OPM Should Collect and Share COVID-19 Lessons Learned to Inform Hiring During Future Emergencies (GAO-22-104297)
Summary
A GAO report to congressional addressees, GAO-22-104297, dated October 2021, on federal hiring. It explains that the CARES Act provided temporary hiring authorities to six agencies with responsibilities for responding to the public health and economic crisis caused by COVID-19. A hiring authority is the law, executive order or regulation that allows an agency to hire a person into the federal civil service. It also reports that as of September 30, 2020 five agencies received direct hiring authority. Its title states that OPM should collect and share COVID-19 lessons learned to inform hiring during future emergencies.
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United States Government Accountability Office
Report to Congressional Addressees
FEDERAL HIRING
October 2021
OPM Should Collect
and Share COVID-19
Lessons Learned to
Inform Hiring during
Future Emergencies
GAO-22-104297
October 2021
FEDERAL HIRING
OPM Should Collect and Share COVID-19 Lessons
Learned to Inform Hiring during Future Emergencies
Highlights of GAO-22-104297, a report to
congressional addressees
Why GAO Did This Study What GAO Found
The COVID-19 pandemic has had far- The CARES Act provided temporary hiring authorities to six agencies with
reaching effects on federal programs responsibilities for responding to the public health and economic crisis caused by
and operations. To address this public COVID-19. A hiring authority is the law, executive order, or regulation that allows
health crisis, Congress and the an agency to hire a person into the federal civil service. In addition, as of
administration made several hiring September 30, 2020, five agencies received direct hiring authority (DHA) from
authorities available to agencies to hire the Office of Personnel Management (OPM) in response to the pandemic. DHAs
staff with the needed skills to allow agencies to expedite hiring by eliminating competitive rating and ranking
effectively respond to the pandemic. procedures and veterans’ preference for specific positions. Also, in March 2020,
The CARES Act includes a provision OPM authorized the use of COVID-19 Schedule A hiring authority, which allows
for GAO to report on ongoing agencies to fill positions for up to 1 year as needed in response to, or as a result
monitoring and oversight efforts related of, COVID-19. GAO found that the number of staff hired by 10 selected agencies
to the COVID-19 pandemic. This report using these three temporary COVID-19 hiring authorities varied.
examines: (1) the new hiring
authorities provided to federal Figure 1: Availability of COVID-19 Hiring Authorities and Total Number of Hires Made at
agencies for COVID-19 response and Selected Agencies, March through December 2020
the extent to which selected agencies
have used them; (2) selected agencies’
experiences using those hiring
authorities, including lessons learned;
and (3) OPM’s efforts to assess
agencies’ use of the COVID-19 related
hiring authorities.
GAO reviewed documents and
interviewed officials from OPM and the
10 agencies that were provided hiring
authorities in the CARES Act or DHA
for the public health emergency from
OPM between March 1 and September
30, 2020. The documents reviewed a
included data on the agencies’ hiring COVID-19 Schedule A hiring authority allows agencies to fill positions for up to 1 year as needed in
response to, or as a result of, COVID-19.
and OPM policies and guidance for its b
oversight of agencies’ use of hiring Agency received approval to amend an existing authority so hires were not all related to COVID-19.
authorities. c
Commerce’s CARES Act hiring authority is limited to the Economic Development Administration.
The selected agencies described a few lessons learned that could help other
What GAO Recommends agencies improve the use of hiring authorities in future emergencies including:
GAO is making one recommendation (1) collaborating with internal stakeholders to maximize information sharing
to OPM to develop and implement a across the agency; and (2) creating an inventory of hiring needs and available
process for collecting and sharing authorities to assist in addressing agency workforce needs.
government-wide lessons learned
associated with agencies’ use of OPM intends to conduct reviews in fiscal year 2022 that may provide insight into
different hiring authorities in response agencies’ use of hiring authorities in response to the pandemic. However,
to COVID-19. OPM concurred with the according to OPM officials, the agency has not yet developed plans to collect and
recommendation made in this report. share lessons learned on the use of COVID-19 related hiring authorities.
Collecting and sharing lessons learned would help OPM understand how the
various hiring authorities could be used during future emergencies and identify
View GAO-22-104297. For more information, opportunities to improve the hiring process.
contact Michelle B. Rosenberg, (202) 512-
6806, rosenbergm@gao.gov.
United States Government Accountability Office
Contents
Letter 1
Background 4
Agencies’ Use of Temporary Pandemic Hiring Authorities Varied 8
Although Some Agencies Did Not Initially Understand COVID-19
Hiring Authorities, Selected Agencies’ Experiences During The
Pandemic Identified Lessons Learned 16
OPM Plans To Review Agencies’ Use Of COVID-19 Related
Hiring Authorities In 2022 But Has Not Developed Plans To
Capture Lessons Learned 19
Conclusions 23
Recommendation 24
Agency Comments 24
Appendix I Objectives, Scope and Methodology 29
Appendix II Comments from the Office of Personnel Management 32
Appendix III GAO Contact and Staff Acknowledgments 34
Tables
Table 1: Agencies’ Use of COVID-19 OPM-Approved Direct Hiring
Authority, 2020 11
Table 2: Selected Agencies’ Use of COVID-19 Schedule A Hiring
Authorities, 2020 14
Figure
Figure 1: Selected Agencies’ Use of CARES Act Temporary Hiring
Authorities, 2020 9
Page i GAO-22-104297 Federal Hiring Authorities
Abbreviations
CFTC Commodity Futures Trading Commission
CHCO chief human capital officer
COVID-19 Coronavirus Disease 2019
DHA direct hiring authority
EDA Economic Development Administration
HCR Human Capital Review
HHS Department of Health and Human Services
HUD Department of Housing and Urban Development
MSAC Merit System Accountability and Compliance
OPM Office of Personnel Management
PPP Paycheck Protection Program
SBA Small Business Administration
SEC Securities and Exchange Commission
USDA Department of Agriculture
VA Department of Veterans Affairs
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Page ii GAO-22-104297 Federal Hiring Authorities
Letter
441 G St. N.W.
Washington, DC 20548
October 25, 2021
Congressional Addressees
The Coronavirus Disease 2019 (COVID-19) pandemic has resulted in
substantial damage to the global economy and has had far reaching
effects on federal programs and operations. 1 In the government’s ongoing
response to the COVID-19 pandemic, Congress and the administration
have taken action on multiple fronts to address challenges that have
contributed to catastrophic loss of life and profound economic disruption.
These actions have helped direct much-needed federal assistance to
support many aspects of public life.
In March 2020, Congress passed, and the President signed into law, the
CARES Act, which provided more than $2 trillion in emergency
assistance and health care response for individuals, families, and
businesses affected by COVID-19. 2 The CARES Act provided
supplemental appropriations for federal agencies to respond to the
COVID-19 pandemic. In addition, the act funded various loans, grants,
and other forms of federal financial assistance for businesses, industries,
states, local governments, and hospitals; provided tax rebates for certain
individuals; temporarily expanded unemployment benefits; and
suspended payments and interest on federal student loans. Over the past
year, agencies from across the federal government have demonstrated
extraordinary dedication and commitment to responding to the
unprecedented COVID-19 pandemic, including those serving on the front
lines to establish and sustain services for those infected with the virus.
The CARES Act established temporary hiring authorities for selected
agencies responsible for the government’s responses to the public health
1On January 31, 2020, the Secretary of Health and Human Services declared a public
health emergency for the U.S., retroactive to January 27, 2020. Subsequently, on March
13, 2020, the President declared COVID-19 a national emergency under the National
Emergencies Act and a nationwide emergency under section 501(b) of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act (Stafford Act). The President also
approved major disaster declarations under the Stafford Act for all 50 states, the District of
Columbia, and five territories.
2Pub. L. No. 116-136, 134 Stat. 281 (2020).
