What GAO Found
GAO’s prior work has shown that the financial services industry has made little or no progress in increasing diversity at the senior management level. The figure below shows the latest available data on diversity at senior levels.
Race/Ethnicity and Gender Representation of Executive/Senior-Level Management in the Financial Services Industry, 2018
One common theme of GAO’s recent reports on diversity in the financial services industry is the importance of using data to assess diversity and inclusion efforts.
- In 2017, GAO reported that financial services firms said it is important for firms to collect and analyze data to assess workforce diversity. Notably, all the financial services firms with which GAO spoke agreed on the importance of analyzing employee data. Some firm representatives noted that with such data, they can analyze the gender and racial/ethnic diversity of new hires, employees leaving the organization, and newly promoted staff and managers.
- In 2019 and 2020, GAO reported that the Federal Home Loan Banks (FHLBanks) and Fannie Mae and Freddie Mac (the enterprises) track diversity composition data on their workforce, recruitment, and hiring. The FHLBanks and the enterprises use these data to compare their performance against benchmarks, such as prior-year metrics and peer institutions, and set goals for future performance. They also incorporate diversity targets into their incentive compensation goals or performance competencies for management.
- The Federal Housing Finance Agency (FHFA) uses data to oversee the workforce diversity and inclusion efforts of the FHLBanks and the enterprises. As GAO reported in 2019 and 2020, FHFA collects and reviews quarterly and annual workforce diversity data from the FHLBanks and enterprises. For example, FHFA assesses each FHLBank’s performance in workforce diversity using the quarterly data. In 2017, FHFA also began reviewing diversity and inclusion efforts as part of its annual examinations of the FHLBanks and the enterprises.
Why GAO Did This Study
The financial services industry provides services that help families build wealth and is essential to the economic growth of the country. For instance, the FHLBanks, Fannie Mae, and Freddie Mac play important roles in supporting the U.S. housing market. The FHLBanks include 11 federally chartered banks that provide liquidity for member institutions, such as commercial and community banks, to use in support of housing finance and community lending. Fannie Mae and Freddie Mac purchase single-family and multifamily mortgage loans that lenders already made to borrowers.
Congressional members and others have highlighted the need for the financial services industry to create opportunities for all Americans, including supporting a diverse workforce.
This statement discusses (1) how financial service firms use data to assess workforce diversity efforts; (2) how the FHLBanks and the enterprises use data to assess their diversity efforts; and (3) how FHFA oversees diversity efforts at the FHLBanks and the enterprises.
This statement is primarily based on three GAO reports (GAO-18-64, GAO-19-589, and GAO-20-637) on diversity efforts in the financial services industry and at FHLBanks and the enterprises.
For the reports, GAO reviewed relevant literature and data, and interviewed representatives of financial services firms and industry and diversity advocacy organizations. GAO also reviewed documents and interviewed officials from the FHLBanks, enterprises, and FHFA.
For more information, contact Daniel Garcia-Diaz at (202) 512-8678 or GarciaDiazD@gao.gov.
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Four distinct models are used in the U.S. to make chassis available to motor carriers (see table), each with benefits and drawbacks according to the entities GAO interviewed. While chassis are generally provided to motor carriers using one of these four models, more than one model may be available at a port. Chassis Provisioning Models Model 1: Single chassis provider An individual intermodal equipment provider (IEP) owns chassis that are directly provided to shippers or motor carriers. Model 2: Motor carrier-controlled A motor carrier owns or is responsible for a chassis that it has procured under a long-term lease. Model 3: Gray pool A single manager, often a third party, oversees the operations of a pool that is made up of chassis contributed by multiple IEPs. Model 4: Pool-of-pools Each IEP manages its respective chassis fleet, but each allow motor carriers to use any chassis among the fleets and to pick up and drop off chassis at any of the IEPs’ multiple locations. Source: GAO. | GAO-21-315R Entities GAO interviewed identified multiple benefits and drawbacks to each of the chassis provisioning models. Regarding benefits, for example, both the single chassis provider model and the motor carrier-controlled model allow IEPs and motor carriers to have direct control over the maintenance and repair of their chassis, something these entities potentially lose under other chassis provisioning models. Further, the gray pool and the pool-of-pools models can resolve many of the logistical concerns regarding the availability of chassis, leading to operational efficiencies for port operators and the ability of motor carriers to choose whatever chassis they wish. Regarding drawbacks, cost considerations were identified in some cases. For example, under the single chassis provider model, two IEPs told us that while an expected part of the business, repositioning chassis to ensure there is a sufficient supply of chassis where they are needed can be costly to the IEPs. The federal government provides oversight of