Corps. Section 301 would
authorize the appropriation of funds for OPM to establish a
National Security Service Corps. Under the direction of the
National Security Board, the National Security Corps would
allow mid-level federal employees in national security
positions to take up to two-year employment rotations within
most other national security agencies. CBO estimates that
implementing this provision would cost less than $500,000 for
OPM and the National Security Board to issue regulations and
implement the program.
Intergovernmental and private-sector impact: S. 589
contains no intergovernmental or private-sector mandates as
defined in the Unfunded Mandates Reform Act and would not
affect the budgets of state, local, or tribal governments.
Estimate prepared by: Federal Costs: Matthew Pickford;
Impact on State, Local, and Tribal Governments: Melissa
Merrell; and Impact on the Private Sector: Paige Piper/Bach.
Estimate approved by: Paul R. Cullinan, Chief for Human
Resources Cost Estimates Unit, Budget Analysis Division.
VII. ADDITIONAL VIEWS OF SENATOR VOINOVICH
Overall, S. 589, the Homeland Security Federal Workforce
Act, contains a number of creative concepts that are worth
further consideration. Although I am a cosponsor of this
legislation, I have concerns with several of its provisions.
During the 1st Session of the 107th Congress, in the wake of
the terrorist attacks of September 11, 2001, I cosponsored S.
1800, \1\ a bill Senator Durbin introduced to address some of
the federal workforce challenges on which we had been working
together to develop solutions. While I was not in complete
accord with the programs envisaged by S. 1800, I was pleased to
support the efforts of Senators Durbin, Akaka, and others in
crafting legislation on an issue of great importance to our
Nation--reforming the federal government's strategic human
capital management. S. 589 is a similar measure to S. 1800, and
through my cosponsorship I sought to continue our dialogue on
improving the government's educational and personnel programs
to attract top quality talent to public service. Nevertheless,
I am concerned that the modifications to current law proposed
in S. 589, as reported by the Committee, could have the
unintended consequence of further complicating the already
tangled federal civil service code with additional layers of
initiatives similar to existing programs.
---------------------------------------------------------------------------
\1\ Homeland Security Federal Workforce Act, S. 1800, 107th
Congress.
---------------------------------------------------------------------------
First, the bill would establish a duplicative student loan
repayment program for federal employees serving in national
security positions. The current governmentwide loan repayment
program was first authorized in 1990. \2\ However, for over a
decade no regulations were promulgated to implement the law,
and in 2000, Congress again authorized a student loan repayment
program for federal employees, \3\ for which the Office of
Personnel Management (OPM) ultimately issued regulations in
July 2001. \4\ As a result, this program, although authorized
13 years ago, is currently entering its third year of use and
only recently beginning to demonstrate its utility as a
recruitment and retention tool. According to a recent OPM
report to Congress, \5\ in Fiscal Year 2001 only one agency
authorized a student loan repayment; however, in Fiscal Year
2002, there was marked improvement as 16 federal agencies
provided more than $3.1 million in student loan repayments for
690 federal employees. While this is a heartening trend, it
will take additional time to evaluate whether the program needs
to be modified or supplemented with other loan repayment
initiatives, such as the one proposed in S. 589. As Senator
Akaka observed in his supplemental views on S. 926, the Federal
Employee Student Loan Assistance Act, which the Committee
recently reported, \6\ adequate funding should be provided to
help ensure the success of the existing federal student loan
repayment program. I agree with this assessment and encourage
federal agencies to make business cases for the annual funding
of this important authority.
---------------------------------------------------------------------------
\2\ National Defense Authorization Act for Fiscal Year 1991, Pub.
L. No. 101-510.
\3\ Floyd D. Spence National Defense Authorization Act for Fiscal
Year 2001, Pub. L. No. 106-398.
\4\ 5 C.F.R. Part 537.
\5\ Federal Student Loan Repayment Program, Fiscal Year 2002,
Report to the Congress, Office of Personnel Management, June 2003.
\6\ Report to Accompany S. 926, Federal Employee Student Loan
Assistance Act, Senate Committee on Governmental Affairs, July 21,
2003.