Page 1 GAO-22-104297 Federal Hiring Authorities
and economic crisis. 3 A hiring authority is the law, executive order, or
regulation that allows an agency to hire a person into the federal civil
service. In addition to the CARES Act, the Office of Personnel
Management (OPM), in its role as the chief human resources agency and
personnel policy manager for the federal government, issued
memorandums and guidance beginning in February 2020 that reminded
agencies of temporary authorities available government-wide to hire
individuals needed in direct response to the effects of COVID-19. These
hiring authorities can be used to expedite an agency’s hiring process. To
assist with their response to COVID-19, agencies could seek agency
specific Direct Hire Authority (DHA) from OPM. DHA allows an agency to
expedite the typical hiring process by eliminating certain steps
traditionally required for competitive hiring. In addition, OPM authorized
all agencies to use a COVID-19 Schedule A hiring authority, which is an
excepted service appointment that agencies may use to fill positions on a
temporary basis for up to 1 year as needed in response to, or as a result
of, COVID-19. In this report, we refer to the hiring authorities provided by
Congress to selected agencies in the CARES Act, DHA approved by
OPM, and the COVID-19 Schedule A authority as “COVID-19 related
hiring authorities.” 4
The CARES Act includes a provision for us to report on our ongoing
monitoring and oversight efforts related to the COVID-19 pandemic. 5 This
report is a part of our body of work in response to the CARES Act and
examines the federal government’s continued efforts to respond to and
3As of August 25, 2021, five other relief laws were also enacted in response to the
COVID-19 pandemic: the American Rescue Plan Act of 2021, Pub. L. No. 117-2, 135 Stat.
4 (2021); the Consolidated Appropriations Act, 2021, Pub. L. No. 116-260, 134 Stat. 1182
(2020); Paycheck Protection Program and Health Care Enhancement Act, Pub. L. No.
116-139, 134 Stat. 620 (2020); Families First Coronavirus Response Act, Pub. L. No. 116-
127, 134 Stat. 178 (2020); and the Coronavirus Preparedness and Response
Supplemental Appropriations Act, 2020, Pub. L. No. 116-123, 134 Stat. 146 (2020). In this
report, our study of statutorily provided hiring authorities is limited to those in the CARES
Act.
4OPM provides excepted service hiring authorities to fill special jobs or to fill any job in
unusual or special circumstances under “Schedules A, B, C, and D.” These excepted
service authorities enable agencies to hire when it is not feasible or not practical to use
traditional competitive hiring procedures, and can streamline hiring.
5Pub. L. No. 116-136, § 19010, 134 Stat. 579-81. We regularly issue government-wide
reports on the federal response to COVID-19. For the latest report, see GAO, COVID-19:
Continued Attention Needed to Enhance Federal Preparedness, Response, Service
Delivery, and Program Integrity, GAO-21-551 (Washington, D.C.: July 19, 2021). Our next
government-wide report will be issued on October 27, 2021, and will be available on
GAO’s website at https://www.gao.gov/coronavirus
Page 2 GAO-22-104297 Federal Hiring Authorities
recover from the COVID-19 pandemic, specifically the federal
government’s efforts to support federal hiring during the pandemic. This
report examines:
• the COVID-19 related hiring authorities provided to agencies to hire
federal employees and the extent to which selected agencies have
used them;
• selected agencies’ experiences using the COVID-19 related hiring
authorities, including lessons learned for improving the use of hiring
authorities for future emergencies; and
• OPM’s efforts to assess agencies’ use of the COVID-19 related hiring
authorities.
To address the first objective, we reviewed the statutory provisions and
OPM guidance that provided COVID-19 related hiring authorities. We
selected agencies for review that had received a statutory hiring authority
provided in the CARES Act or had requested a DHA related to the public
health emergency from OPM between March 1 and September 30, 2020.
This resulted in the selection of 10 agencies. 6 We obtained data from
those agencies on hires made using the three COVID-19 related hiring
authorities from March 1 through December 31, 2020. To assess the
reliability of the data we collected for this objective, we reviewed relevant
documentation from agency officials about the data systems they used for
human capital records related to hiring. We determined that the data were
sufficiently reliable for the purposes of determining the number of hires
made using specific COVID-19 related hiring authorities.
To address the second objective, we interviewed relevant human
resource staff at the selected agencies to learn about their experiences
and reasons for using the COVID-19 related hiring authorities, including
any lessons learned. We identified the most common COVID-19 related
hiring issues they reported facing, as well as how they leveraged specific
authorities to address them.
To address the third objective, we identified and reviewed OPM policies
and guidance for, and documentation of, hiring authority oversight and its
annual Human Capital Reviews (HCR). We also interviewed staff from
6The 10 agencies are: Commodity Futures Trading Commission; Departments of
Agriculture, Commerce, Health and Human Services, Housing and Urban Development,
Treasury, and Veterans Affairs; Small Business Administration; Securities and Exchange
Commission; and the Smithsonian Institution
Page 3 GAO-22-104297 Federal Hiring Authorities
OPM’s Merit System Accountability and Compliance (MSAC) office.
MSAC oversees agencies’ use of hiring authorities, as well as the HCR
process.
We conducted this performance audit from April 2020 to October 2021 in
accordance with generally accepted government auditing standards.
Those standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objectives. We believe that
the evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit objectives.
For more than two decades, we have reported that federal agencies face
Background a number of long-standing human capital management challenges. Since
2001, we have designated strategic human capital management as a
government-wide high-risk area in part because of the need to address
current and emerging skills gaps that are undermining agencies’ abilities
to meet their missions. 7 In July of 2021, we reported that OPM had an
open priority recommendation related to making hiring authorities more
effective. 8 This recommendation states that OPM should work with the
Chief Human Capital Officers (CHCO) Council to expand access to
specific hiring authorities found to be highly efficient and effective and
eliminate those found to be less effective. The Chief Human Capital
Officers Act of 2002 established the CHCO Council to advise and
coordinate the activities of member agencies on such matters as the
modernization of human resources systems, improved quality of human
resources information, and legislation affecting human resources
operations and organizations. 9 The CHCO Council is chaired by the
Director of OPM and serves to coordinate and collaborate on the
development and implementation of federal human capital policies.
An important component of the hiring process is the hiring authority used
to bring applicants on board. Among other things, hiring authorities
determine the rules (or a subset of rules within a broader set) that
agencies must follow throughout the hiring process. Selecting applicants
7GAO, High-Risk Series: Dedicated Leadership Needed to Address Limited Progress in
Most High-Risk Areas, GAO- 21-119SP (Washington, D.C.: Mar. 2, 2021).
8GAO, Priority Open Recommendations: Office of Personnel Management, GAO- 21-
516PR (Washington, D.C.: July 1, 2021).
9Pub. L. No. 107-296, title XIII, § 1303, 116 Stat. 2135, 2288-89 (2002).
Page 4 GAO-22-104297 Federal Hiring Authorities
based on their qualifications instead of patronage has been the
foundation of the federal hiring system for more than 130 years. Congress
passed the Pendleton Act in 1883, establishing that federal employment
should be based on merit. 10 The nine merit system principles were later
codified as part of the Civil Service Reform Act of 1978. 11 The first merit
principle requires that agencies recruit qualified individuals from
appropriate sources to achieve a workforce from all segments of society.
It also requires that selection and advancement should be determined
solely on the basis of relative ability, knowledge, and skills after fair and
open competition. This assures that all applicants receive equal
opportunity.
The traditional method of hiring for the federal government, also known as
the competitive examining process, generally requires agencies to,
among other things, notify the public that the government will accept job
applications for a position, screen applications against minimum
qualification standards, apply selection priorities such as veterans’
preference, and assess applicants’ relative competencies or knowledge,
skills, and abilities against job-related criteria to identify the most qualified
applicants. 12
We have previously reported that federal managers had complained that
federal hiring procedures, particularly those associated with competitive
examining, were rigid and complex. 13 These managers often expressed
the need for more flexibility from the hiring authority guiding the
competitive hiring process, which has been traditionally based on a “one-
size-fits-all approach” with uniform rules across government set forth in
Title 5 of the United States Code (Title 5). Agencies have sought approval
10Act of January 16, 1883, ch. 27, 22 Stat. 403.
11Pub. L. No. 95-454, § 101, 92 Stat. 1111, 1113-14 (1978), codified at 5 U.S.C. §
2301(b).
12Federal civil service employees, other than those in the Senior Executive Service, are
employed in either the competitive service, 5 U.S.C. §2102(a), or the excepted service, 5
U.S.C. § 2103(a).
