A Ready and Resilient Workforce for the Department of Homeland Security: Protecting America's Front Line (2013)

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5 Elements of the Department of Homeland Security Workforce Readiness and Resilience Strategic Plan Companies that make the change from good to great have no name for their transformation—and absolutely no program. They neither rant nor rave about a crisis—and they don’t manufacture one where none exists. They don’t “motivate” people—their people are self-motivated. —Jim Collins (2001) Strategic planning determines where an organization is going over the next several years, how it is going to get there, and how it will know whether it got there. To ensure that its workforce readiness and resilience (WRR) strategic plan can establish a systematic departmentwide ap- proach, the Department of Homeland Security (DHS) must increase its understanding and awareness of the factors that affect its workforce. The identified goals and strategies outlined by the present committee throughout this report are the beginnings of a roadmap that will strength- en the department’s approach to workforce readiness and resilience over the next 5 years, with longer-term goals embedded. As the department implements its plan, it must be updated and developed further through a collaborative and coordinated effort. Input from and collaboration with the working level of all component agencies will be needed to gain input on critical workforce challenges that are facing them and DHS as a whole. As stated throughout this report, the WRR strategic plan needs to be aligned with the department’s vision, mission, goals, and overall DHS strategic plan. For each strategic goal, specific metrics are needed to evaluate pro- gress in policies, programs, and practices so that progress toward WRR goals can be determined. As DHS compiles its plan, it will need a com- 159 

160 A READY AND RESILIENT WORKFORCE FOR DHS prehensive approach that addresses multiple avenues at once. The com- mittee does not view the plan as something that the WRR administrator compiles in a silo; it needs input and collaboration from the entire department. PROGRAM DESIGN Resilience is not a separate entity; it is built into and flows out of the mission, culture, and program design. To succeed, a program needs sev- eral characteristics. The National Institute for Occupational Safety and Health (NIOSH) Total Worker Health Strategy (NIOSH, 2008; see Box 5-1) provides nine elements related to program implementation that can help guide DHS as it implements WRR. BOX 5-1 NIOSH Total Worker Health Strategy Establish clear principles. Effective programs have clear principles to fo- cus priorities, guide program design, and direct resource allocation. Pre- vention of disease and injury supports worker health and well-being. Integrate relevant systems. Program design involves an initial inventory and evaluation of existing programs and policies relevant to health and well-being and a determination of their potential connections. In general, better integrated systems perform more effectively. Programs should re- flect a comprehensive view of health: behavioral health/mental health/ physical health are all part of total health. No single vendor or provider of- fers programs that fully address all of these dimensions of health. Integrate separately managed programs into a comprehensive health-focused sys- tem and coordinate them with an overall health and safety management system. Integration of diverse data systems can be particularly important and challenging. Eliminate recognized occupational hazards. Changes in the work envi- ronment (such as reduction in toxic exposures or improvement in work sta- tion design and flexibility) benefit all workers. Eliminating recognized hazards in the workplace is foundational to WorkLife principles. Not directly relevant to the committee’s charge. Be consistent. Workers’ willingness to engage in worksite health-directed programs may depend on perceptions of whether the work environment is truly health supportive. Individual interventions can be linked to specific work experience. Change the physical and organizational work environ- ment to align with health goals. For example, blue-collar workers who 

ELEMENTS OF THE STRATEGIC PLAN 161 smoke are more likely to quit and stay quit after a worksite tobacco cessa- tion program if workplace dusts, fumes, and vapors are controlled and workplace smoking policies are in place. Promote employee participation. Ensure that employees are not just recip- ients of services but are engaged actively to identify relevant health and safety issues and contribute to program design and implementation. Barri- ers are often best overcome through involving the participants in coming up with solutions. Participation in the development, implementation, and evaluation of programs is usually the most effective strategy for changing culture, behavior, and systems. Tailor programs to the specific workplace and the diverse needs of work- ers. Workplaces vary in size, sector, product, design, location, health and safety experience, resources, and worker characteristics such as age, training, physical and mental abilities, resiliency, education, cultural back- ground, and health practices. Successful programs recognize this diversity and are designed to meet the needs of both individuals and the enterprise. Effective programs are responsive and attractive to a diverse workforce. One size does not fit all—flexibility is necessary. Consider incentives and rewards. Incentives and rewards, such as finan- cial rewards, time off, and recognition, for individual program participation may encourage engagement, although poorly designed incentives may create a sense of “winners” and “losers” and have unintended adverse consequences. Vendors’ contracts should have incentives and rewards aligned with accomplishment of program objectives. Make sure the program lasts. Design programs with a long-term outlook to assure sustainability. Short-term approaches have short-term value. Pro- grams aligned with the core product/values of the enterprise endure. There should be sufficient flexibility to assure responsiveness to changing work- force and market conditions. Ensure confidentiality. Be sure that the program meets regulatory re- quirements (e.g., the Health Insurance Portability and Accountability Act, state law, the Americans with Disabilities Act) and that the communication to employees is clear on this issue. If workers believe their information is not kept confidential, the program is less likely to succeed. SOURCE: NIOSH, 2008. The elements listed in Box 5-1 are essential for creating a sustainable program that is able to grow and evolve. It is crucial that new programs be designed with a long-term outlook and aligned with the core values and mission of the organization; otherwise they risk failure from the out- set. As noted in Chapter 1, in creating the DHSTogether program, clear principles were not established to focus priorities, and relevant systems 