chassis safety but has a limited economic oversight role regarding chassis. The Federal Motor Carrier Safety Administration (FMCSA) employs several inspection methods to help oversee chassis safety and compliance with regulations. For example, inspectors perform roadside inspections on commercial vehicles, including chassis, in operation. FMCSA also performs investigations of individual IEPs to oversee chassis safety. While one stakeholder GAO spoke with stated that FMCSA should consider maintaining safety ratings for IEPs—as is currently done for motor carriers—FMCSA officials told us that the current processes provide sufficient information to select IEPs for investigation. The Federal Maritime Commission (FMC) oversees ocean carriers that provide service to and from the U.S. and works to ensure a competitive and reliable ocean transportation supply system. Entities may file complaints with FMC to allege violations of the Shipping Act of 1984, as amended. One such complaint was filed in August 2020, in which the complainants allege, among other things, that although ocean carriers do not own chassis, they still control the operation of chassis pools at ports. An initial decision on this complaint is expected in August 2021. None of the entities GAO spoke with identified additional actions they would like for FMC to take regarding chassis. Why GAO Did This Study Senate Report 116-109—incorporated by reference into the explanatory statement accompanying the Further Consolidated Appropriations Act, 2020—contained a provision for GAO to study intermodal chassis. Within the U.S., some entities have expressed concerns about chassis, including limited availability of chassis in some circumstances, as well as the age and safety of chassis. This report describes selected stakeholders' views on: (1) the ways in which chassis are made available for the movement of shipping containers and the benefits and drawbacks of those models, and (2) the federal government's role in the chassis market. To address these objectives, GAO reviewed relevant reports on chassis provisioning and federal oversight. GAO interviewed representatives from FMC, FMCSA, five industry associations, and the three largest intermodal equipment providers. GAO also interviewed three ocean carriers, five port operators, and a motor carrier selected, in part, for their large number of container movements. The information obtained from these interviews provides a broad perspective of relevant issues but is not generalizable to all entities. For more information, contact Andrew Von Ah at (202) 512-2834 or firstname.lastname@example.org.[Read More…]
- Acting Assistant Secretary Carol Thompson O’Connell Travel to Islamabad, PakistanBy Sam NewsSeptember 27, 2020
- Two Former Deutsche Bank Traders Convicted of Engaging in Deceptive and Manipulative Trading Practices in U.S. Commodities MarketsBy Sam NewsSeptember 25, 2020A Chicago federal jury found two former employees of Deutsche Bank, a global financial institution, guilty today of fraud charges for their respective roles in fraudulent and manipulative trading practices involving publicly-traded precious metals futures contracts.[Read More…]
- 2020 Census: Key Areas for Attention Raised by Compressed TimeframesBy Sam NewsSeptember 10, 2020In response to the COVID-19 pandemic and an August decision to end data collection about 30 days earlier than planned, the Census Bureau (Bureau) has made late design changes to the 2020 Census. The Bureau also announced it would accelerate its response processing operations, which improve the completeness and accuracy of census results. According to the Bureau, late design changes introduce risk to census quality and costs. The compressed time frames for field operations and data processing raise a number of issues that will require the Bureau's attention. It will be important for the Bureau to hire and retain a sufficient workforce, manage operational changes to the Nonresponse Follow-up operation, ensure census coverage at the local level, evaluate risks in streamlining response processing, and ensure timely and quality processing of census responses. As the 2020 Census continues, GAO will monitor the remainder of field operations and the Bureau's response processing operations. Like the rest of the country, the Bureau has been required to respond to COVID-19. Resulting delays, compressed time frames, implementation of untested procedures, and continuing challenges could undermine the overall quality of the count and escalate census costs. GAO was asked to testify on its ongoing work on implementation of the 2020 Census. This testimony examines the cost and progress of key 2020 Census operations critical to a cost-effective enumeration. Over the past decade, GAO has made 112 recommendations specific to the 2020 Census. To date, the Bureau has implemented 92. As of September 2020, 19 of the recommendations had not been fully implemented. For more information, contact J. Christopher Mihm at (202)512-6806 or email@example.com.[Read More…]
- U.S. Sanctions CEIEC for Supporting the Illegitimate Maduro Regime’s Efforts to Undermine Venezuelan DemocracyBy Sam NewsNovember 30, 2020
- Bloods Gang Members Sentenced to Life in Prison for Racketeering Conspiracy Involving Murder and Other CrimesBy Sam NewsOctober 27, 2020Five members of the United Blood Nation (UBN or Bloods) street gang were sentenced in Charlotte, North Carolina, after standing trial on federal Racketeer Influenced and Corrupt Organizations (RICO) conspiracy and other charges. These defendants’ sentences are the culmination of a prosecution that charged 83 UBN gang members in the Western District of North Carolina with RICO conspiracy and other crimes.[Read More…]