13GAO, Federal Hiring: OPM Needs to Improve Management and Oversight of Hiring
Authorities, GAO-16-521 (Washington, D.C.: Aug. 2, 2016); and Human Capital: Effective
Use of Flexibilities Can Assist Agencies in Managing Their Workforces, GAO-03-2
(Washington, D.C.: Dec. 6, 2002).
Page 5 GAO-22-104297 Federal Hiring Authorities
to use additional hiring authorities from OPM and Congress that allow for
greater flexibility from the competitive examination process.
One such authority Congress provided is DHA, which authorizes OPM to
permit agencies to use if they demonstrate either a severe shortage of
candidates or a critical hiring need. 14 DHA complements other types of
competitive service hiring and provides needed flexibility when normal
competitive service procedures do not result in an acceptable number of
qualified candidates or when there is a critical need to hire quickly. 15 DHA
allows agencies to expedite the typical hiring process associated with the
competitive examining hiring authority by eliminating competitive rating
and ranking procedures and veterans’ preference for specific positions. 16
Congress has also provided DHA—specifically the authority to use the
expedited process—directly to agencies for specified purposes.
Congress and OPM provided selected agencies with new hiring
authorities to aid in the response to COVID-19. Three such authorities,
which we refer to in this report as “COVID-19 related hiring authorities,”
are: (1) those provided by Congress to selected agencies in the CARES
Act, (2) DHA approved by OPM, and (3) the COVID-19 Schedule A
authority.
• CARES Act authorities. Congress established temporary DHAs for
five federal agencies: the Departments of Health and Human Services
(HHS), 17 Housing and Urban Development (HUD), 18 and the
Treasury; 19 the Securities and Exchange Commission (SEC); and the
145 U.S.C. § 3304(a)(3) and 5 C.F.R. pt. 337, subpt. B.
15U.S. Merit Systems Protection Board, Office of Policy and Evaluation, Direct-Hire
Authority Under 5 U.S.C. § 3304: Usage and Outcomes (February 2021).
16Importantly, agencies must comply with public notice requirements with respect to any
position an agency seeks to fill using direct-hire authority. 5 U.S.C. § 3304(a)(3)(A) and 5
C.F.R. § 337.203.
17Pub. L. No. 116-136, div. B, tit. VIII, § 18108, 134 Stat. 572.
18Pub. L. No. 116-136, div. A, tit. IV, § 4010, 134 Stat. 478, codified at 15 U.S.C. § 9049.
The Commodity Futures Trading Commission and the Securities and Exchange
Commission were included in this grant of hiring authority.
19Pub. L. No. 116-136, div. A, tit. IV, § 4003(f)(1), 134 Stat. 470, codified at 15 U.S.C. §
9042.
Page 6 GAO-22-104297 Federal Hiring Authorities
Commodity Futures Trading Commission (CFTC). 20 Additionally, the
Department of Commerce, Economic Development Administration
(EDA) received a type of excepted service hiring authority that
allowed it to hire individuals into the excepted service on a temporary
basis. 21
• OPM’s expedited DHA process. OPM may approve the use of DHA
by agencies for filling vacancies when a critical hiring need or severe
shortage of candidates exists. 22 In March 2020, due to the public
health emergency caused by the pandemic, OPM expedited its
process for agencies that demonstrated a critical hiring need to
request DHAs. This expedited process reduced the amount of
information agencies had to provide to support a severe shortage of
candidates or a critical hiring need. OPM also stated that it would
respond to such requests within 7 business days. Under the expedited
process, agencies were required to provide information on the
positions to be filled, the event or circumstance that created the need
to fill the position(s), and the duration for which hiring for the urgent
critical need is expected to exist. From March 1 to September 30,
2020, five agencies requested new DHAs or changes to pre-approved
DHAs from OPM in response to the pandemic: the Departments of
Agriculture (USDA) and Veterans Affairs (VA); HHS; Small Business
Administration (SBA); and the Smithsonian Institution.
• COVID-19 Schedule A. Also in March 2020, OPM authorized the use
of COVID-19 Schedule A hiring authority to address the need for
20The CARES Act also provided hiring authorities to create new oversight entities
including the Pandemic Response Accountability Committee within the Council of the
Inspectors General on Integrity and Efficiency and the Office of the Special Inspector
General for Pandemic Recovery at the Department of the Treasury. We excluded these
newly created oversight entities from our review to better focus on the nation’s response
effort and the hiring authorities that established agencies are using to staff it.
21Pub. L. No. 116-136, div. B, tit II, 134 Stat. 510-511. The CARES Act authority permits
Commerce to, as appropriate, appoint these temporary employees into permanent
competitive service positions after they have completed 2 years of continuous service.
22Congress authorized OPM to permit agencies to use DHA for a position or group of
positions where OPM has determined that there is either a severe shortage of candidates
or a critical hiring need for such positions. 5 U.S.C. § 3304(a)(3). OPM provided agencies
with government-wide DHAs for certain IT specialists and medical occupations, among
other critical needs occupations. See
https://www.opm.gov/policy-data-oversight/hiring-information/direct-hire-authority/#url=Go
vernmentwide-Authority for a current listing of occupations approved for DHA under 5
U.S.C. § 3304 and 5 C.F.R. pt 337, subpt B.
Page 7 GAO-22-104297 Federal Hiring Authorities
hiring additional staff in response to the pandemic. 23 COVID-19
Schedule A is an excepted service appointment that agencies may
use to fill positions on a temporary basis for up to 1 year, with a 1 year
extension, as needed in response to, or as a result of, COVID-19. 24
Agencies’ Use of
Temporary Pandemic
Hiring Authorities
Varied
Three of Six Agencies The CARES Act provided temporary hiring authorities to six agencies:
Used CARES Act Commerce, CFTC, HHS, HUD, SEC, and Treasury. 25 The types and
Temporary Hiring expiration dates of the authorities varied; however, Congress did not
place any limits on the numbers of hires the agencies were allowed to
Authorities in 2020 make using the CARES Act authorities. As of December 31, 2020, three
of the six agencies that received CARES Act hiring authorities—
Commerce, HHS, and HUD—had made hires, while the other three—
CFTC, SEC, and Treasury—had not made hires using the authorities.
CFTC and SEC can no longer make hires as their authorities expired on
December 31, 2020. According to Treasury officials, Treasury’s authority
continues to be available as long as it has available funding and program
needs (see figure 1).
235 C.F.R. § 213.3102(i)(3). OPM, Memorandum on Coronavirus (COVID-19) Schedule A
Hiring Authority (Washington, D.C.: Mar. 20, 2020).
24Agencies may appoint individuals nationwide, at any grade level. Appointments are
limited to individuals needed in direct response to the effects of COVID-19.
25Three of the six agencies, Commerce, HHS, and Treasury, received appropriated funds
through the CARES Act for making hires using the CARES Act hiring authorities.
Page 8 GAO-22-104297 Federal Hiring Authorities
Figure 1: Selected Agencies’ Use of CARES Act Temporary Hiring Authorities, 2020
a
This is based on the department’s interpretation of its CARES Act authority.
b
We have masked any data with 10 or fewer observations to mitigate risk of disclosure of individual
identities.
Officials from two of the agencies that used the CARES Act hiring
authorities explained their decisions as follows:
Page 9 GAO-22-104297 Federal Hiring Authorities
• Commerce’s EDA responded to the pandemic by implementing
economic assistance programs to help communities prevent, prepare
for, and respond to COVID-19. The CARES Act appropriated $1.5
billion for these programs. Commerce officials told us that they expect
the CARES Act hiring authority provided to EDA to serve as a
recruitment and retention tool. The CARES Act allows EDA to appoint
temporary excepted service employees hired for its pandemic
response to competitive service positions in EDA after 2 continuous
years of service. Commerce officials explained that without the ability
to appoint these temporary employees into competitive service
positions, EDA could lose these employees and the knowledge
gained during their time at EDA. Commerce’s hiring data show that
the largest number of hires using the CARES Act hiring authority were
for Economic Development Specialists, as well as Management and
Program Analysts.
