A READY AND RESILIENT WORKFORCE FOR
THE DEPARTMENT OF HOMELAND SECURITY

Protecting America’s Front Line

Committee on Department of Homeland Security Workforce Resilience

Board on Health Sciences Policy

INSTITUTE OF MEDICINE
OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.

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A READY AND RESILIENT WORKFORCE FOR THE DEPARTMENT OF HOMELAND SECURITY Protecting America’s Front Line Committee on Department of Homeland Security Workforce Resilience Board on Health Sciences Policy

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THE NATIONAL ACADEMIES PRESS • 500 Fifth Street, NW • Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by Contract HSHQDC-12-J-00188, CLIN 0001, between the National Academy of Sciences and the Department of Homeland Security. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-28946-7 International Standard Book Number-10: 0-309-28946-7 Additional copies of this report are available for sale from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. For more information about the Institute of Medicine, visit the IOM home page at: www.iom.edu. Copyright 2013 by the National Academy of Sciences. All rights reserved. Printed in the United States of America The serpent has been a symbol of long life, healing, and knowledge among almost all cultures and religions since the beginning of recorded history. The serpent adopted as a logotype by the Institute of Medicine is a relief carving from ancient Greece, now held by the Staatliche Museen in Berlin. Suggested citation: IOM (Institute of Medicine). 2013. A ready and resilient workforce for the Department of Homeland Security: Protecting America’s front line. Washington, DC: The National Academies Press.

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON DEPARTMENT OF HOMELAND SECURITY WORKFORCE RESILIENCE JAMES B. PEAKE (Chair), Lieutenant General, USA (Ret.), Senior Vice President, CGI Global Health, Austin, TX DENNIS S. CHARNEY, Anne and Joel Ehrenkranz Dean, Mount Sinai School of Medicine, Executive Vice President for Academic Affairs, The Mount Sinai Medical Center, New York, NY RHONDA CORNUM, Director of Health Strategy, TechWerks, North Middletown, KY ROSE K. GANTNER, Wellness Officer, Global, HHI Healthcare Solutions; CEO, Well Works Publishing and Consulting, LLC, Moon Township, PA RON Z. GOETZEL, Director, Institute for Health and Productivity Studies, Emory University; Vice President, Consulting and Applied Research, Truven Health Analytics, Bethesda, MD JOHN (JACK) HERRMANN, Senior Advisor and Chief, Public Health Preparedness, National Association of County and City Health Officials, Washington, DC RICHARD W. KLOMP, Behavioral Scientist, Deputy Director, WorkLife Wellness Office, Centers for Disease Control and Prevention, Atlanta, GA JEFFREY W. RUNGE, President, Biologue, Inc., Chapel Hill, NC KATHLEEN M. SUTCLIFFE, Gilbert and Ruth Whitaker Professor of Business Administration, Professor of Management and Organizations, Stephen M. Ross School of Business, University of Michigan, Ann Arbor TERRI TANIELIAN, Senior Social Research Analyst, RAND Corporation, Arlington, VA JOHN M. VIOLANTI, Research Professor, Department of Social and Preventive Medicine, School of Public Health and Health Professions, University at Buffalo, NY Study Staff AMY GELLER, Study Director FRANK VALLIERE, Research Associate CRYSTI PARK, Senior Program Assistant KATE KELLEY, Research Associate (May–August 2013) BRUCE ALTEVOGT, Senior Program Officer NORMAN GROSSBLATT, Senior Editor ANDREW M. POPE, Director, Board on Health Sciences Policy v

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Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards of objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: David W. Ballard, American Psychological Association Floyd E. Bloom, The Scripps Research Institute Peter Chiarelli, One Mind George S. Everly, Johns Hopkins University School of Medicine Neil Hibler, Special Psychological Services Group Paul Higgins, Navy Mutual Aid Association Pamela A. Hymel, Walt Disney Parks and Resorts Michele A. Kelley, University of Illinois at Chicago Bruce S. McEwen, The Rockefeller University Rebecca Pille, National Security Agency Nicholas P. Pronk, HealthPartners, Inc. Karlene H. Roberts, University of California, Berkeley Michael Schoenbaum, National Institute of Mental Health Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of vii