162 A READY AND RESILIENT WORKFORCE FOR DHS were not integrated to create a comprehensive focus on resilience. Em- ployee trust in programs offered by DHS remains an issue, and a long- term strategy to guide program development has never been in place. The committee commends the DHS Office of Health Affairs (OHA) for its present commitment to put together a 5-year strategic plan for DHS workforce resilience. YEAR-BY-YEAR IMPLEMENTATION In this chapter, the committee presents recommended elements for the workforce readiness and resilience strategic plan. As the committee deliberated on what elements to recommend for inclusion in the WRR strategic plan, it considered ease of implementation and feasibility (fi- nancial and technical—although sometimes the upfront efforts and cost of an activity can be outweighed by the impact it will have in future years), potential effects on employee readiness and resilience; strategic opportunity (likeliness to require and motivate multi-component in- volvement and collaboration), and the number of staff affected. Items included in year 1 of the plan are (1) those that are fundamental to the success of the effort—foundational activities on which items in years 2– 5 will build (such as the development and initiation of an internal com- munications plan regarding WRR initiatives, and the development of an organizing framework that identifies key structure, process, and out- comes measures that need to be collected routinely); and (2) those that build on existing DHS activities that need to be improved or expanded and will affect a large fraction of, if not all, DHS staff (such as improve- ments in employee assistance programs [EAPs] and expansion and re- source for peer support programs). Recommendations 1–6 in this report have associated goals and activ- ities with year-by-year implementation efforts that DHS should under- take (see Table 5-1 at the end of this chapter). Because of the diversity of culture, organization, duties, and stressors in and among components, flexibility will be a key part of implementation of WRR. However, a common thread connects the component agencies: the overall DHS mis- sion. The differences need to be acknowledged while that common thread is strengthened. Different interventions and resources might be needed, but some common measures and core foci are necessary. A uni- fied (as opposed to uniform) approach will allow the component agencies flexibility to implement needed programs while providing a basic level 

ELEMENTS OF THE STRATEGIC PLAN 163 of support that is uniform among components. These departmentwide principles will trickle down to the components, which can then identify their specific priorities on the basis of the overall framework and policies. Recommendation 7: Implement a 5-year strategic plan for work- force readiness and resilience in the Department of Homeland Security. The committee recommends the Department of Homeland Secu- rity and its component agencies incorporate the elements and ac- tivities outlined by the committee in creating its 5-year strategic plan to develop and sustain workforce readiness and resilience and close the gaps outlined in this report. WRR cannot be achieved by DHS headquarters alone. Success will re- quire collaboration, input, and commitment from component agencies, and alignment of parallel efforts across the department. Therefore, within the committee’s recommended elements of the strategic plan are specific roles and activities for component agencies to undertake. Budget Implications Although the committee was not asked to make specific recommen- dations on resources or budget needs of the program, the committee did consider the current fiscal climate—including the Budget Control Act of 20111—when weighing priorities for WRR. In this report the committee offers recommendations that would apply throughout the department. The current resilience program in DHS is tied to a specific line item in the budget with direct funding, although at a low level compared with the size of the department. The main resource need for implementing the committee’s recommendations is staff time. For example, all the commit- tee’s recommendations except Recommendation 3 will require staff in each component agency to provide input to WRR to identify the core priorities and needs both DHS-wide and for each component agency. Recommendation 4, on leadership, will require training time. However, staff are already in place and working on many of the efforts that the 1 Also referred to as sequestration. 

164 A READY AND RESILIENT WORKFORCE FOR DHS committee has recommended, such as leadership development, commu- nication, information technology, and DHSTogether. Recommendation 5 will require an upfront investment for the infra- structure needed for measurement and evaluation in year 1 (see Table 5-1), but the following years will have few additional costs other than those of maintaining the system and staff time to analyze the data. Once data are available, cost savings can be realized by removing low-performing pro- grams. For example, as mentioned in Chapter 3, the current leadership development program cannot cut any of the 841 separate training pro- grams that DHS is participating in—it can only add new programs. If the existing programs were measured and evaluated, the ones that are not meeting program goals could be removed. The committee also suggests that DHS aim to be one of the best and most desirable places to work by improving communication, morale, and leadership. Achieving those goals could result in lower employee turnover and therefore cost savings associated with lower onboarding (hiring and training) costs. SPECIFIC PROGRAMS As noted throughout the report, DHS has few data on the effective- ness of the workforce readiness and resilience programs that it is imple- menting. The committee was therefore generally unable to recommend specific programs or activities that DHS should implement over the 5 years (such as physical-fitness programs, specific types of stress reduc- tion, or programs for employee families). Furthermore, the committee believes that if the recommendations laid out in Chapters 2–4 and the elements provided at the end of this chapter were implemented they will have a far greater effect on workforce and organizational resilience than individual programs alone. However, two programs stood out as good options to improve as DHS starts on its path to implement a strategy for WRR while adopting a vision (Chapter 2), improving leadership development and communica- tion (Chapter 3), and laying down a foundation for useful data collection, evaluation, and reporting (Chapter 4). The two programs are EAPs and peer support. Such programs help to promote and enhance resilience by sustaining stable performance. EAPs are already established DHS-wide but warrant improvement, and peer support has been successfully im- plemented in several DHS components and in other government and law 