• HUD officials told us they responded to the pandemic by establishing
initiatives to assist homeowners and renters living in HUD Multifamily
Assisted, residential care, and Single Family Federal Housing
Administration insured properties. 26 For instance, the Federal Housing
Administration’s Single Family Housing Program Office anticipated
additional homeowner defaults and delinquencies across the country
due to COVID-19’s effect on unemployment. The office responded by
hiring additional staff for deployment across the country. According to
HUD officials, the CARES Act DHA made it easier to fill positions as it
streamlined the hiring process.
Officials from three agencies that did not use the CARES Act hiring
authorities in 2020 explained their decisions as follows:
• CFTC and SEC officials stated that they did not make any hires
because they met their pandemic response needs using current
officials or authorities. Despite not making any hires using the CARES
Act authority, officials at both agencies said that having the authority
was valuable, as they would allow their respective agencies to
respond quickly if their hiring needs changed.
• Treasury officials stated they were still defining workforce needs and
creating position descriptions for its loan program office in 2020. As a
26HUD Multifamily Assisted property includes properties that receive HUD project-based
assistance through its Section 8 rental assistance program; Section 202 Housing for Low-
income Elderly; or Section 811 Housing for Persons with Disabilities programs; and some
former assisted multifamily properties. Residential Care Facilities includes nursing homes,
assisted living facilities, and board and care housing. Single Family housing refers to
dwellings containing between one and four units.
Page 10 GAO-22-104297 Federal Hiring Authorities
result, Treasury was not ready to use the CARES Act authority in
2020. However, by April 2021, Treasury officials told us that the
agency had hired new employees using the CARES Act authority in
2021, and was recruiting, interviewing, and extending tentative
employment offers, pending the completion of security clearances.
Three of the Five Agencies To assist agencies with their pandemic response hiring needs, OPM
Used Their OPM- expedited the DHA request process by reducing the amount of agency
information required, making it easier and faster for agencies to request
Approved DHA
and receive DHA approval. As previously stated, four agencies—HHS,
SBA, Smithsonian, and VA—requested and received new DHAs from
OPM to respond to the pandemic. Also, USDA requested an amendment
to a pre-authorized DHA. Table 1 provides information on the number of
hires made at each agency using these DHA authorities.
Table 1: Agencies’ Use of COVID-19 OPM-Approved Direct Hiring Authority, 2020
Agency Number of Hires
Veterans Affairs 4,215
Department of Health and Human Services 985
Department of Agriculture a
Small Business Administration 0
Smithsonian Institution 0
Source: GAO analysis of agency information. | GAO-22-104297
a
The Department of Agriculture’s direct hire authority was first approved prior to the COVID-19
pandemic. Later amendments to the authority cited the pandemic as an additional factor that created
hiring challenges for ongoing work. Because the authority was provided prior to the pandemic, we
were unable to distinguish COVID-19 related hires from those made for other purposes.
Three of these five agencies—HHS, VA, and USDA—used their DHAs to
make hires in 2020. Agency officials provided the following information
about using these DHAs:
• HHS officials stated that almost all of HHS’s component agencies had
experienced a change in mission requirements since the pandemic
began. This change affected how the components conducted their
workforce planning efforts and which positions were included in their
DHA requests. For example, HHS staff at a component agency told us
that as the pandemic progressed, they needed to modify existing
requests to meet emerging needs. They may continue to modify
requests if their response role expands further. Data on HHS hires
showed the largest number of hires using the expedited DHAs were
Page 11 GAO-22-104297 Federal Hiring Authorities
for Consumer Safety Officers, Public Health Analysts, and Public
Health Advisors.
• VA officials stated that the expedited DHA enabled VA to fill key
mission essential positions in support of health care and cemetery
operations, in addition to functions related to processing VA’s claims
inventory. VA staff said the expedited DHA provided a streamlined
recruitment and selection process while also enabling the agency to
meet its long-term recruitment needs. Data on VA hires showed the
largest number of hires using the expedited DHA were for Health
Aides and Food Service Workers.
• USDA officials stated that they requested an amendment to a DHA
approved prior to COVID-19 because COVID-19 had become an
additional factor to contributing to hiring challenges associated with
food inspection, seasonal firefighting, and farmer assistance
programs. According to the officials, USDA used this amended
authority to bring on about 3,500 hires between March and December
2020. They explained that this work was ongoing and, while the
challenges posed by COVID-19 made hiring more difficult, the work
did not change because of the pandemic. For this reason, it is not
possible to differentiate COVID-19 response work from other work
authorized in their amended DHA.
Two agencies—SBA and Smithsonian—did not use their DHAs to make
hires in 2020. Agency officials told us the following about not using the
expedited DHAs in 2020:
• SBA officials told us in March 2021 that they were still assessing their
current and future hiring needs for implementing the Paycheck
Protection Program (PPP), which was created in March 2020 by the
CARES Act to help small business with payroll and other costs. 27 SBA
staff explained that small businesses that received PPP loans could
either request forgiveness of the loans or pay back the loans based
27The PPP provided affected small businesses with low interest, fully forgivable loans to
pay eligible expenses, such as payroll costs including certain benefits. Recipients can also
use the funds to pay certain nonpayroll costs such as interest on mortgages, rent, and
utilities. PPP loans are fully forgivable when used for qualified expenses and consistent
with program requirements. In March 2021, we added Emergency Loans for Small
Businesses to our list of high-risk areas because of the limited controls built into the PPP
and another loan approval program’s processes. See GAO-21-119SP, 128. For more
information on the PPP, see GAO, Paycheck Protection Program: SBA Added Program
Safeguards, but Additional Actions Are Needed, GAO-21-577 (Washington, D.C.: July 29,
2021) and Small Business Administration: COVID-19 Loans Lack Controls and Are
Susceptible to Fraud, GAO-21-117T (Washington, D.C.: Oct. 1, 2020).
Page 12 GAO-22-104297 Federal Hiring Authorities
on their use of the funding, and that SBA was still collecting
information on the status of PPP loans. The final determination of how
many businesses would pay back their PPP loans would determine
the number of staff SBA would need to hire to administer the loan
program. Until such time, SBA was unable to accurately determine its
hiring needs.
• Smithsonian officials stated that early in the pandemic, they identified
a need for positions such as security guards, police, animal
caretakers, and maintenance work due to higher than normal turnover
brought on by the pandemic, as well as agency estimates of
increased sick leave use. Smithsonian officials told us they were
initially concerned about training costs and retention of employees
hired under the authority. However, after discussions with
stakeholders they told us they have strategies to mitigate these
concerns. Thus, although they did not use this authority in 2020,
Smithsonian officials told us in June 2021 that they planned to use the
expedited DHA in 2021, as they believe it is the best option to fill
positions quickly in preparation for re-opening the museums.
Six of the 10 Selected On March 20, 2020, OPM issued a memorandum to the heads of
Agencies Used the executive departments and agencies and posted guidance on its COVID-
19 web page outlining the creation of the COVID-19 Schedule A authority,
COVID-19 Schedule A
which was effective through March 31, 2021. On March 29, 2021, OPM
Authority to Make Hires in updated its COVID-19 Schedule A guidance and extended the expiration
2020 date by 9 months to December 31, 2021 or the expiration of the national
emergency, whichever comes first. Agencies were authorized to use this
authority to fill positions on a temporary basis for up to 1 year, with the
option for an extension of up to 1 additional year, as needed in response
to, or as a result of, COVID-19.
Of the 10 agencies in our scope, six used the COVID-19 Schedule A
authority to make hires during 2020. We found that three agencies—HHS,
SBA, and VA—each used the authority to make between 400 and 1,000
hires (see table 2).
Page 13 GAO-22-104297 Federal Hiring Authorities
Table 2: Selected Agencies’ Use of COVID-19 Schedule A Hiring Authorities, 2020
Agency Number of Hires Made
Veterans Affairs 913
Department of Health and Human Services 461
Small Business Administration 449
Department of Agriculture 112
Department of Treasury ≤10a
Smithsonian Institution ≤10a
Commodity Futures Trading Commission 0
Department of Commerce 0
Department of Housing and Urban 0
Development
Securities and Exchange Commission 0
Source: GAO analysis of agency information. | GAO-22-104297
a
We have masked any data with 10 or fewer observations to mitigate risk of disclosure of individual
identities.