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viii REVIEWERS the report before its release. The review of this report was overseen by Huda Akil, University of Michigan, and Georges C. Benjamin, American Public Health Association. Appointed by the National Research Council and the Institute of Medicine, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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Acronyms and Abbreviations CBP Customs and Border Protection CDC Centers for Disease Control and Prevention CDP Center for Domestic Preparedness CFO chief financial officer CHCO chief human capital officer CIO chief information officer CISM critical-incident stress management CMO chief medical officer CSF Comprehensive Soldier Fitness DHS Department of Homeland Security DNDO Domestic Nuclear Detection Office DoD Department of Defense EAP employee assistance program EEESC Employee Engagement Executive Steering Committee EMS emergency medical services FAMS Federal Air Marshal Service FEMA Federal Emergency Management Agency FEVS Federal Employee Viewpoint Survey FLETC Federal Law Enforcement Training Center FY fiscal year ix

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x ACRONYMS AND ABBREVIATIONS GAO Government Accountability Office G&T Office of Grants and Training HCAAF Human Capital Assessment and Accountability Framework HHS Department of Health and Human Services HRA health risk assessment HRIT Human Resources Information Technology HRO high-reliability organization HSAC Homeland Security Advisory Council I&A Office of Intelligence and Analysis ICE Immigration and Customs Enforcement IGA Office of Intergovernmental Affairs IOM Institute of Medicine NASA National Aeronautics and Space Administration NIOSH National Institute for Occupational Safety and Health NOC National Operation Center NPPD National Protection and Programs Directorate NSA National Security Agency NUSTL National Urban Security Technology Laboratory OCHCO Office of the Chief Human Capital Officer OCSO Office of the Chief Security Officer ODP Office for Domestic Preparedness OHA Office of Health Affairs OIG Office of the Inspector General OPM Office of Personnel Management PPS Partnership for Public Service PSD Personal Security Division QHSR Quadrennial Homeland Security Review S&T Science and Technology Directorate SES Senior Executive Service

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ACRONYMS AND ABBREVIATIONS xi TFF Total Force Fitness TSA Transportation Security Administration TSO transportation security officer USCG US Coast Guard USCIS US Citizenship and Immigration Services USM undersecretary for management USSS US Secret Service USUHS Uniformed Services University of the Health Sciences WRR workforce readiness and resilience

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Glossary Absenteeism Habitual absence from work; may reflect demoralization or dissatisfaction on the part of the employee.1 Engagement The extent to which employees thrive at work, are committed to their employer, and are motivated to do their best, for the benefit of themselves and the organization.2 Health Health is a state of complete physical, mental, and social well-being and not merely the absence of disease or infirmity.3 Health Promotion A comprehensive social and political process that embraces actions directed at strengthening the skills and capabilities of individuals, and changing social, environmental, and economic conditions to relieve their impact on individual and public health.4 Presenteeism On-the-job productivity loss that is illness related; for example, problems such as allergies, asthma, chronic back pain, migraines, arthritis, and depression; also related to productivity loss resulting from caregiving, lack of job satis- faction, and organizational culture.5 xiii