ELEMENTS OF THE STRATEGIC PLAN 165 enforcement organizations. The committee views the implementation of these two programs as “easy wins” that DHS can quickly and easily move forward with inasmuch as the infrastructure to support them al- ready exists. The programs should be disseminated as part of the com- munication strategy recommended in Chapter 3. When improving or adding any readiness or resilience program, DHS should look to other federal agencies for programs it can adapt for not only EAP and peer support but psychological first aid for managers, resilient leadership training for first-line supervisors, stress management training, and crisis communication programs. Rather than re-inventing the wheel, a mosaic of programs already in existence could be assembled and modularized to fit the unique aspects and needs of the component agencies. That would reduce the time and resource costs of requisite program development while providing adequate flexibility for specific organizational needs. It should be noted that some EAPs are not wellness and health man- agement programs (which focus on prevention and not treatment). The wellness programs and services that DHS and its component agencies decide to provide (ideally on the basis of data and with input from bot- tom to top within components) need to be coordinated or integrated ap- propriately with EAP; they should not work in isolation or in silos. For example, wellness and work-life and EAP coordinators could collaborate and integrate seminars and webinar presentations and educational mate- rials for improving employees’ coping mechanisms, for developing a positive mindset, for building resilience capacity to adapt to change, and for growing from those experiences. The health and productivity councils suggested in Chapter 2 could be used to coordinate such efforts. Employee Assistance Programs It is crucial that all employees have at least some baseline of support while the transformative changes needed in DHS for leadership, commu- nication, and culture begin. All DHS employees have access to an EAP, but components contract separately for EAP services and determine what will be provided; therefore, available services are uneven and are not implemented consistently throughout the department. In addition, the EAPs have not been assessed for effectiveness by DHS (see Chapter 1 for more information). EAPs are generally viewed as employee counsel- ing services as opposed to their intended purpose of providing support to employees for general health and wellness (and national utilization is less 

166 A READY AND RESILIENT WORKFORCE FOR DHS than 6 percent). A 2008 National Business Group on Health (NBGH) survey found that in general, there is a lack of coordination and integra- tion between EAPs and company health plans and that many companies view the services that EAPs provide as separate from their core business activities and as not providing the company with a substantial return on investment (Rothermel et al., 2008). Organizations are usually committed to offering EAP services to their employees, but the services are often disconnected from the organi- zation under the guise of preserving the confidentiality and anonymity of the employee user. Such EAPs tend to offer a limited number of visits (as prescribed by an agency’s contract), the people that would benefit from extended support fail to get it for a number of reasons (for example, if they have already established rapport with an EAP counselor and do not want to begin again with someone new, or if they do not follow through with the recommendation of an external counselor because the service is no longer free). Because there is no uniform “brand” or set of services for EAPs, it is usually up to the organization to pick from a menu of ser- vices offered by its EAP. The decision of what services to choose is often influenced by the cost. Decisions about the types of services to offer are often not based on data; that is, a needs assessment of the workforce to determine what services would be most beneficial to the workforce is not conducted. Traditional EAPs cover substance abuse, domestic violence, critical incidents, and debriefing, but many now offer other concierge services, such as financial planning and legal services. At a minimum, federal agencies are required by law to provide EAP services for substance- abuse issues and to provide counseling programs and establish appropri- ate prevention, treatment, and rehabilitative programs and services for substance-abuse problems. Federal agencies are also required to “estab- lish a drug-free Federal workplace program, including an EAP as an es- sential element in achieving a drug-free workforce.” Although it is not required, agencies are authorized to establish health-services programs for employees and can expand “counseling programs from those dealing solely with substance abuse to broad range programs, which provide counseling for other personal problems, e.g. family, financial, marital, etc.” DHS components offer a variety of services through their EAPs (most of which are outsourced to contracting agencies), but it was report- ed at the 2011 IOM DHS Workforce Resilience workshops that the EAPs did not have high utilization rates in the component agencies (IOM, 2012). Although most of the managers that the committee spoke with 

ELEMENTS OF THE STRATEGIC PLAN 167 during site visits said that they refer their staff to the EAP when they saw a need, the staff often stated that they did not know what services were available to them, were concerned about confidentiality, or had heard from others that the EAP counselors do not understand the types of stressors that they encounter regularly. The committee also heard during its site visits that EAPs are not al- ways available immediately after crises, inasmuch as an EAP has 72 hours to respond. For example, if an event happens on a Friday, it is pos- sible that no one from an EAP will be available until Monday or Tues- day. Considering the nature of DHS work, which is often highly stressful and involves around-the-clock hours, a 72-hour wait for assistance can be a substantial barrier to accessing services. Moreover, having counse- lors on hand who understand the types of stressors that employees face is crucial. Box 5-2 provides EAP best practices from the Office of Person- nel and Management (OPM). From what the committee has heard from DHS and observed during its site visits, these best practices are generally not followed. BOX 5-2 EAP Best Practices from OPM In establishing an EAP, OPM suggests that agencies should  provide top management support and endorsement for EAPs;  develop agency policy on EAP goals and training;  establish a statement of goals and objectives;  determine the extent of services to provide through the EAP and the administrative options;  identify available community resources;  select qualified personnel;  negotiate or consult with unions, as appropriate, to provide EAP services to bargaining unit employees;  publicize the EAP through internal memos, newsletters, posters;  encourage employees to use the EAP by making services conven- ient and available to employees; and  develop an ongoing evaluation process. SOURCE: OPM, 2008. 