Agency officials told us the following about their use of this authority:
• HHS officials told us that the hiring authority helped the agency by
shortening the hiring timeline, enabled component agencies to share
relevant applicant pools, and allowed for the targeted recruitment of
applicants specifically seeking COVID-19 related positions. HHS
officials said they would continue to use the authority in 2021 after
OPM extended its expiration. Data provided by HHS officials showed
that the largest number of hires using the COVID-19 Schedule A
authority were for Medical Support Assistants, Nursing Assistants,
and Security Guards.
• SBA officials stated that they used the authority to hire staff for their
PPP and Economic Injury Disaster Loans loan approval processes. 28
SBA made these hires while developing its workforce plan for the
long-term administration of these loans. As SBA identifies permanent
or long-term work, it will examine options for utilizing its DHA. Data
provided by SBA officials showed that the largest number of hires
28SBA’s Economic Injury Disaster Loans allow borrowers to meet financial obligations and
operating expenses that could have been met had the disaster not occurred.
Page 14 GAO-22-104297 Federal Hiring Authorities
using the COVID-19 Schedule A authority were for Loan Specialists,
and Outreach and Marketing Specialists.
• VA officials told us the authority was used within the agency to recruit
health aides for COVID-19 screening work. 29
We also found that USDA used the authority to make less than 120 hires.
Two additional agencies—Smithsonian and Treasury—each used the
authority to make 10 or fewer hires.
• USDA officials stated that this authority provided a quicker process to
fill positions than other available authorities.
• Treasury officials stated that Departmental Offices used this hiring
authority to respond to the pandemic and will continue using the
authority to the extent possible.
• Smithsonian officials told us they are considering using this authority
again in the future to hire for additional vacancies.
Four of our selected agencies—CFTC, Commerce, HUD, and SEC—did
not make any hires using the COVID-19 Schedule A hiring authority in
2020. Commerce officials stated that the COVID-19 Schedule A hiring
authority prevented them from appointing temporary employees to
positions in their EDA in the same manner that their CARES Act excepted
service authority did. Specifically, according to Commerce officials, their
CARES Act authority allowed them to place the temporary employees into
the competitive service after 2 years while the COVID-19 Schedule A did
not.
29To protect patients and staff, VA screens everyone for coronavirus symptoms and
exposure each time they enter a health facility. VA staff use the information received to
direct people to either enter the building or go to a designated area for additional
screening.
Page 15 GAO-22-104297 Federal Hiring Authorities
Some of the selected agencies did not initially understand how to use the
Although Some COVID-19 related hiring authorities. For example, VA officials told us that
Agencies Did Not an obstacle the agency experienced when using the COVID-19 related
authorities was understanding the difference between the traditional
Initially Understand Schedule A Appointing Authority for individuals with disabilities and the
COVID-19 Hiring COVID-19 Schedule A authority. 30 However, according to VA officials,
VA’s Chief Human Capital Office issued guidance and related training to
Authorities, Selected clarify distinctions. Smithsonian officials told us they were initially
Agencies’ unaware of certain legal distinctions involved in requesting DHAs from
OPM due to previously never requesting them. As a result, they did not
Experiences During know which positions would meet OPM’s requirements for DHA approval.
The Pandemic However, according to Smithsonian officials, OPM provided guidance and
assistance during the request process that helped to clarify the legal
Identified Lessons distinctions.
Learned
In addition to understanding how to use the COVID-19 hiring authorities,
the selected agencies described four lessons learned that could help
agency officials improve the use of hiring authorities in future
emergencies.
Collaborate with internal stakeholders to maximize information
sharing. Agency officials at five of the selected agencies cited benefits
that came from collaboration and information sharing with internal
stakeholders. This allowed them to better understand and use available
hiring authorities. For example, Commerce officials stated that they
successfully filled more than half the open positions in their EDA by July
2020 by collaboratively identifying workforce needs as well as changes
needed to expedite the hiring process. This success was a result of early
collaboration and commitment among internal stakeholders, such as the
EDA, and Commerce’s Human Resources and Security Offices. This, in
turn, allowed the agency to prioritize hiring needs and review available
authorities.
Smithsonian officials stated that the agency created a working group that
included senior officials with experience in requesting and using DHAs
30Schedule A refers to a group of positions. One type of Schedule A hiring authority is
used to appoint persons with severe physical disabilities, psychiatric disabilities, and
intellectual disabilities. Such individuals may qualify for conversion to the competitive
service after 2 years of satisfactory service. Severe physical disabilities include but are not
limited to blindness, deafness, paralysis, missing limbs, epilepsy, dwarfism, and more (5
C.F.R. § 213.3102(u)). Another type of Schedule A is used to appoint readers,
interpreters, and personal assistants for employees with severe disabilities as reasonable
accommodations. 5 C.F.R. § 213.3102(ll).
Page 16 GAO-22-104297 Federal Hiring Authorities
from their prior work at other agencies. This group enabled officials to
share knowledge regarding the definition of key terminology as well as
gain insight into OPM’s views. This assisted the Smithsonian in
requesting and receiving DHAs from OPM based on its critical hiring
needs resulting from the pandemic.
Identify hiring needs and know available hiring authorities. Several of
the selected agencies stated that the pandemic prompted officials to
inventory not only their currently available hiring authorities but also the
positions needed for their pandemic response and how long those
positions would be needed. This knowledge helped officials match their
workforce needs to the appropriate hiring authority. For example, CFTC
officials analyzed how the U.S.’s commodities market and its agency
programs might be affected by the pandemic and identified where they
may have hiring needs. As a result, CFTC realized it could meet its hiring
needs using available staff and previously available hiring authorities and
did not need to use the CARES Act or COVID-19 Schedule A hiring
authorities.
An outcome of this inventory process for some agencies was
documenting and distributing the results to agency hiring managers, as
well as updating already available documents. For example:
• HUD created inventories that listed hiring authorities available for
immediate use. These inventories detailed both regular and COVID-
19 related hiring authorities, the requirements for their use, and
contacts for hiring mangers seeking more information. According to
HUD officials, the inventories were distributed internally to
administrative officers and resource managers. This effectively
increased the number of knowledgeable officials. Overall, these
inventories enabled managers to consider different options for filling
positions. Thus, managers could compare the requirements and
limitations for each available hiring authority in a single document.
• SEC officials told us that, in March 2019, they had created a
document summarizing their available hiring authorities. They updated
the document in April 2020 to include the two additional hiring
authorities available to the agency during the pandemic—the CARES
Act and the COVID-19 Schedule A authorities. Once the CARES Act
authority expired in December 2020, SEC officials updated the
document and removed the authority. According to SEC officials, the
document is provided to hiring managers and used during hiring
conversations. SEC officials stated that the feedback from hiring
Page 17 GAO-22-104297 Federal Hiring Authorities
managers has been positive since its implementation in March 2019.
Identify challenge to hiring and develop workarounds. During our
discussions with selected agencies regarding their experiences using the
COVID-19 related hiring authorities, SBA described the challenge of
hiring a large number of employees within a short time frame. Specifically,
SBA officials described using the federal talent acquisition systems, such
as USA Staffing, to hire large numbers of employees, including those
hires made using the COVID-19 related hiring authorities. 31 Officials from
SBA stated that they found that candidates may apply to multiple
positions and for positions in more than one location simultaneously. This
could potentially lead to the same individual being selected for multiple
positions and locations. As a result, SBA risked positions being left
unfilled that would need to be filled by additional qualified applicants, or
sometimes re-announced.
SBA officials told us they identified a workaround to the problem of
making offers to candidates that had applied for multiple positions on
USA Staffing. Specifically, SBA officials developed an external applicant
system designed to track applicant email addresses. This allowed SBA
officials to more easily identify duplicate applications. SBA officials then
used USA Staffing to issue job offers.