---------------------------------------------------------------------------
Second, the bill would establish a fellowship program
similar to the National Security Education Program (NSEP),
which was created by Congress in 1991. \7\ NSEP has been
successfully employed to provide students opportunities for
overseas study of foreign cultures and languages in return for
subsequent employment in the federal government. To strengthen
that program, I authored provisions that became law as part of
the Homeland Security Act of 2002 to allow NSEP graduates to
avail themselves of a broader array of employment opportunities
in the federal government and higher education. This action was
taken to address the challenge many NSEP graduates faced in
being hired for national security positions in federal
agencies. S. 589 would create a separate, similar program to
NSEP, when the national security community and American college
and graduate students could be better served by further
strengthening NSEP.
---------------------------------------------------------------------------
\7\ David L. Boren National Security Education Act of 1991, Pub. L.
No. 102-183.
---------------------------------------------------------------------------
Third, the bill would establish a rotational assignment
program for rising federal employees and managers. One of the
key elements of the Civil Service Reform Act of 1978, \8\ was
the creation of a Senior Executive Service (SES), featuring
mobility of the federal government's senior career managers
among federal agencies with the goal of cross-pollinating best
practices and fostering professional development.
Unfortunately, this element of the SES has not been widely
implemented, due in part to the fact that agencies are
reluctant to lose top managers to other agencies, even for
short periods of time. S. 589 would create a National Security
Service Corps (NSSC), which would allow mid-level federal
employees (GS-12 and higher, as well as SES members) in
national security positions to serve on detail assignments of
up to two years within other national security agencies. As
with the other proposals contained in S. 589, the NSSC is
similar to existing authorities, such as the successful
Presidential Management Intern Program, which offers
opportunities for rotational assignments including but not
limited to national security positions. In addition, under
existing authority an employee may participate in a
reimbursable detail, which is a temporary assignment to perform
the duties of a different position for a specified period of
time.
---------------------------------------------------------------------------
\8\ Civil Service Reform Act of 1978, Pub. L. No. 95-454.
---------------------------------------------------------------------------
Finally, the bill would require an additional reporting
requirement under the Government Performance and Results Act of
1993 (GRPA). \9\ GPRA requires federal agencies to file
strategic plans every three years and annual performance
reports and performance plans that serve as intermediate
measures of progress on the strategic plans. This law is a
general management tool that allows agencies the flexibility to
report to Congress on areas that are important to their
missions as well as areas in which they are facing management
challenges, such as human capital and financial accountability.
S. 589 would amend GPRA by requiring agencies to report on the
impact of their human capital on any national security goals
they might have. The Homeland Security Act of 2002 included
provisions I authored to require all agencies to report on all
human capital needs, a requirement that is more harmonious with
GPRA's original intent and the current management challenges
requirement. \10\ The establishment of an additional reporting
requirement on a specific aspect (national security) of a
specific management area (human capital) could set a precedent
to encourage further Congressional micromanagement of agencies,
thus unraveling the GPRA reporting process, which after a
decade is becoming a useful management and budgeting tool.
---------------------------------------------------------------------------
\9\ Government Performance and Results Act of 1993, Pub. L. No.
103-62.
\10\ Homeland Security Act of 2002, Pub. L. No. 107-296.
---------------------------------------------------------------------------
In a March 2002 hearing on S. 1800, the predecessor
legislation to S. 589, I stated that the bill includes
``programs designed to make the federal government a more
attractive employer for applicants with academic and
professional backgrounds in areas critical to national
security.'' \11\ Despite its design and intent, however, I
believe the bill in its current form would establish an array
of programs similar to several that already exist, either as
historically successful initiatives, such as the National
Security Education Program, or more recent authorities that
simply require time to prove their effectiveness, such as the
federal student loan repayment program. The federal
government--and the men and women who do the important work of
public service for the American taxpayer each day--would be
better served through a careful examination of how to
strengthen such current incentives and professional development
programs.
---------------------------------------------------------------------------
\11\ Critical Skills for National Security and the Homeland
Security Federal Workforce Act: Hearing on S. 1800 before the
Subcommittee on International Security, Proliferation, and Federal
Services of the Senate Committee on Governmental Affairs, 107th
Congress (March 12, 2002) (opening statement of Senator Voinovich).
George V. Voinovich.