168 A READY AND RESILIENT WORKFORCE FOR DHS According to the literature, EAPs can improve employee engage- ment, improve skills for responding to life’s challenges, develop employee competencies to manage workplace stress, and reduce absenteeism (Rothermel et al., 2008). At the 2011 IOM DHS Workforce Resilience workshops a repre- sentative of the DHS Office of the Chief Human Capital Officer (OCHCO) office stated that an update of the EAP policy was under way to ensure some consistency among the component agencies, but the poli- cy has not yet been updated (Green, 2013; IOM, 2012). The committee believes that that effort warrants high priority, and should be carefully crafted so that all DHS employees have sufficient support. EAP use needs to be actively promoted as part of the DHS communication plan and supported by leadership. As the NBGH EAP working group noted, “an EAP that is aligned with organizational values and vision will meas- urably enhance business operations, the overall employee experience, and the community perceptions of the company. A well-run EAP will provide a positive ROI [return on investment]” (Rothermel et al., 2008). EAP programs generally do not undergo the evaluation and metrics required of other internal or external employee programs, as is the case at DHS. The data received from the EAP contractors are not consistent among component agencies and are generally not delivered in a manner that can be easily understood, or they have unclear meaning (such as the number of times that the EAP website was visited by DHS employees). NBGH recommended that evaluation processes be based on valid, peer- reviewed methods and that performance targets be aligned with the em- ployer’s overall performance objectives (Rothermel et al., 2008). NBGH also provided specific examples of how to measure EAP utilization and effect (see Box 5-3 for examples). The update of the current DHS EAP policy needs to be fast-tracked and implemented to ensure integration with the DHS vision and include a statement of goals and objectives for EAP services departmentwide, and EAP vendors need to be reviewed yearly on the basis of metrics (which are based on best practices for measuring implementation and impact such as those provided by NBGH). The guidance can consider ensuring that EAP vendors  Provide 24/7 counseling services in emergency situations or a crisis call hotline (for example, for team-member suicide or other critical incidents). 

ELEMENTS OF THE STRATEGIC PLAN 169 BOX 5-3 Guidance and Methods for Measuring EAP Utilization and Impact Operational Definitions for Metrics  Participation (Utilization) Rates—components of measuring and re- porting case and supportive services utilization  Denominator and numerator for calculating participation rates among problem groups (EAP case rate utilization)  Opening & Closing Cases  Problem Group Participation Rate Calculation (Case Rate Utilization)  Supportive Services (EAP Supportive Services Utilization) Numerator and Denominator of Calculating Participation Rates  Supportive Services Participation Rate Calculation (Non Case Rate Utilization)  Supporting Manager and Supervisor Effectiveness Measuring EAP Effectiveness in Impacting Workforce Health and Productivity  Improved Work Productivity Rating (Job Performance Impact)  Measuring EAP Effectiveness in Increased Workforce Capacity Due to Improved Work Attendance  Improved General Clinical Outcome Among Problem Group (Cases)  Improved Retention Rating Senior Management Analysis and Reporting Strategies  The number of employees who, after using EAP services, are em- ployed at year end.  The number of employees who, after using EAP services, are per- forming at a satisfactory level or better.  The number of employees who, after using EAP services, separated from the company for one of the following reasons: involuntary termi- nation, voluntary termination, deceased, retired, long-term disability.  The cost/benefit impact of EAP services in relation to other human re- source initiatives and employee benefits SOURCE: Rothermel et al., 2008.  Understand the culture of the component and the stressors encountered.  Visit each component location quarterly to give an overview of all available EAP services and how to access them.  Offer quarterly seminars that are component-specific and location-specific about health concerns, such as nutrition, physi- cal fitness, financial health, and stress management. 

170 A READY AND RESILIENT WORKFORCE FOR DHS  Provide required metrics to DHS so that it can assess the use and effect of the program. The US Coast Guard (USCG), in an effort to increase the breadth and use of its EAP services, rebranded and expanded its EAP (see Box 5-4). Its program could provide lessons learned (both favorable and unfavorable) as it moves forward, and the WRR can serve as a resource for USCG and other components for sharing of best practices throughout DHS. Greater attention needs to be given to the DHS EAP to determine the types of services that would be beneficial to the workforce and department as a whole. The EAP needs to be “visible” to the workforce so that employ- ees know what service are available, and the workforce needs to see that the organization and its leaders are supportive of the use of the services. In addition, DHS could consider implementing manager training so that managers can learn to identify emerging problems, make referrals to the EAP, be aware of available resources, and work to encourage and de- stigmatize use of EAP services. Peer Support Psychologically healthy law enforcement personnel are far more likely to provide high-quality, professional services to the members of their communities. DHS makes a sizable investment in selecting mental- ly and emotionally healthy people as part of its hiring process. The de- partment can protect and enhance that investment by promoting psychologic wellness and resilience. One effective strategy for doing that is to develop and maintain a peer support program (Kamena et al., 2011). The goal of peer support is to provide employees the opportunity to re- ceive emotional and tangible peer support in times of personal or profes- sional crisis and to anticipate and address potential difficulties. Ideally, peer support programs are developed and implemented within the organ- izational structure of an organization. A peer support individual is a spe- cifically trained colleague, not a counselor or therapist. A peer support program can augment outreach programs, such as EAP and in-house treatment programs, but not replace them (IACP Psychological Services Section, 2011). 