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xiv GLOSSARY Readiness The capability of an individual, unit, or system to perform the missions or functions for which it was intended or designed.6 Resilience The ability to withstand, recover, and grow in the face of stressors and changing demands.7 Well-Being An optimum condition of health, based on a balanced lifestyle, in which an individual ex- periences satisfaction and confidence in personal levels of fitness.8 Wellness A health care process that fosters awareness of and attitudes toward healthy lifestyles that enable individuals to make informed choices to achieve optimum physical and mental health.9 Work-Life Balance The extent to which individuals are equally involved in—and equally satisfied with—their work role and their family role.10 1 IOM (Institute of Medicine). 2005. Integrating Employee Health: A Model Program for NASA. Washington, DC: The National Academies Press. 2 Stairs, M., M. Galpin, N. Page, and A. Linley. 2006. Retention on a knife edge: The role of employee engagement in talent management. Selection and Development Review 22(5):19. 3 WHO (World Health Organization). 1948. Constitution of the World Health Organization as adopted by the International Health Conference, New York. 4 IOM. 2005. Integrating Employee Health: A Model Program for NASA. Washington, DC: The National Academies Press. 5 IOM. 2005. Integrating Employee Health: A Model Program for NASA. Washington, DC: The National Academies Press. 6 DoD (Department of Defense). 2013. Joint publication 1, doctrine for the armed forces of the United States. Washington, DC: DoD. 7 Chairman of the Joint Chiefs of Staff. 2011. Instruction: Chairman’s total force fitness framework. CJCSI 3405.01. 8 IOM. 2005. Integrating Employee Health: A Model Program for NASA. Washington, DC: The National Academies Press. 9 IOM. 2005. Integrating Employee Health: A Model Program for NASA. Washington, DC: The National Academies Press. 10 Greenhaus, J. H., and R. Singh. 2003. Work-family linkages. The Work and Family Encyclopedia 41–56.

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Preface The greatest asset of any organization is its workforce—without the people, the vision cannot be achieved or the mission accomplished. A resilient workforce, one that can bounce back from and grow in the face of chronic and acute stressors or adversity, is a key characteristic of high- performing organizations. To that end, the Department of Homeland Security (DHS) Office of Health Affairs asked the Institute of Medicine (IOM) for advice on how to improve its workforce resilience program, DHSTogether. In late 2012, the IOM formed the Committee on Department of Homeland Security Workforce Resilience. The committee reviewed DHS’s current resilience program, identified gaps, and offered recommendations for improvement. The DHSTogether Employee and Organizational Resilience initiative began in late 2009 after DHS received low Federal Employee Viewpoint Survey scores. The program was put together quickly, without a strategic plan or clear accountability. Four years after initiation, what has resulted is a piecemeal program that does not use a comprehensive view of workforce and organizational resilience. Further, the department does not fully use available metrics to paint a picture of workforce readiness, resilience, and needs. The committee applauds DHS for recognizing the importance of workforce resilience and for recognizing that its efforts need strategic direction, and we appreciate being asked to provide advice on this important topic. The committee is candid in its review of the current program and believes that its current form will yield little progress in employee and organizational resilience. Without adequate and consistent leadership support and resources, the program has not met and will not meet the needs of the DHS workforce. The committee’s report provides specific recommendations, context around those recommendations, and the xv

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xvi PREFACE requested elements of a 5-year plan, which we believe can serve as a useful basis of a fresh, invigorated, and sustainable approach to DHS’s workforce readiness and resilience. Implementing the committee’s recommendations will not be a small endeavor. In fact, it will require input and action from all levels of the department and strong support and dedication from senior leaders. The committee’s recommendations focus on senior leadership support with appropriate oversight of workforce readiness and resilience efforts, including a unified vision and strategy to lead the way; leadership development to provide the department with resilient and effective leaders; implementation of robust internal and external communication methods; and measurement and evaluation to help the department to identify its needs and evaluate whether the efforts are having the intended impact. Without those core elements in place, the committee strongly believes that workforce readiness and resilience at DHS will not improve. There are many support programs and activities that could be implemented at DHS, but such efforts will not succeed or have a long- lasting impact if those core issues are not first acknowledged and acted on. It is imperative that senior leaders at DHS put the needed foundation in place to produce trust in leadership, improve morale, communicate effectively, and ultimately create a culture of readiness and resilience. After the release of this report, DHS will write its 5-year workforce readiness and resilience strategic plan. This is an opportunity for senior leaders to reflect on their workforce readiness and resilience vision and goals and develop a compressive strategy. The committee suggests that DHS start with a fresh, comprehensive workforce readiness and resilience effort that is supported by leadership, is communicated effectively, and has appropriate metrics in place for evaluation and continuous improvement. We hope that our report will serve as a basis for a comprehensive effort to enhance DHS workforce readiness and resilience. The committee has been honored to interact with the men and women at DHS who work to keep our nation safe, secure, and resilient. Acknowledgments The committee thanks colleagues, organizations, and agencies that shared their expertise and time during the writing of its report. Their contributions informed the committee and enhanced the quality of the report. First, we thank the dedicated staff at DHS who work every day to