Request changes to hiring authorities in response to evolving hiring
needs. As the pandemic progressed, the effect on selected agencies’
hiring needs changed. As a result, some of the agencies that relied on
DHAs had to request changes from OPM. In HHS’s case, this slowed
down its hiring efforts. For example, HHS officials reported needing OPM
approval to changes in position titles or levels of positions to match the
experience level of the individual the agency wanted to hire. HHS officials
indicated that the need for OPM approval slowed down their hiring
31The USAJOBS website, which is managed by OPM, is the primary source for
information about federal jobs and employment opportunities. It provides interested
citizens with information on federal job opportunities and allows them to submit
applications for these jobs. Agencies use third-party talent acquisition systems that are
integrated with USAJOBS to post job opportunity announcements on the website, and to
record decisions about which applicants are deemed qualified and which are referred to
the hiring manager and selected. These include USA Staffing, which is a system run by
OPM, and systems offered by private sector contractors or created in house by federal
agencies. Agencies’ talent acquisition systems also serve as a mechanism to obtain
applicant information to support the process of selecting and onboarding job seekers.
Page 18 GAO-22-104297 Federal Hiring Authorities
efforts. 32 Because of the uncertainty regarding the scope or length of the
pandemic, HHS officials stated an interest in OPM extending the
deadlines of their DHAs and their use of the COVID-19 Schedule A
authority, both of which helped the agency hire officials more efficiently.
OPM’s staffing review and annual Human Capital Review (HCR)
OPM Plans To meetings may provide the agency with insight into how agencies used
Review Agencies’ COVID-19 related hiring authorities and agencies’ experiences and
challenges hiring and meeting staffing needs during the pandemic. OPM’s
Use Of COVID-19 Merit System Accountability and Compliance (MSAC) division conducts
Related Hiring both the staffing reviews and the HCR meetings. 33 According to OPM
officials, MSAC plans to review COVID-19 related hiring authorities in its
Authorities In 2022 staffing reviews beginning in fiscal year 2022, and will schedule HCR
But Has Not meetings for fiscal year 2023. The results of these reviews and meetings
may allow OPM to capture lessons learned—a systematic means to learn
Developed Plans To from specific events or day-to-day operations and decide when and how
Capture Lessons to use that knowledge. However, according to OPM officials, the agency
has yet to develop plans to collect lessons learned from agencies on their
Learned use of COVID-19 related hiring authorities through these or other means.
We have found that collecting and sharing lessons learned from programs
or projects helps organizations share information for improving work
processes and factor beneficial information into future planning. 34
Staffing reviews. OPM’s staffing reviews are periodic evaluations that
review agency hiring activity, among other things. According to OPM
MSAC guidance, the staffing reviews may be limited to competitive
examining or expanded as necessary to assess the use of all hiring
32OPM officials noted that the review and approval of requested changes to hiring
authorities is necessary to ensure that the changes are warranted and consistent with
regulatory standards.
33According to OPM’s website, key components of MSAC’s oversight and compliance
program include Human Resources Management Evaluations, Delegated Examining
Audits, Accountability, Political Conversions, and Voting Rights.
34GAO, DOD Utilities Privatization: Improved Data Collection and Lessons Learned
Archive Could Help Reduce Time to Award Contracts, GAO-20-104 (Washington, D.C.:
Apr. 2, 2020); Project Management: DOE and NNSA Should Improve Their Lessons-
Learned Process for Capital Asset Projects, GAO-19-25 (Washington, D.C.: Dec. 21,
2018); Federal Real Property Security: Interagency Security Committee Should Implement
a Lessons-Learned Process, GAO-12-901 (Washington, D.C.: Sept. 10, 2012).
Page 19 GAO-22-104297 Federal Hiring Authorities
authorities, or any area of concern identified during the reviews. 35 Officials
with OPM’s MSAC division stated that OPM plans to review or assess
government-wide use of the COVID-19 related hiring authorities in its
staffing reviews beginning in fiscal year 2022. OPM officials explained
that they have been focused on providing agencies with authorities that
could assist agencies with hiring the staff needed to meet their mission
responsibilities and that efforts to determine the efficacy of OPM-issued
COVID-19 hiring authorities prior to fiscal year 2022 may be premature.
For example, OPM officials noted that data on agencies’ use of the
COVID-19 hiring authorities are currently unavailable.
Officials from OPM’s MSAC division reported that they are in the process
of planning their schedule for fiscal year 2022 staffing reviews and that
such reviews would include assessing the use of the hiring authorities
granted specifically for COVID-19 responses. According to OPM MSAC
officials, when planning their reviews, they first determine which agencies
and/or component agencies will be examined in an upcoming year. They
say agency selection, as well as the frequency of conducting a staffing
review at a specific agency, is based on criteria such as past evaluations,
concerns identified during OPM’s most recent assessment of the
agency’s evaluation system, or if an agency has known deficiencies in an
area. Second, MSAC examines data on hiring actions at the agencies it
has selected to evaluate to determine level of usage and variety of hiring
authorities used. Finally, MSAC selects which hiring authorities to sample
in its evaluation.
Given this, MSAC officials have not yet determined which agencies or
authorities will be specifically included in its fiscal year 2022 staffing
reviews, although they stated that COVID-19 related hiring authorities will
be included. According to OPM officials, after the results of the staffing
reviews have been finalized OPM will determine whether or not the
results, including any findings related to COVID-19 related hiring
authorities, will be shared more broadly or used to inform government-
wide efforts for future pandemics or emergencies.
Annual Human Capital Review (HCR). The annual HCR provides an
opportunity for agencies to discuss human capital management issues—
including their top human capital challenges and successes—with OPM
so that they might serve as models for other agencies with similar issues.
35Office of Personnel Management, Merit System Accountability and Compliance, Agency
Compliance and Evaluation, The ACE Evaluator Handbook, (Washington D.C.:
September 2020).
Page 20 GAO-22-104297 Federal Hiring Authorities
Among other things, the HCRs are to cover the implementation of
strategies and practices to attract and hire needed talent, which could
include the use of hiring authorities. The results are compiled and issued
in a final report made available to agencies government-wide on OPM’s
website. Agencies may use such information, which may include lessons
learned, to improve human capital management within their own
organization.
OPM held the first HCRs with each of the 24 Chief Human Capital Officer
executive agencies beginning in fiscal year 2019 to identify government-
wide trends, provide technical assistance, and take action with agencies
to promote a more effective government. As previously reported in our
2021 High-Risk work on strategic human capital management, OPM
canceled its HCR meetings with agency officials for 2020. 36 On March 20,
2020, OPM issued a memorandum to federal agencies stating that these
meetings were canceled due to work demands related to the COVID-19
pandemic. 37 In May 2021, OPM officials stated that no HCRs were
scheduled for fiscal year 2021 due to the change in administration and a
transition in OPM’s agency leadership. OPM noted that the next planned
HCRs would occur in fiscal year 2023. According to OPM officials, OPM
has frequent and recurring conversations with agency Chief Human
Capital Officers and the cancellation of the 2020 HCRs had no impact on
agencies’ access to OPM. However, we have previously reported that
informal information sharing does not ensure everyone is benefiting from
the lessons that are gleaned. 38
HCRs provide opportunities for OPM to collect and share practices across
agencies. For example, in its 2019 Human Capital Review report, OPM
shared notable practices collected from agencies government-wide,
including how USDA’s Human Resources consultants share all hiring
flexibilities, including pay flexibilities, with hiring managers when
discussing vacancies. 39 In addition, OPM shared government-wide
36GAO-21-119SP, 49.
37Office of Personnel Management, Memorandum: Human Capital Reviews in Fiscal Year
(FY2020), (Washington, D.C: Mar. 20, 2020).
38GAO-19-25.
39Office of Personnel Management, Fiscal Year 2019: Human Capital Reviews Report
(Washington, D.C.: March 2020).
Page 21 GAO-22-104297 Federal Hiring Authorities
concerns around attrition rates for scientific and technical positions, as
well as an inability to hire fast enough to meet demands.