ELEMENTS OF THE STRATEGIC PLAN 171 BOX 5-4 CG SUPRT The US Coast Guard (USCG) recently renamed and rebranded its employee assistance program (EAP), now called CG SUPRT. USCG re- moved onsite EAP counselors, instead establishing a dedicated call center staffed by individuals trained in USCG lingo and who understand the unique situation of USCG employees. CG SUPRT has expanded beyond the traditional mental health aspect of EAPs, and includes such services for employees as financial management, work-life services (moving is- sues, schools for children, and so on), wellness coaching, and tax assis- tance. It also includes an expanded 12-session model for EAP and offers webcasts and training on topics such as financial wellness, health coach- ing, and smoking cessation. USCG is also deploying a campaign to ad- dress stigma attached to the seeking of assistance that will use posters, appropriate language in CG SUPRT materials, data analysis of stressors in the USCG workplace, and health provider tip sheets to build an under- standing of the relationship between the health issues that employees and family members might present to the medical staff, and the services pro- vided by CG SUPRT. CG SUPRT is also available to families of USCG employees; and when an employee is deployed, CG SUPRT assists a spouse in career- planning, resume-building, and job-hunting to aid in the transition. CG SUPRT is facilitated through telephonic counseling, video counseling, and a robust and useful website that includes diagnosis assessment tools, webcasts, and an appointment-management system. CG SUPRT is close- ly tied to the medical staff of USCG, and all medics are being trained in substance abuse identification. CG SUPRT plans to establish a relation- ship support program for employees, develop an operational stress control program (modeling the Navy’s program), and continue to grow to support staff resilience. CG SUPRT is housed in the USCG Health, Safety, and Work-Life program and is overseen by the USCG equivalent of a surgeon general. Part of the success of CG SUPRT is due to strong backing by executive leadership and by the military culture of USCG, its generous budget, and its built-in medical system. SOURCE: Teems, 2013. The existing DHS peer support programs are described in Chapter 1 and include programs in Border Patrol, the Federal Air Marshal Service, the Federal Law Enforcement Training Center (FLETC), and recently, Immigration and Customs Enforcement (ICE). During the committee’s site visits, it was noted that there are some informal peer support pro- grams in other component agencies and that there is a need for a formal program in all operational components and in many supporting compo- 

172 A READY AND RESILIENT WORKFORCE FOR DHS nents such as those who work in operation centers. The existing DHS peer support programs are generally well respected within the compo- nents, and, although not perfect, they do fill a need. In the law enforce- ment culture and mentality, where help seeking is often viewed as a weakness, peer support programs are a good fit. Police officers are often reluctant to seek help, especially from a professional mental-health provider, because of mistrust and the fear that what is said will get back to department leaders. Instead, talking things over with a coworker is a frequent coping strategy (Grauwiler et al., 2008). About 50 percent of the DHS workforce is in the law enforcement category, including parts of or all of CBP, ICE, the Transportation Security Administration, FLETC, the Federal Emergency Management Agency (Office of Security), US Secret Service, US Citizenship and Immigration Services, and USCG. There is a similar mentality in the non–law enforcement components that have high-level security clearances and fear losing them. Most of the literature on peer support programs comes from law en- forcement, where officers are in a unique position with regard to trauma recovery: they experience horrendous crimes but are expected to dissoci- ate themselves from normal emotional reactions (Grauwiler et al., 2008). The structure of law enforcement is akin to that of the military; and there are limits to the interpersonal relationships that subordinates can have with supervisors because of a strict rank structure. There is empirical evidence that police are more likely to seek out informal support from peers and that peer support programs are widely accepted by officers (Grauwiler et al., 2008). Most peer support programs keep no official record of individuals who use them, and this increases the likelihood of their use. Finn and Tomz (1998) found that peer support programs were helpful for police officers who were experiencing problems and were not yet ready to seek professional help. Peer support reduced the stigma of help seeking and aided in easing police officers’ mistrust of professional mental-health providers. There is not much empirical evidence on peer support for police officers, but anecdotal evidence suggests that peer support programs offer police officers, who are often reluctant and stigma-prone, an alternative mechanism for addressing mental-health issues in the police force (Grauwiler et al., 2008). WRR can play a coordinating and supportive role in developing peer support programs. The current program is already partnering with FLETC to develop a peer support coordinator training program, which will focus on both crisis intervention and “care and concern” support. WRR can glean best practices from the extensive experience of the cur- 