VIII. Changes to Existing Law
In compliance with paragraph 12 of rule XXVI of the
Standing Rules of the Senate, changes in existing laws made by
S. 589 as reported are shown as follows (existing law proposed
to be omitted is enclosed in black brackets, new matter is
printed in italic, existing law in which no change is proposed
is shown in roman):
TITLE 5. GOVERNMENT ORGANIZATION AND EMPLOYEES
PART I--THE AGENCIES GENERALLY
CHAPTER 3--POWERS
Sec. 306. Strategic plans
(a) No later than September 30, 1997, the head of each
agency shall submit to the Director of the Office of Management
and Budget and to the Congress a strategic plan for program
activities. Such plan shall contain--
(1) a comprehensive mission statement covering the
major functions and operations of the agency;
(2) general goals and objectives, including outcome-
related goals and objectives, for the major functions
and operations of the agency;
(3) a description of how the goals and objectives are
to be achieved, including a description of the
operational processes, skills and technology, and the
human, capital, information, and other resources
required to meet those goals and objectives, a
discussion of the extent to which specific skills in
the agency's human capital are needed to achieve the
mission, goals and objectives of the agency, especially
to the extent the agency's mission, goals and
objectives are critical to ensuring the national
security;
(4) a description of how the performance goals
included in the plan required by section 1115(a) of
title 31 shall be related to the general goals and
objectives in the strategic plan;
(5) an identification of those key factors external
to the agency and beyond its control that could
significantly affect the achievement of the general
goals and objectives; and
(6) a description of the program evaluations used in
establishing or revising general goals and objectives,
with a schedule for future program evaluations.
PART III. EMPLOYEES
Subpart D--Pay and Allowances
CHAPTER 53--PAY RATES AND SYSTEMS
Subchapter VII--Miscellaneous Provisions
SEC. 5379. STUDENT LOAN REPAYMENTS.
(a) * * *
SEC. 5379A. PILOT PROGRAM FOR STUDENT LOAN REPAYMENT FOR FEDERAL
EMPLOYEES IN AREAS OF CRITICAL IMPORTANCE.
(a) Definitions.--In this section:
(1) Agency.--The term ``agency'' means an agency of
the Department of Defense, the Department of Homeland
Security, the Department of State, the Department of
Energy, the Department of the Treasury, the Department
of Justice, the National Security Agency, and the
Central Intelligence Agency.
(2) National security position.--The term ``national
security position'' means an employment position
determined by the Director of the Office of Personnel
Management, in consultation with an agency, for the
purposes of the Pilot Program for Student Loan
Forgiveness in Areas of Critical Importance established
under this section, to involve important homeland
security applications.
(3) Student loan.--The term ``student loan'' means--
(A) a loan made, insured, or guaranteed under
part B of title IV of the Higher Education Act
of 1965 (20 U.S.C. 1071 et seq.);
(B) a loan made under part D or E of title IV
of the Higher Education Act of 1965 (20 U.S.C.
1087a et seq., 1087aa et seq.); and
(C) a health education assistance loan made
or insured under part A of title VII of the
Public Health Service Act (42 U.S.C. 292 et
seq.) or under part E of title VIII of such Act
(42 U.S.C. 297a et seq.).
(b) Establishment and Operation.--
(1) In general.--The Director of the Office of
Personnel Management shall, in order to recruit or
retain highly qualified professional personnel,
establish a pilot program under which the head of an
agency may agree to repay (by direct payments on behalf
of the employee) any student loan previously taken out
by such employee if the employee is employed by the
agency in a national security position.
(2) Terms and conditions of payment.--Payments under
this section shall be made subject to such terms,
limitations, or conditions as may be mutually agreed to
by the agency and employee concerned.
(3) Payments.--The amount paid by the agency on
behalf of an employee under this section may not exceed
$10,000 towards the remaining balance of the student
loan for each year that the employee remains in service
in the position, except that the employee must remain
in such position for at least 3 years. The maximum
amount that may be paid on behalf of an employee under
this paragraph shall be $80,000.
(4) Limitation.--Nothing in this section shall be
considered to authorize an agency to pay any amount to
reimburse an employee for any repayments made by such
employee prior to the agency's entering into an
agreement under this section with such employee.