- Central African Republic National DayBy Sam NewsDecember 1, 2020
- Jacksonville Woman Pleads Guilty to Attempting to Illegally Exporting Maritime Raiding Craft and Engines to ChinaBy Sam NewsSeptember 16, 2020Yang Yang (34, Jacksonville) has pleaded guilty to conspiring to submit false export information through the federal government’s Automated Export System and to fraudulently export to China maritime raiding craft and engines in violation of United States (U.S.) law, and also to attempting to fraudulently export that equipment in violation of U.S. law. Yang faces a maximum penalty of 15 years in federal prison. A sentencing date has not yet been set.[Read More…]
- Nine Charged with $24 Million COVID-Relief Fraud SchemeBy Sam NewsAugust 6, 2020The owner of a Florida talent management company and four others were charged in complaints unsealed yesterday for their alleged participation in a scheme to file fraudulent loan applications seeking more than $24 million in forgivable Paycheck Protection Program (PPP) loans guaranteed by the Small Business Administration (SBA) under the Coronavirus Aid, Relief, and Economic Security (CARES) Act.[Read More…]
- Attorney General Announces Initiatives to Combat Human Smuggling and Trafficking and to Fight Corruption in Central AmericaBy Sam NewsJune 7, 2021U.S. Attorney General Merrick B. Garland today announced a series of steps that the Department of Justice is taking to address the threats posed by both corruption and by transnational human smuggling and trafficking networks.[Read More…]
- Justice Department Issues Statement on the U.S. Department of Agriculture’s Proposed Rules to Support Enforcement of the Packers and Stockyards ActBy Sam NewsJune 11, 2021Acting Assistant Attorney General Richard A. Powers of the Justice Department’s Antitrust Division issued the following statement today after the U.S. Department of Agriculture’s (USDA) announcement concerning their proposed rules to support enforcement of the Packers and Stockyards Act:[Read More…]
- Department of Justice Awards More than $92 Million to Support Offenders Returning to CommunitiesBy Sam NewsSeptember 29, 2020The Department of [Read More…]
- Sanctioning Iranian Intelligence Officers Involved in the Abduction of Bob LevinsonBy Sam NewsDecember 14, 2020
- Secretary Antony J. Blinken and Canadian Foreign Minister Marc Garneau Before Their MeetingBy Sam NewsMay 19, 2021
- Reducing Violence Against Religious Minority Communities in BrazilBy Sam NewsNovember 29, 2020Bureau of Democracy, [Read More…]
- Child Care: Subsidy Eligibility and Receipt, and Wait ListsBy Sam NewsFebruary 18, 2021An estimated 1.9 million children received child care subsidies in fiscal year 2017, representing approximately 14 percent of all children estimated to be eligible under federal rules – and 22 percent of all children estimated to be eligible under state rules -- in an average month. These figures are from the Department of Health and Human Services' (HHS) analysis of fiscal year 2017 data, the most recent year for which such analysis is available. Generally, fewer families qualify for subsidies under state eligibility rules than under federal eligibility rules since most states use flexibility provided by HHS to set their income eligibility limits below the federal maximum. Health and Human Services’ Estimated Number of Children Eligible Under Federal and State Rules, and Estimated Number Receiving Child Care Subsidies, Fiscal Year 2017 GAO found that the extent to which children who meet federal child care eligibility requirements also meet state eligibility requirements varies by state as does the share of eligible children who receive Child Care and Development Fund (CCDF) subsidies. Under state requirements, the CCDF subsidy receipt rate ranged from 5 percent to 32 percent of eligible children. Under federal requirements, the CCDF subsidy receipt rate ranged from 4 percent to 18 percent of federally eligible children. According to HHS estimates, among families who met federal child care eligibility criteria, children from lower-income families were more likely to receive child care subsidies compared to children from higher-income families. These estimates also showed that preschool-age children were more likely to receive subsidies compared to older, school-age children and that Black children were more likely to receive subsidies compared to children of other races / ethnicities. As reported in previous GAO work, states have varied strategies for managing their wait lists. Some states have a single statewide list while others have sub-state lists that allow sub-state areas to have their own policies. Some states conduct full or partial eligibility determinations prior to placing families on wait lists, and many states require periodic reviews of their wait lists. According to state administrators GAO interviewed, the strategies that states use to manage their wait lists pose certain challenges. For example, state administrators told GAO that sub-state lists can contain duplication, making state-wide estimates of families in need difficult. And administrators told GAO that maintaining up-to-date contact information is challenging, in part due to insufficient technology. The Coronavirus Disease 2019 (COVID-19) pandemic has impacted child care in several ways, including cost, eligibility and subsidy receipt, according to some members of the National Association of State Child Care Administrators (NASCCA). These members told GAO that despite initial declines in the number of families receiving subsidies, some states are seeing their child care costs increase due