ELEMENTS OF THE STRATEGIC PLAN 173 rent staff who helped to create, support, and implement peer support pro- grams and can disseminate lessons learned. As with any program, how- ever, to be successful, top leadership must support the program and communicate support for its use. Discretionary programs, such as peer support, are often the first to be cut in difficult economic times in any agency; this is ironic inasmuch as employees tend to need them most due to lower staffing levels, higher workload, fear of losing one’s job, uncer- tainties about changes, and increased psychological strain. The peer sup- port programs in DHS are vital for the success of the department; continued department support will benefit both individual employees and the DHS as a whole. ELEMENTS OF THE 5-YEAR STRATEGIC PLAN On the following pages the committee lays out its recommendations for the elements of the 5-year strategic plan for WRR. The items are organized by recommendation of Chapters 2–5, and list specific tasks for years 1–5. CONCLUDING OBSERVATIONS During the writing of this report, DHS celebrated its 10th anniver- sary. The department and its workforce have many accomplishments to celebrate—a merger larger than any in the federal government since the creation of the Department of Defense, prevention of terrorist attacks on US soil and cyberspace, hardening and resilience of the nation’s critical infrastructure, robust responses to major disasters, and much more. How- ever, there is work to be done to improve the readiness and resilience of its workforce. Implementing the committee’s recommendations will be a big undertaking and will require input from and coordination with every facet of the department. But, if DHS is serious about improving the read- iness and resilience of its workforce to achieve its mission, it is an essen- tial endeavor. If the committee’s recommendations are adopted and the strategic plan embraced and implemented, the committee envisions DHS on its 20th anniversary as highly regarded as one of the most desirable places to work in the federal government and as having a workforce that is ready and resilient to meet its daily challenges and the mission of this complex organization. 

TABLE 5-1 Elements of the Workforce Readiness and Resilience 5-Year Strategic Plan 174 Overarching Goal: Establish an Integrated Core Culture of Readiness and Resilience Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 Recommendations 1, 2, and 3: Develop and promote a unified strategy and vision; clarify and expand roles, responsibilities, and authority for workforce readiness and resilience (WRR) (Chapter 2) Goals: 1. Adoption of a clear vision for WRR 2. Functioning structure and process for WRR 3. Senior-level and frontline engagement and collaboration in the implementation and continuance of the program in all component agencies 4. Regular use of data for continuous performance improvement 1-1. Put into place a structure and process to  Gather information and obtain participation from frontline and leadership at department and X component levels  Ensure accountability (DHS Secretary) 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 1-2. Garner strategic support for leveraging available data; craft necessary data use agreements and analytic plans X (ensuring data safeguarding) (WRR; USM) 1-3. Review, analyze, and interpret available data for annual report X X X X X (WRR) 1-4. Publish first iteration of DHS Review, revise, readiness and resilience and update strategic plan (including Review progress X X strategic plan name or brand for the on strategic plan X (and annexes), program) and reissue (WRR) Include call for Each component component and HQ office annexes to submit strategic strategic plans plan annex Synchronize with DHS-wide plan 175 

Annual Elements for Implementation, Years 1–5 176 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 1-5. Create inventory and evaluation of existing Review programs and policies inventory, relevant to health and well- identify gaps and X X X being and determine their X redundancies in potential connections with programming, readiness and resilience update as (WRR) necessary 1-6. Develop and issue policy Receive and guidance on program coordinate evaluation framework for individual readiness and resilience program X X X programs evaluation plans (WRR) (regularly X review and update plans) Review data on program effectiveness, X X address deficiencies 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 1-7. Update EAP policy to ensure high baseline for EAP services in all components  Ensure built-in ability to assess EAP effectiveness  Require new EAP Within 6 months Communicate Review, modify, contracts are consistent review, update,a policy to and continuously X with National Business and finalize components, and improve EAP X Group on Health current EAP advise on best programs (NBGH) policy practices throughout DHS recommendations for measuring utilization and impact (see activity 4-6) (USM; OCHCO; WRR) 1-8. Publish report to the Secretary X X X X X (WRR) 177 

Annual Elements for Implementation, Years 1–5 178 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 Recommendation 4: Establish a sustainable leadership development program in DHS (Chapter 3) Goals: 1. Approved and resourced leadership development program 2. Development of leaders throughout the department to ensure consistent and effective leadership 3. Workforce that has confidence in leaders at all levels and assesses them as effective and trustworthy 2-1. Assemble inter-component leadership development team Examine, (ILDT) (or restructure the evaluate and existing Leader Development identify gaps in Governance Board)b with existing program assigned tasks, services and responsibilities, and remove ones that timelines. Initial tasks are not effective include or are redundant  Examining existing X services  Identifying core principles of leadership  Developing core Identify core curriculum principles of leadership most Institute a 2-year rotation of relevant to DHS one-third of membership (USM; OCHCO; WRR) 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 Develop and disseminate core curricula; call Review, modify, for component- and continuously X X specific content improve based on curricula 2-2. Develop component-specific training content that is personalized and tailored to Review, modify, components’ unique needs and continuously and respective missions X improve (on X X (must include annual basis of integrated evaluation) evaluation data) (Component agencies) 2-3. Identify high-potential leaders for participation in leadership development X X X program (Component agencies) 179 