(5) Rule of construction.--Nothing in this section
shall be construed--
(A) to affect student loan repayment programs
existing on the date of enactment of this
section;
(B) to revoke or rescind any existing law,
collective bargaining agreement, or recognition
of a labor organization;
(C) to authorize the Office of Personnel
Management to determine national security
positions for any other purpose other than to
make such determinations as are required by
this section in order to carry out the purposes
of this section; or
(D) as a basis for determining the exemption
of any position from inclusion in a bargaining
unit pursuant to chapter 71 of title 5, United
States Code, or from the right of any incumbent
of a national security position determined by
the Office of Personnel Management pursuant to
this section, from entitlement to all rights
and benefits under such chapter.
(6) Fund.--As part of the program established under
paragraph (1), the Director shall establish a fund
within the Office of Personnel Management to be used by
agencies to provide the repayments authorized under the
program.
(c) General Provisions.--
(1) Coordination.--The Director of the Office of
Personnel Management shall coordinate the program
established under this section with the heads of
agencies to recruit employees to serve in national
security positions.
(2) Reports.--
(A) Allocation and implementation.--Not later
than 6 months after the date of enactment of
this section, the Director of the Office of
Personnel Management shall report to the
appropriate committees of Congress on the
manner in which the Director will allocate
funds and implement the program under this
section.
(B) Status and success.--Not later than 4
years after the date of enactment of this
section, the Director of the Office of
Personnel Management shall report to the
appropriate Committees on Congress on the
status of the program and its success in
recruiting and retaining employees for national
security positions, including an assessment as
to whether the program should be expanded to
other agencies or to non-national security
positions to improve overall Federal workforce
recruitment and retention.
(d) Ineligible Employees.--An employee shall not be
eligible for benefits under this section if such employee--
(1) occupies a position that is excepted from the
competitive service because of its confidential,
policy-determining, policy-making, or policy-advocating
character; or
(2) does not occupy a national security position.
(e) Terms of Agreement.--
(1) In general.--An employee selected to receive
benefits under this section shall agree in writing,
before receiving any such benefit, that the employee
will--
(A) remain in the service of the agency in a
national security position for a period to be
specified in the agreement, but not less than 3
years, unless involuntarily separated; and
(B) if separated involuntarily on account of
misconduct, or voluntarily, before the end of
the period specified in the agreement, repay to
the Government the amount of any benefits
received by such employee from that agency
under this section.
(2) Service with other agency.--The repayment
provided for under paragraph (1)(B) may not be required
of an employee who leaves the service of such
employee's agency voluntarily to enter into the service
of any other agency unless the head of the agency that
authorized the benefits notifies the employee before
the effective date of such employee's entrance into the
service of the other agency that repayment will be
required under this subsection.
(3) Recovery of amounts.--If an employee who is
involuntarily separated on account of misconduct or who
(excluding any employee relieved of liability under
paragraph (2)) is voluntarily separated before
completing the required period of service fails to
repay the amount provided for under paragraph (1)(B), a
sum equal to the amount outstanding is recoverable by
the Government from the employee (or such employee's
estate, if applicable) by--
(A) setoff against accrued pay, compensation,
amount of retirement credit, or other amount
due the employee from the Government; and
(B) such other method as is provided for by
law for the recovery of amounts owing to the
Government.
(4) Waiver.--The head of the agency concerned may
waive, in whole or in part, a right of recovery under
this subsection if it is shown that recovery would be
against equity and good conscience or against the
public interest.
(5) Crediting of account.--Any amount repaid by, or
recovered from, an individual (or an estate) under this
subsection shall be credited to the fund under
subsection (b)(6). Any amount so credited shall be
merged with other sums in such fund and shall be
available for the same purposes and period, and subject
to the same limitations (if any), as the sums with
which merged.
(f) Termination of Repayment.--An employee receiving
benefits under this section from an agency shall be ineligible
for continued benefits under this section from such agency if
the employee--
(1) separates from such agency; or
(2) does not maintain an acceptable level of
performance, as determined under standards and
procedures which the agency head shall by regulation
prescribe.
(g) Equal Employment.--In selecting employees to receive
benefits under this section, an agency shall, consistent with
the merit system principles set forth in paragraphs (1) and (2)
of section 2301(b) of this title, take into consideration the
need to maintain a balanced workforce in which women and
members of racial and ethnic minority groups are appropriately
represented in Government service.