As the chief human resources agency and personnel policy manager for
the federal government, OPM plays an important role in understanding
any potential government-wide hiring challenge during national
emergences, such as the current COVID-19 pandemic, and determining
what strategies have been helpful to address those challenges. We have
previously reported that OPM’s oversight evaluations provide an in-depth
understanding of how specific authorities could contribute to an effective
hiring process. 40 The results of both the staffing review and the HCR
could help inform OPM evaluations as well as current and future guidance
provided by OPM to agencies. Additionally, collecting and sharing
agencies’ lessons learned on the recent use of COVID-19 related hiring
authorities could help inform OPM and agencies on the benefits and
challenges of using these authorities in the future. 41
According to key practices that we and others have identified for both
program and project management, it is important to identify and apply
lessons learned from programs, projects, and missions to limit the chance
of recurrence of previous failures or difficulties. 42 Key practices of a
lessons-learned process include collecting, analyzing, saving or archiving,
and sharing and disseminating information and knowledge gained on
positive and negative experiences. 43 Lessons learned serve to
communicate knowledge more effectively and to ensure that beneficial
information is factored into planning, work processes, and activities. We
40GAO-16-521.
41According to OPM officials, OPM does not have oversight authority over Treasury’s use
of its CARES Act hiring authority. Assuming this is the case, it does not preclude OPM
from discussing Treasury’s use of the CARES Act hiring authority for purposes of
informing OPM on the effectiveness of the authority and gathering lessons-learned to
share.
42GAO-12-901; Telecommunications: GSA Needs to Share and Prioritize Lessons
Learned to Avoid Future Transition Delays, GAO-14-63 (Washington, D.C.: Dec. 5, 2013);
and NASA: Better Mechanisms Needed for Sharing Lessons Learned, GAO-02-195
(Washington, D.C.: Jan. 30, 2002). We also identified lessons-learned practices from
reports by both the Project Management Institute and the Center for Army Lessons
Learned. Project Management Institute, Inc., A Guide to the Project Management Body of
Knowledge (PMBOK® Guide), Sixth Edition (2017); Project Management Institute, Inc.,
Implementing Organizational Project Management: A Practice Guide, First Edition (2014);
and Center for Army Lessons Learned, Establishing a Lessons Learned Program.
43GAO-19-25.
Page 22 GAO-22-104297 Federal Hiring Authorities
and others have also previously found that lessons learned should be
submitted in a timely manner to ensure that key information is available to
identify and address problems or incorporate successful activities as early
and quickly in the process as possible. For example, we found that
lessons-learned reports (i.e., reports documenting lessons-learned
reviews) should be prepared promptly so that knowledgeable personnel
are available to contribute to the reports, important details are recalled
accurately, and there are no delays in the dissemination of lessons
learned. 44
OPM has had experience in collecting and sharing useful information to
assist agencies in responding to national emergencies. During the
influenza pandemic in 2009, OPM issued guidance to agencies that
included information on available hiring authorities as well as specific
examples of human resources strategies implemented by federal
agencies. 45 The initiative to develop this guidance originated from White
House officials, as part of a comprehensive approach to address the
threat of the influenza pandemic that began in November 2005. As part of
this approach, OPM issued its guidance in three installments over the
course of 2006 with an update issued in 2009. OPM officials stated while
no plans have been developed yet to collect and share lessons learned
on pandemic hiring or agencies’ use of COVID-19 related hiring
authorities, discussions on pandemic hiring will take place.
If OPM is not able to identify government-wide trends, such as pandemic-
related hiring challenges, it cannot take a strategic approach in
determining which hiring authorities are most effective at meeting merit
principles, policy, and mission goals. Further, OPM may risk significantly
hindering the government’s ability to recruit, hire, retain, and manage its
current COVID-19 pandemic workforce as well as for future pandemics or
emergencies.
The Congress and OPM provided COVID-19 related hiring authorities to
Conclusions help agencies respond to, and address, the pandemic by reducing the
administrative burden. Use of the COVID-19 related hiring authorities
varied among agencies, and some COVID-19 hiring authorities were used
44GAO, Combatting Nuclear Smuggling: Lessons Learned from Cancelled Radiation
Portal Monitor Program Could Help Future Acquisitions, GAO-13-256 (Washington, D.C.:
May 13, 2013).
45Office of Personnel Management, Planning for Pandemic Influenza: Human Resources
Information for Agencies and Departments (Washington D.C.: May 2009).
Page 23 GAO-22-104297 Federal Hiring Authorities
more extensively than others to meet agencies’ hiring needs during the
pandemic. In addition, some agencies did not initially understand how to
use the various COVID-19 hiring authorities. However, through their
experience with using, or considering the use of, these hiring authorities,
the selected agencies identified four initial lessons that they learned that
could help agency officials improve the use of hiring authorities in future
emergencies.
OPM has existing mechanisms that could provide opportunities to learn
about agencies’ experiences using COVID-19 related hiring authorities.
However, OPM has yet to develop plans to collect or widely share
lessons learned from agencies’ use of the COVID-19 related hiring
authorities. To identify broader lessons about how best to quickly address
hiring needs in response to emergencies, it is critical for OPM to
collaborate with agencies to determine the various hiring authorities’
contribution to the effectiveness of the pandemic hiring process.
Collecting and sharing lessons learned from agencies’ use of COVID-19
related hiring authorities, either through its existing mechanisms or other
processes, would help OPM understand how the various hiring authorities
could best be used during future pandemics or emergencies and identify
opportunities to improve the hiring process.
The Director of OPM, in conjunction with the Chief Human Capital
Recommendation Officers Council, should develop and implement a process for collecting
and sharing comprehensive government-wide information on the lessons
learned associated with agencies’ use of different hiring authorities in
response to the COVID-19 pandemic. (Recommendation 1)
We provided a draft of this report to OPM and the 10 agencies selected
Agency Comments for review — CFTC, Commerce, HHS, HUD, SBA, SEC, Smithsonian,
Treasury, USDA, and VA. OPM provided comments, which are
reproduced in appendix II. CFTC, Commerce, HHS, HUD, SBA,
Smithsonian, and USDA told us that they had no comments on the draft
report.
In its comments, OPM concurred with our recommendation and stated
that it is committed to conducting a review of the hiring flexibilities
authorized to aid agencies in their COVID-19 response and mission. OPM
noted that it would analyze the results of its review to determine what, if
any, lessons were learned and share their findings with agencies. In
addition, OPM, SEC, Treasury, and VA provided technical comments,
which we incorporated as appropriate.
Page 24 GAO-22-104297 Federal Hiring Authorities
We are sending copies to the appropriate congressional committees; the
Director of the Office of Personnel Management, the Secretaries of
Agriculture, Commerce, Health and Human Services, Housing and Urban
Development, the Smithsonian Institution, Treasury, and Veterans Affairs;
the Administrator of the Small Business Administration; the Chair of the
Securities and Exchange Commission; and the Acting Chair of the
Commodity Futures Trading Commission. In addition, the report will be
available at no charge on the GAO website at https://www.gao.gov.
If you or your staff have any questions about this report, please contact
me at (202) 512-6806 or rosenbergm@gao.gov. Contact points for our
Offices of Congressional Relations and Public Affairs may be found on
the last page of this report. GAO staff members who made key
contributions to this report are listed in appendix III.
Michelle B. Rosenberg
Director, Strategic Issues
Page 25 GAO-22-104297 Federal Hiring Authorities
List of Addressees
The Honorable Patrick Leahy
Chairman
The Honorable Richard Shelby
Vice Chairman
Committee on Appropriations
United States Senate
The Honorable Ron Wyden
Chairman
The Honorable Mike Crapo
Ranking Member
Committee on Finance
United States Senate
The Honorable Patty Murray
Chair
The Honorable Richard Burr
Ranking Member
Committee on Health, Education, Labor, and Pensions
United States Senate
The Honorable Gary C. Peters
Chairman
The Honorable Rob Portman
Ranking Member
Committee on Homeland Security and Governmental Affairs
United States Senate
The Honorable Kyrsten Sinema
Chair
The Honorable James Lankford
Ranking Member
Subcommittee on Government Operations and Border Management
Committee on Homeland Security and Governmental Affairs
United States Senate
Page 26 GAO-22-104297 Federal Hiring Authorities
The Honorable Rosa L. DeLauro
Chair
The Honorable Kay Granger
Ranking Member
Committee on Appropriations
House of Representatives
The Honorable Frank Pallone, Jr.