Annual Elements for Implementation, Years 1–5 180 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 2-4. Implement core and component-specific curricula Conduct annual (Component agencies) review and X X assessment and update as needed Successful Successful Successful completion of completion of completion of leadership leadership leadership training, training, training, demonstrated by demonstrated by demonstrated competence competence by competence skills, by 25 skills, by 50 skills, by 75 percent of percent of percent of leaders leaders leaders 2-5. Apply for certification for leadership development materials and content X (OCHCO training office) 2-6. Conduct pre- and post- assessments of leadership Identify and assessment adopt leadership 100 percent 100 percent 100 percent (OCHCO training office) assessment tool 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 2-7. Identify and encourage mentors and sponsors and engage them in leadership training X X X (OCHCO; component agencies, WRR) 2-8. Create 1-year rotational Identify assignment in a different personnel for component for cross-training rotational functionalityc (detail for assignments Place personnel operational assignment) X (this will in rotational (DHS-wide, organized by WRR become assignment in coordination with OCHCO) promotion criteria) (Component agencies) 2-9. Use progress-based incentives for those in the program (recognition, spot awards, time off, and so on) X X X X (Component agencies with support from WRR) 181 

Annual Elements for Implementation, Years 1–5 182 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 2-10. Share compelling leadership success stories to foster participation and contribute to increasing X X X resilience capacity X (WRR) 2-11. Develop leadership succession plans (Component agencies with X X support from WRR) 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 Recommendation 5: Improve organizational communication to enhance esprit de corps; cultivate a culture of readiness and resilience; and align public perception of DHS with its accomplishments (Chapter 3) Goals: 1. Consistent, repeatable communication processes and messaging for internal and external audiences that enhance two-way information sharing 2. A workforce knowledgeable about and confident in resources that enhance readiness and resilience 3. A public that appreciates the work and accomplishments of DHS and its components 4. An image of DHS as a highly desirable place to work, to enhance recruitment of high-quality candidates General Communication Strategies 3-1. Create and implement a strategy to enhance the DHS brand X X X X (WRR, in conjunction with Office of Public Affairs) 3-2. Create a strategy and implement processes to recognize and celebrate the accomplishments of DHS as X X X X they occur (WRR, in conjunction with Office of Public Affairs) 183 

Annual Elements for Implementation, Years 1–5 184 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 External Communication Strategies 3-3. Create and implement a messaging strategy to disseminate success stories in X X X X real time (WRR; OHA) Internal Communication Strategies 3-4. Develop and initiate an internal communication plan regarding WRR initiatives that address Review, modify,  Sharing the vision, and improve X X X mission, and work of the communication organizational WRR plan as needed  Communicating information about new X and existing programs  Using multimedia channels to disseminate Communicate information changes to (WRR; OHA) WRR as needed, X X X and provide repetition 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 Solicit information from workforce about Implement Review, modify, what multimedia and continuously X X communication dissemination improve vehicles work best for different members 3-5. Create opportunities to share Immediately Identify best best readiness and resilience Create promote use of practices among practices among components clearinghouse peer support components Achieve full (WRR) and assemble programs and from inventory implementation component-level their expansion of programs of chosen advisory to to additional related to methods choose from component readiness and among practices agencies resilience 3-6. Design mechanism to solicit Acquire and confidential evaluation of analyze data; workforce readiness and X include in annual X X resilience report to (WRR) Secretary 185 

Annual Elements for Implementation, Years 1–5 186 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 3-7. Design mechanism to solicit input from and encourage continuous open discussion with frontline employees on X workplace health initiatives (Component agencies) 3-8. Create mechanisms for frequent communication with leaders and managers at all Review, modify, levels to keep readiness and X and continuously X X resilience information up to improve date (WRR) 3-9. Provide data on WRR use and effectiveness to leaders and managers X X X (WRR) 3-10. Provide information to employees about their improvements in readiness Select metrics Include metrics and resilience (using selected intended to in dissemination X X X metrics) analyze progress tool (WRR) 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year 1 Year 2 Year 3 Year 4 Year 5 3-11. Each component will address methods for communication about readiness and resilience initiatives in their X X X X operational processes (to be included in component Strategic Plan annex) (Component agencies) 187 

Annual Elements for Implementation, Years 1–5 188 Activity (by Whom) Year Year 2 Year 3 Year 4 Year 5 Recommendation 6: Develop and implement a measurement and evaluation strategy for continuous improvement of workforce readiness and resilience (WRR) (Chapter 4) Goals: 1. Establish baselines for comparison and evaluation 2. Determine impact and value of interventions to increase organizational readiness and resilience 4-1. Develop an organizing Develop framework that identifies structure- Review  Key structure, process, process- annually, and outcome measures outcome modify as that need to be collected framework needed routinely within 3 months  Data sources that inform these measures (WRR in conjunction with the Determine data Implement a USM; OHA; CIO; with input elements standardized X X X from component agencies) currently core set of available for measures to be analysis and used DHS-wide reporting within 6 months Use for tracking organizational Determine new resilience data elements that need to be 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year Year 2 Year 3 Year 4 Year 5 collected continuously (after completion of analysis of existing data) Define which FEVS questions most closely represent organizational resilience or use subset suggested in Chapter 4 Develop data-use agreements as needed with OPM data warehouse staff and National Finance Center to extract data necessary for DHS-specific reporting/analysis 189 