(h) Additional Benefit.--Any benefit under this section
shall be in addition to basic pay and any other form of
compensation otherwise payable to the employee involved.
(i) Appropriations Authorized.--For the purpose of enabling
the Federal Government to recruit and retain employees critical
to our national security pursuant to this section, there are
authorized to be appropriated such sums as may be necessary to
carry out this section for each fiscal year.
(j) Length of Program.--The program under this section
shall remain in effect for the 8-year period beginning on the
date of enactment of this section. The program shall continue
to pay employees recruited under this program who are in
compliance with this section their benefits through their
commitment period regardless of the preceding sentence.
(k) Regulations.--Not later than 2 months after the date of
enactment of this section, the Director of the Office of
Personnel Management shall propose regulations to carry out
this section. Not later than 6 months after the date on which
the comment period for the regulations proposed under the
preceding sentence ends, the Secretary shall promulgate final
regulations to carry out this section.
SEC. 5379B. FELLOWSHIPS FOR GRADUATE STUDENTS TO ENTER FEDERAL SERVICE.
(a) Definitions.--In this section:
(1) Agency.--The term ``agency'' means an agency of
the Department of Defense, the Department of Homeland
Security, the Department of State, the Department of
Energy, the Department of the Treasury, the Department
of Justice, the National Security Agency, and the
Central Intelligence Agency, and other Federal
Government agencies as determined by the National
Security Service Board under subsection (f).
(2) Director.--The term ``Director'' means the
Director of the Office of Personnel Management.
(3) Institution of higher education.--The term
``institution of higher education'' has the meaning
given to such term in section 101 of the Higher
Education Act of 1965 (20 U.S.C. 1001).
(4) National security position.--The term ``national
security position'' means an employment position
determined by the Director of the Office of Personnel
Management, in consultation with an agency, for the
purposes of a program established for Fellowships for
Graduate Students to Enter Federal Services as
established under this section, to involve important
homeland security applications.
(5) Science.--The term ``science'' means any of the
natural and physical sciences including chemistry,
biology, physics, and computer science. Such term does
not include any of the social sciences.
(b) In General.--The Director shall establish and implement
a program for the awarding of fellowships (to be known as
``National Security Fellowships'') to graduate students who, in
exchange for receipt of the fellowship, agree to employment
with the Federal Government in a national security position.
(c) Eligibility.--To be eligible to participate in the
program established under subsection (b), a student shall--
(1) have been accepted into a graduate school program
at an accredited institution of higher education within
the United States and be pursuing or intend to pursue
graduate education in the United States in the
disciplines of foreign languages, science, mathematics,
engineering, nonproliferation education, or other
international fields that are critical areas of
national security (as determined by the Director);
(2) be a United States citizen, United States
national, permanent legal resident, or citizen of the
Freely Associated States; and
(3) agree to employment with an agency or office of
the Federal Government in a national security position.
(d) Service Agreement.--In awarding a fellowship under the
program under this section, the Director shall require the
recipient to enter into an agreement under which, in
exchangefor such assistance, the recipient--
(1) will maintain satisfactory academic progress (as
determined in accordance with regulations issued by the
Director) and provide regularly scheduled updates to
the Director on the progress of their education and how
their employment continues to relate to a national
security objective of the Federal Government;
(2) will, upon completion of such education, be
employed by the agency for which the fellowship was
awarded for a period of at least 3 years as specified
by the Director; and
(3) agrees that if the recipient is unable to meet
either of the requirements described in paragraph (1)
or (2), the recipient will reimburse the United States
for the amount of the assistance provided to the
recipient under the fellowship, together with interest
at a rate determined in accordance with regulations
issued by the Director, but not higher than the rate
generally applied in connection with other Federal
education loans.
(e) Federal Employment Eligibility.--If a recipient of a
fellowship under this section demonstrates to the satisfaction
of the Director that, after completing their education, the
recipient is unable to obtain a national security position in
the Federal Government because such recipient is not eligible
for a security clearance or other applicable clearance
necessary for such position, the Director may permit the
recipient to fulfill the service obligation under the agreement
under subsection (d) by working in another office or agency in
the Federal Government for which their skills are appropriate,
by teaching math, science, or foreign languages, or by
performing research, at an institution of higher education, for
a period of not less than 3 years, in the area of study for
which the fellowship was awarded.