to, for example, more school-age children using full-day care; increased expenses for additional health and safety measures; paying for more absences and for parent co-pays; and families applying for subsidies for relative care. NASCCA members noted that some states have made changes to policies to help families and providers. To help families access child care, some states have increased income eligibility for subsidies to 85 percent of the state median income; temporarily waived work requirements to receive subsidies; and covered family fees for parents when a family must quarantine due to a COVID-19 exposure. Changes to some state policies aimed at helping providers include providing funds to providers to help with increased costs, such as personal protective equipment (PPE) and additional cleaning supplies; paying providers based on their pre-COVID-19 level authorized enrollments; and raising the state's provider reimbursement rate to help providers cover overhead costs. The federal child care subsidy program known as CCDF is one of the primary sources of federal funding dedicated to assisting low-income families with child care who are working or participating in education and training. Funding for CCDF, which is administered by HHS at the federal level, comes from two funding streams: discretionary funding in the form of block grants authorized by the Child Care and Development Block Grant (CCDBG Act) of 1990, as amended, and mandatory and matching funding authorized under section 418 of the Social Security Act. CCDF was appropriated more than $8 billion in federal funds in 2019. For more information, contact Kathryn Larin at (202) 512-7215 or firstname.lastname@example.org.[Read More…]
- Assistant Secretary for East Asian and Pacific Affairs David R. Stilwell on the Secretary’s Travel to Japan, Mongolia, and the Republic of KoreaBy Sam NewsOctober 2, 2020David R. Stilwell, [Read More…]
- Military Personnel: Perspectives on DOD’s and the Military Services’ Use of Borrowed Military PersonnelBy Sam NewsNovember 18, 2020Policies on the use of borrowed military personnel vary among military services. Borrowed military personnel refers to military personnel used for duties outside their assigned positions, such as security protection. DOD policy acknowledges that there may be instances in which military personnel can be used to appropriately satisfy a near-term demand but that DOD must be vigilant in ensuring that military personnel are not inappropriately utilized, particularly in a manner that may degrade readiness. Additionally, the Army and the Marine Corps have their own policies that describes how military personnel may be used on a temporary basis. DOD and the Army, Navy, and Air Force do not centrally track their use of borrowed military personnel, nor do they assess any impacts of that use on the readiness of units and personnel to accomplish their assigned missions. According to DOD and Army officials, the relatively limited use of borrowed military manpower, their limited impacts on readiness, and the existence of other readiness reporting mechanisms serve to obviate the need to collect and analyze this information centrally—especially given the resources that would be required to establish and maintain such a reporting process. The House Armed Services Committee has questioned whether DOD continues to divert servicemembers from their unit assignments to perform nonmilitary functions that could be performed by civilian employees. House Report 116-120, accompanying a bill for the National Defense Authorization Act for Fiscal Year 2020 included a provision for GAO to assess the levels and impacts of borrowed military personnel. This report examines DOD's and the military services' policies on the use of borrowed military personnel, the tracking and reporting of their use of borrowed military personnel, and any impacts of that use on readiness. For more information, contact Cary Russell at (202)512-5431 or RussellC@gao.gov.[Read More…]
- Convicted Sex Trafficker Sentenced to 270 Months in PrisonBy Sam NewsSeptember 21, 2020The Justice Department today announced that Senior Judge William K. Sessions III sentenced Brian Folks, 45, to 270 months in prison today.[Read More…]
- Mortality in State and Federal Prisons, 2001-2018 – Statistical TablesBy Sam NewsMay 2, 2021(Publication)
This report presents detailed statistical tables on mortality in state and federal prisons. It provides information on cause of death; decedent characteristics, and mortality rates of inmate populations.
4/29/2021, NCJ 255970, E. Ann Carson [Read More…]
- Zambia Travel AdvisoryBy Sam NewsSeptember 26, 2020
- The Department of Justice Announces Standards for Certifying Safe Policing Practices by Law Enforcement AgenciesBy Sam NewsOctober 28, 2020Today, the Department of Justice announced Standards for Certification that will be used by credentialing bodies so they can begin certifying thousands of law enforcement agencies over the next three months. The Standards of Certification are a result of President Trump’s June Executive Order 13929, Safe Policing for Safe Communities.[Read More…]
- The Departments of Justice and Homeland Security Publish Final Rule to Restrict Certain Criminal Aliens’ Eligibility for AsylumBy Sam NewsOctober 20, 2020Today, the Department of Justice and the Department of Homeland Security announced the publication of a Final Rule amending their respective regulations to prevent certain categories of criminal aliens from obtaining asylum in the United States. The rule takes effect 30 days after publication of the Final Rule in the Federal Register, which is scheduled to occur on Wednesday, Oct. 21.[Read More…]