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PREFACE xvii keep our nation safe, often risking their lives to do so. The committee spoke with many DHS staff in the component agencies who gave thoughtful input and who shared the stressors that they encounter in their jobs. The committee is grateful to the component agencies that hosted site visits for committee members, including Customs and Boarder Protection (CBP) and Immigration and Customs Enforcement (ICE) in the Rio Grande Valley Sector on the Southwest Texas Border; Science and Technology Directorate (S&T), Federal Emergency Management Agency (FEMA), and US Citizenship and Immigration Services (USCIS) in New York; and Transportation Security Administration (TSA) in the District of Columbia. We also thank the many DHS staff who took time out of their schedules to talk to the committee in public meetings and to submit written comments. Staff of the Office of Health Affairs and the Chief Human Capital Office were also helpful in answering questions about the program. Speakers in the committee’s meetings imparted a wealth of information about resilience programs, leadership, communication, measurement, and more. The meeting agendas provided in Appendix B include the names of all speakers. Finally, the committee thanks the IOM staff members who contributed to the production of this report, including study staff Amy Geller, Frank Valliere, Crysti Park, Bruce Altevogt, and Andrew Pope, and other staff of the Board on Health Sciences Policy, who provided occasional support. We also thank David Wegman, chair of the IOM Committee on Department of Homeland Security Occupational Health and Operational Medicine Infrastructure, who served as a liaison between the two committees and offered valuable insight. On a personal note, I thank the members of the IOM Committee on Department of Homeland Security Workforce Resilience, who volunteered their time in meetings, at site visits, and in committee deliberations. They were invaluable in the writing of this report, and I am impressed with their dedication and desire to help DHS with this critical topic. James B. Peake, Chair Committee on Department of Homeland Security Workforce Resilience

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Contents SUMMARY 1 1 Introduction and Background 19 What Is Resilience?, 21 Background, 21 Importance of a Ready and Resilient Department of Homeland Security Workforce, 29 Addressing the Statement of Task, 33 Overview of the Study Process, 35 DHSTogether Employee and Organizational Resilience Initiative, 39 Other Department of Homeland Security Programs Related to Resilience, 48 References, 54 2 A Vision and Goals for Workforce Readiness and Resilience 59 Definitions of Readiness and Resilience, 60 Vision and Strategy for the DHS Workforce, 64 A Fresh Approach, 65 Implementation of Workforce Readiness and Resilience, 75 References, 84 3 Leadership, Communication, and Culture in the Department of Homeland Security 89 Leadership, 90 Addressing Leadership Gaps, 103 xix

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xx CONTENTS Addressing Communication Gaps, 112 Organizational Culture, 116 Concluding Observations, 123 References, 123 4 Measurement, Evaluation, and Reporting for Improved Readiness and Resilience 129 Organizing Framework, 130 Measurement, Evaluation, and Reporting in the Department of Homeland Security, 131 Measurement and Evaluation—Essential Elements of Successful Workplace Programs, 137 Addressing the Gaps, 153 References, 155 5 Elements of the Department of Homeland Security Workforce Readiness and Resilience Strategic Plan 159 Program Design, 160 Year-by-Year Implementation, 162 Specific Programs, 164 Elements of the 5-Year Strategic Plan, 173 Concluding Observations, 173 References, 195 APPENDIXES A Department of Homeland Security Organizational Charts 197 B Committee Meeting Agendas 201 C Public Comments from Department of Homeland Security Staff 211 D Inventory of Programs and Services of the Department of Homeland Security 237 E Organizational Self-Assessment Tool—NIOSH Essential Elements 245 F Committee Biosketches 257