(f) Fellowship Selection.--
(1) In general.--The Director shall consult and
cooperate with the National Security Service Board
established under paragraph (2) in the selection and
placement of national security fellows under this
section.
(2) National security service board.--
(A) Establishment of board.--There is
established the National Security Service
Board.
(B) Membership.--The Board shall be composed
of--
(i) the Director of the Office of
Personnel Management, who shall serve
as the chairperson of the Board;
(ii) the Secretary of Defense;
(iii) the Secretary of Homeland
Security;
(iv) the Secretary of State;
(v) the Secretary of the Treasury;
(vi) the Attorney General;
(vii) the Director of the Central
Intelligence Agency;
(viii) the Director of the Federal
Bureau of Investigation;
(ix) the Director of the National
Security Agency;
(x) the Secretary of Energy;
(xi) the Director of the Office of
Science and Technology Policy; and
(xii) 2 employees, to be appointed by
each of the officials described in
clauses (ii) through (ix), of each
Department for which such officials
have responsibility for administering,
of whom--
(I) 1 shall perform senior
level policy functions; and
(II) 1 shall perform human
resources functions.
(C) Functions.--The Board shall carry out the
following functions:
(i) Develop criteria for awarding
fellowships under this section.
(ii) Provide for the wide
dissemination of information regarding
the activities assisted under this
section.
(iii) Establish qualifications for
students desiring fellowships under
this section, including a requirement
that the student have a demonstrated
commitment to the study of the
discipline for which the fellowship is
to be awarded.
(iv) Provide the Director semi-
annually with a list of fellowship
recipients, including an identification
of their skills, who are available to
work in a national security position.
(v) Not later than 30 days after a
fellowship recipient completes the
study or education for which assistance
was provided under this section, work
in conjunction with the Director to
make reasonable efforts to hire and
place the fellow in an appropriate
national security position.
(vi) Review the administration of the
program established under this section.
(vii) Develop and provide to Congress
a strategic plan that identifies the
skills needed by the Federal national
security workforce and how the
provisions of this Act, and related
laws, regulations, and policies will be
used to address such needs.
(viii) Carry out additional functions
under section 301 of the Homeland
Security Federal Workforce Act.
(g) Special Consideration for Current Federal Employees.--
(1) Set aside of fellowships.--Twenty percent of the
fellowships awarded under this section shall be set
aside for Federal employees who are working innational
security positions on the date of enactment of this section to enhance
the education and training of such employees in areas important to
national security.
(2) Full- or part-time education.--Federal employees
who are awarded fellowships under paragraph (1) shall
be permitted to obtain advanced education under the
fellowship on a full-time or part-time basis.
(3) Part-time education.--A Federal employee who
pursues education or training under a fellowship under
paragraph (1) on a part-time basis shall be eligible
for a stipend in an amount which, when added to the
employee's part-time compensation, does not exceed the
amount described in subsection (i)(2).
(h) Fellowship Service.--Any individual under this section
who is employed by the Federal Government in a national
security position shall be able to count the time that the
individual spent in the fellowship program towards the time
requirement for a reduction in student loans as described in
section 5379A.
(i) Amount of Award.--A National Security Fellow who
complies with the requirements of this section may receive
funding under the fellowship for up to 3 years at an amount
determined appropriate by the Director, but not to exceed the
sum of--
(1) the amount of tuition paid by the fellow; and
(2) a stipend in an amount equal to the maximum
stipend available to recipients of fellowships under
section 10 of the National Science Foundation Act of
1950 (42 U.S.C. 1869) for the year involved.
(j) Appropriations Authorized.--For the purpose of enabling
the Director to recruit and retain highly qualified employees
in national security positions, there are authorized to be
appropriated $100,000,000 for fiscal year 2004, and such sums
as may be necessary for each subsequent fiscal year.