Chair
The Honorable Cathy McMorris Rodgers
Republican Leader
Committee on Energy and Commerce
House of Representatives
The Honorable Bennie G. Thompson
Chairman
The Honorable John Katko
Ranking Member
Committee on Homeland Security
House of Representatives
The Honorable Carolyn B. Maloney
Chairwoman
The Honorable James Comer
Ranking Member
Committee on Oversight and Reform
House of Representatives
The Honorable Mark Takano
Chairman
Committee on Veterans’ Affairs
House of Representatives
The Honorable Richard E. Neal
Chair
The Honorable Kevin Brady
Republican Leader
Committee on Ways and Means
House of Representatives
Page 27 GAO-22-104297 Federal Hiring Authorities
The Honorable Chris Pappas
Chairman
Subcommittee on Oversight and Investigations
Committee on Veterans’ Affairs
House of Representatives
Page 28 GAO-22-104297 Federal Hiring Authorities
Appendix I: Objectives, Scope and
Appendix I: Objectives, Scope and
Methodology
Methodology
This report examines: (1) the Coronavirus Disease 2019 (COVID-19)
related hiring authorities provided to agencies to hire federal employees
and the extent to which selected agencies have used them; (2) selected
agencies’ experiences using the COVID-19 related hiring authorities,
including lessons learned for improving the use of hiring authorities for
future emergencies; and (3) Office of Personnel Management (OPM)
efforts to assess agencies’ use of the COVID-19 related hiring authorities.
To determine the COVID-19 related authorities provided to agencies to
hire federal employees, we reviewed the CARES Act to identify the
agencies that received statutory hiring authorities for their response
work. 1 In addition, we interviewed OPM officials about any special hiring
authorities it provided to agencies to respond to needs related to COVID-
19. Based on this information, we identified the following three categories
of COVID-19 related hiring authorities provided to agencies: (1) statutory
authorities provided directly to agencies in the CARES Act; (2) expedited
OPM delegations of Direct Hire Authority (DHA); and (3) the government-
wide COVID-19 Schedule A hiring authority.
To determine the extent to which the selected agencies have used these
hiring authorities we determined which agencies either: (1) received hiring
authorities under the CARES Act, or (2) requested and received
expedited DHA related to the public health emergency from OPM
between March 1 and September 30, 2020. That resulted in the
identification of 10 agencies. The Departments of Commerce
(Commerce), Housing and Urban Development (HUD), and the Treasury
(Treasury); the Commodity Futures Trading Commission (CFTC); and the
Securities and Exchange Commission (SEC) received hiring authorities
under the CARES Act. The Departments of Agriculture (USDA) and
Veterans Affairs (VA); the Small Business Administration (SBA); and the
Smithsonian Institution (Smithsonian) each received DHA from OPM. The
Department of Health and Human Services (HHS) received both.
Because of limited information on which agencies had used or planned to
1Pub. L. No. 116-136, 134 Stat. 281 (2020). As of August 25, 2021, five other relief laws
were also enacted in response to the COVID-19 pandemic: the American Rescue Plan Act
of 2021, Pub. L. No. 117-2, 135 Stat. 4 (2021); the Consolidated Appropriations Act, 2021,
Pub. L. No. 116-260, 134 Stat. 1182 (2020); Paycheck Protection Program and Health
Care Enhancement Act, Pub. L. No. 116-139, 134 Stat. 620 (2020); Families First
Coronavirus Response Act, Pub. L. No. 116-127, 134 Stat. 178 (2020); and the
Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020, Pub. L.
No. 116-123, 134 Stat. 146. In this report, we are reviewing only those hiring authorities
provided in the CARES Act.
Page 29 GAO-22-104297 Federal Hiring Authorities
Appendix I: Objectives, Scope and
Methodology
use the government-wide COVID-19 Schedule A hiring authority, we did
not use this authority to select agencies for our review.
For each of the 10 identified agencies, we interviewed or collected
information from agency officials about their pandemic response efforts,
staffing estimates, the number of hires made using the COVID-19 related
hiring authorities, and how these authorities facilitated the agency’s
pandemic response work. We also asked the officials about, and
reviewed documentation regarding, agency tracking and oversight of
these authorities. 2 We reviewed agency guidance documents outlining
the use of CARES Act authorities, request and approval documents
related to expedited OPM-delegations of DHA, and available OPM or
agency guidance related to DHA and the COVID-19 Schedule A hiring
authority.
Finally, we obtained agency hiring data on the number of hires made
using each of the COVID-19 related hiring authorities between March 1,
2020, and December 31, 2020. We requested agency data related to:
position description, appointment authority, agency, and the entry on duty
date. To assess the reliability of the data, we reviewed information from
agency officials about the data systems they used for human capital
records related to hiring. We also used online reference tools provided by
OPM to match nature of action or authority codes to those contained
within the agency data, and verified these, where appropriate, against
OPM guidance on data coding. This included OPM guidance on coding
associated with DHA delegation and use of the COVID-19 Schedule A
hiring authority. Where agency data files contained legal citations, we
verified that these matched the hiring authorities reported by the
agencies. We also reviewed documentation of agency quality assurance
procedures, agency error reports, checklists, and guidance related to the
use of agency data internal control systems. Based on these actions, we
determined that the data were sufficiently reliable for the purposes of
determining the number of hires made using specific COVID-19 related
hiring authorities.
To describe agencies’ experiences using the COVID-19 related hiring
authorities, we interviewed or collected information from relevant human
resources officials at the selected agencies to learn about their
experiences using the selected COVID-19 related hiring authorities,
2We did not review the appropriateness or legality of the use of the hiring authorities by
any subcomponents or programs within the selected agencies.
Page 30 GAO-22-104297 Federal Hiring Authorities
Appendix I: Objectives, Scope and
Methodology
including their reasons for using one authority over another, and how the
use of the authorities helped agencies meet their hiring or other mission
needs. In addition, we asked agency officials for any lessons learned for
the current pandemic or future emergencies that derived from agency
experience in using these hiring authorities. We used the results of these
interviews to identify common COVID-19 related hiring issues reported
across agencies and to describe how agencies leveraged the available
hiring authorities to address them, where they did so. As part of our work
in capturing lessons learned, we also reviewed our own reports and other
resources they referenced on lesson learned reporting and procedures for
collecting and using agency experiences to create lessons.
To examine OPM’s efforts to assess agencies’ use of the COVID-19
related hiring authorities, we identified and reviewed OPM policies for,
and documentation of, hiring authority oversight as they relate to hiring
authorities described above. As part of this work, we reviewed OPM
guidance provided to agencies on the use of DHA and COVID-19
Schedule A hiring authorities and other related documentation. We also
reviewed applicable statutes, regulations, and other requirements that
outline OPM’s oversight responsibilities for the use of federal hiring
authorities including those related to OPM’s annual Human Capital
Reviews (HCR). As part of this work, we also interviewed staff from
OPM’s Merit Systems Accountability and Compliance office (MSAC).
MSAC is responsible for oversight of agency’s use of hiring authorities, as
well as the HCR process.
In addition, we interviewed OPM officials about their oversight work, and
their pandemic-related planning. We also interviewed OPM officials about
guidance, scheduled discussions, or other resources for agencies to gain
information about available hiring authorities and flexibilities. As part of
this work, we reviewed our prior reports concerning hiring authority use
and OPM oversight.
We conducted this performance audit from April 2020 to October 2021 in
accordance with generally accepted government auditing standards.
Those standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objectives. We believe that
the evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit objectives.
Page 31 GAO-22-104297 Federal Hiring Authorities
Appendix II: Comments from the Office of
Appendix II: Comments from the Office of
Personnel Management
Personnel Management
Page 32 GAO-22-104297 Federal Hiring Authorities
Appendix II: Comments from the Office of
Personnel Management
Page 33 GAO-22-104297 Federal Hiring Authorities
Appendix III: GAO Contact and Staff
Appendix III: GAO Contact and Staff
Acknowledgments
Acknowledgments
Michelle B. Rosenberg, (202) 512-6806 or RosenbergM@gao.gov.
GAO Contact
In addition to the contact named above, key contributors to this report
Staff were Shirley Hwang and Steven Lozano (Assistant Directors), Dewi
Acknowledgments Djunaidy (Analyst in Charge), and Brett Caloia. In addition, Breanne Cave
and Karin Fangman made significant contributions to this report.
(104297)
Page 34 GAO-22-104297 Federal Hiring Authorities
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