Annual Elements for Implementation, Years 1–5 190 Activity (by Whom) Year Year 2 Year 3 Year 4 Year 5 4-2. Establish key goals and objectives for DHS as a whole and for each component agency and  Establish measures that directly align with the goals and objectives  Involve key X stakeholders in metric development  Assure that there is broad agreement on what constitutes “success” (WRR) 4-3. Establish timeline for reporting on key structure, process, and outcome measures to all key stakeholders with quarterly X and annual reporting requirements (WRR) 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year Year 2 Year 3 Year 4 Year 5 4-4. Establish baseline database Within 6 months, for diagnostic and develop software prescriptive purposes that (WRR; CIO; CPO)  Assigns surrogate identifiers  Allows linkage of demographic information with outcome data while protecting Continue to use privacy application to X X X  Includes ability analyze data and to say when, inform decisions where, and what interventions are made available  Allows intervention to be evaluated with outcome measures of interest 191 

Annual Elements for Implementation, Years 1–5 192 Activity (by Whom) Year Year 2 Year 3 Year 4 Year 5 (contract with software development company) Use application to analyze data 4-5. Ensure that data and evaluation are built into any Regularly new program initiative for analyze data and  Rapid, data-driven disseminate Have routinized decision making analyses to analyses of  Resource allocation components for information to X X X  Informing and adjusting decision making, enable rapid action plans and resource data-driven interventions allocation, and decision making (USM; WRR; CIO) informing action plans 4-6. Write new EAP contracts to Begin tracking ensure that measurement of utilization and utilization and impact on X other impact health and productivity are data points as included outlined by 

Annual Elements for Implementation, Years 1–5 Activity (by Whom) Year Year 2 Year 3 Year 4 Year 5 (USM; CHCO in coordination NBGH and use with OHA; component agencies) as outcome factors in integrated database 4-7. Determine what measures will be used to evaluate success of other recommendations in this report (vision, X communication, leadership, and dissemination) (USM; WRR; OCHCO) 4-8. Submit an annual measurement and evaluation report to the Secretary of X X X X X DHS (USM; WRR) NOTES: CHCO, Chief Human Capital Officer; CIO, Chief Information Officer; CPO, Chief Procurement Officer; DHS, Department of Homeland Security; EAP, employee assistance program; FEVS, Federal Employee Viewpoint Survey; OCHCO, Office of the Chief Human Capital Officer; OHA, Office of Health Affairs; OPM, Office of Personnel Management; USM, Undersecretary for Management; WRR, workforce readiness and resilience. 193 

a A review and updating of the DHS EAP policy has been under way for more than 2 years in the headquarters Human Capital Office. 194 This needs to be given higher priority, with full support of WRR. b The Leader Development Governance Board consists of senior subject-matter experts in operating and support components of the department and is tasked with acting as a critical forum regarding programs, plans, funding, decisions, and recommendations, as required; ensuring that the DHS Leader Development Competency Model and Framework are the guiding architecture for the department’s training investments; and actively seeking efficiencies by leveraging existing programs and eliminating unproductive or redundant training programs where possible. c The DHS Workforce Strategy for fiscal year 2011–2016 includes a related goal: “Develop cross-component and government-wide joint rotational opportunities to enhance employee and leader development.” 

ELEMENTS OF THE STRATEGIC PLAN 195 REFERENCES Collins, J. 2001. Good to great. New York: HarperCollins Publishers. Finn, P., and J. E. Tomz. 1998. Using peer supporters to help address law enforcement stress. FBI Law Enforcement Bulletin 67(5):10. Grauwiler, P., B. Barocas, and L. G. Mills. 2008. Police peer support programs: Current knowledge and practice. International Journal of Emergency Health Medicine 10(1):11. Green, A. 2013. Wellness programs. E-mail response to IOM inquiry to DHS. June 11. IACP (International Association of Chiefs of Police), Psychological Services Section. 2011. Peer support guidelines. Chicago, IL: IACP. IOM (Institute of Medicine). 2005. Integrating employee health: A model program for NASA. Washington, DC: The National Academies Press. IOM. 2012. Building a resilient workforce: Opportunities for the Department of Homeland Security: Workshop summary. Washington, DC: The National Academies Press. Kamena, M. D., D. Gentz, V. Hays, N. Bohl-Penrod, and L. W. Greene. 2011. Peer support teams fill an emotional void in law enforcement agencies. The Police Chief, August 4. NIOSH (National Institute for Occupational Safety and Health). 2008. Essential elements of effective workplace programs and policies for improving worker health and wellbeing. Atlanta, GA: Centers for Disease Control and Prevention. OPM (Office of Personnel Management). 2008. Federal employee assistance programs: Guiding principles, framework, and definitions. Washington, DC: OPM. Rothermel, S., W. Slavit, D. Dannel, K. Marlo, and R. Finch. 2008. National Business Group on Health: An employer’s guide to employee assistance programs: Recommendations for strategically defining, integrating, and measuring employee assistance programs. Washington, DC: National Business Group on Health. Teems, L. 2013. Panel: DHS best practices. Presentation to the IOM Committee on Department of Homeland Security Workforce Resilience, February 5, Washington, DC.