(k) Rule of Construction.--Nothing in this section shall be
construed--
(1) to authorize the Office of Personnel Management
to determine national security positions for any other
purpose other than to make such determinations as are
required by this section in order to carry out the
purposes of this section; and
(2) as a basis for determining the exemption of any
position from inclusion in a bargaining unit pursuant
to chapter 71 of title 5, United States Code, or from
the right of any incumbent of a national security
position determined by the Office of Personnel
Management pursuant to this section, from entitlement
to all rights and benefits under such chapter.
TITLE 31--MONEY AND FINANCE
Subtitle II--The Budget Process
CHAPTER 11--THE BUDGET AND FISCAL, BUDGET, AND PROGRAM INFORMATION
SEC. 1115. PERFORMANCE PLANS.
(a) In carrying out the provisions of section 1105(a)(29),
the Director of the Office of Management and Budget shall
require each agency to prepare an annual performance plan
covering each program activity set forth in the budget of such
agency. Such plan shall--
(1) establish performance goals to define the level
of performance to be achieved by a program activity;
(2) express such goals in an objective, quantifiable,
and measurable form unless authorized to be in an
alternative form under subsection (b);
(3) provide a description of how the performance
goals and objectives are to be achieved, including the
operation processes, training, skills and technology,
and the human, capital, information, and other
resources and strategies required to meet those
performance goals and objectives;
(4) pursuant to paragraph (3), give special attention
to the extent to which specific skills are needed to
accomplish the performance goals and indicators that
are critical to ensuring the national security;
[(4)] (5) establish performance indicators to be used
in measuring or assessing the relevant outputs, service
levels, and outcomes of each program activity;
[(5)] (6) provide a basis for comparing actual
program results with the established performance goals;
and
[(6)] (7) describe the means to be used to verify and
validate measured values.
SEC. 1116. PROGRAM PERFORMANCE REPORTS.
(a) Not later than 150 days after the end of an agency's
fiscal year, the head of each agency shall prepare and submit
to the President and the Congress, a report on program
performance for the previous fiscal year.
(b) * * *
(1) Each program performance report shall set forth
the performance indicators established in the agency
performance plan under section 1115, along with the
actual program performance achieved compared with the
performance goals expressed in the plan for that fiscal
year, and shall specify which performance goals and
indicators are critical to ensuring the national
security.
(2) If performance goals are specified in an
alternative form under section 1115(b), the results of
such program shall be described in relation to such
specifications, including whether the performance
failed to meet the criteria of a minimally effective or
successful program.
(c) The report for fiscal year 2000 shall include actual
results for the preceding fiscal year, the report for fiscal
year 2001 shall include actual results for the two preceding
fiscal years, and the report for fiscal year 2002 and all
subsequent reports shall include actual results for the three
preceding fiscal years.
(d) Each report shall--
(1) review the success of achieving the performance
goals of the fiscal year;
(2) evaluate the performance plan for the current
fiscal year relative to the performance achieved toward
the performance goals in the fiscal year covered by the
report;
(3) explain and describe, where a performance goal
has not been met (including when a program activity's
performance is determined not to have met the criteria
of a successful program activity under section
1115(b)(1)(A)(ii) or a corresponding level of
achievement if another alternative form is used)--
(A) why the goal was not met;
(B) those plans and schedules for achieving
the established performance goal; [and]
(C) if the performance goal is impractical or
infeasible, why that is the case and what
action is recommended; and
(D) whether human capital deficiencies in any
way contributed to the failure of the agency to
achieve the goal;
(4) describe the use and assess the effectiveness in
achieving performance goals of any waiver under section
9703 of this title;
(5) include a review of the performance goals and
evaluation of the performance plan relative to the
agency's strategic human capital management; and
(6) include the summary findings of those program
evaluations completed during the fiscal year covered by
the report.
(e)(1) Except as provided in paragraph (2), each program
performance report shall contain an assessment by the agency
head of the completeness and reliability of the performance
data included in the report. The assessment shall describe any
material inadequacies in the completeness and reliability of
the performance data, and the actions the agency can take and
is taking to resolve such inadequacies.
(2) If a program performance report is incorporated into a
report submitted under section 3516, the requirements of
section 3516(e) shall apply in lieu of paragraph (1).
(f) The functions and activities of this section shall be
considered to be inherently Governmental functions. The
drafting of program performance reports under this section
shall be performed only by Federal employees.
