Architect of the Capitol: Management and Accountability Framework Needed for Organizational Transformation

GAO-03-231 January 17, 2003

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Summary

The Office of the Architect of the Capitol (AOC) plays an important role in supporting the effective functioning of the Congress and its neighboring institutions. With a budget of $426 million, AOC is responsible for the maintenance, renovation, and new construction of all buildings and grounds within the Capitol Hill complex. GAO was mandated by the Legislative Branch Appropriations Act, 2002, to conduct a comprehensive management review of AOC's operations to help identify improvements in strategic planning, organizational alignment, and strategic human capital management to help AOC better achieve its mission and to address long-standing program issues. To address these objectives, GAO reviewed AOC's legislative authority and internal documents, interviewed key AOC officials and senior managers, and conducted employee focus groups.

AOC is an agency working to transform itself and has planned management improvement efforts, such as a new strategic planning process, to help it make this transition. GAO found that without AOC establishing a management and accountability framework, it might have difficulty leading and executing its organizational transformation. Leading organizations undergoing transformation efforts draw from the following management and accountability components: (1) demonstrating top leadership commitment to organizational transformation; (2) involving key stakeholders in developing an organizationwide strategic plan; (3) using the strategic plan as the foundation for aligning activities, core processes, and resources to support mission-related outcomes; (4) establishing a communications strategy to foster transformation and create shared expectations and build ; (5) developing annual goals and a system for measuring performance; and (6) managing human capital and information technology strategically to drive transformation and to support the accomplishment of agency goals. To support its transformation initiatives and to cope with shifting environments and evolving demands and priorities, AOC also should continue to develop its management infrastructure and controls. Establishing this management and accountability framework and further developing its management infrastructure and controls can also help AOC improve performance in program areas of long-standing concern to AOC's employees and congressional stakeholders--worker safety, project management, and recycling.

Recommendations

Our recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Implemented" or "Not implemented" based on our follow up work.

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Matters for Congressional Consideration

Recommendation: Congress may wish to consider ways in which to elevate, integrate, and institutionalize accountability for addressing management issues and leading organizational transformation at AOC. One option would be to create a statutory Chief Operating Officer or similar position for AOC to improve its executive decision-making process and accountability.

Status: Implemented

Comments: Congress created a Chief Operating Officer position for the AOC in the fiscal year 2003 Consolidated Appropriations Act (PL 1082-7, Feb 20, 2003). The Act required the AOC to consult with the Comptroller General before appointing a COO.

Recommendation: To help ensure that AOC implements its management improvement plan, Congress may wish to consider requiring AOC to provide periodic status reports on the implementation of its plan, including progress made and milestones not met, and any adjustments to the plan in response to internal or external developments.

Status: Implemented

Comments: The Conference Committee report accompanying the Consolidated Appropriations Resolution, 2003, directed GAO to monitor the AOC on the development and implementation of the required plan. The conferees also directed GAO to evaluate AOC's implementation efforts, as well as management changes, including the timely accomplishment of the implementation plan milestones. GAO is required to report semi-annually to the appropriations committees and to the Senate Committee on Rules and Administration until all of the changes in AOC's action plan have been implemented.

Recommendations for Executive Action

Recommendation: In order to adopt the elements of the management and accountability framework--strategic planning, organizational alignment, communications, performance measurement, and strategic human capital management--and build on efforts under way at AOC, we recommend that the Architect of the Capitol strengthen performance measurement and strategic human capital management, by developing annual goals and measuring performance.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has implemented a performance management approach that includes strategic planning, annual performance planning and reporting, and assessment of AOC's progress in meeting agencywide milestones and measures. AOC has identified four strategic goals: facilities management, project management, human capital management, and organizational excellence. AOC has also identified a number of measures to monitor and evaluate performance, and these measures will serve as the basis for employees' annual performance goals as well as the assessment of AOC's overall success in meeting its strategic goals. The measures include quality facility management, projects delivered on time, on budget, and of high quality, highly skilled and motivated employees, and effects of managerial oversight. In addition, AOC has developed a document--the AOC dashboard--that summarizes performance in each of its strategic focus areas: project management, facilities management, human capital management, and organizational excellence. The dashboard includes several high-level indicators to track performance for each of the strategic goals as well as a target goal for each indicator.

Recommendation: In order to adopt the elements of the management and accountability framework--strategic planning, organizational alignment, communications, performance measurement, and strategic human capital management--and build on efforts under way at AOC, we recommend that the Architect of the Capitol strengthen performance measurement and strategic human capital management, by creating a "line of sight" by linking AOC's senior executive and employee performance management systems to mission-critical goals.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation. In May 2005 AOC revised its performance management system (PCES) to ensure that its senior executive performance management system and its employee performance evaluation system are linked to AOC's mission-critical goals. Employees are expected to ensure completion of a performance plan that outlines performance standards for each critical task related to the employee's position. The employee's performance is evaluated against the established performance plan as it relates to AOC's strategic goals and objectives. The employee is given a rating of outstanding, fully successful, or unsuccessful for each element, as well as a summary rating.

Recommendation: In order to adopt the elements of the management and accountability framework--strategic planning, organizational alignment, communications, performance measurement, and strategic human capital management--and build on efforts under way at AOC, we recommend that the Architect of the Capitol strengthen performance measurement and strategic human capital management, by establishing agencywide core and technical competencies and holding employees accountable for these competencies as a part of the performance management system.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC previously identified core competencies for most of the agency's positions and has linked these competencies to the positions' critical tasks. These competencies have also been included in AOC's automated human resources system. AOC officials are now in the initial stages of linking the core and technical competencies to employees' training plans and performance evaluations within its automated human resource system. AOC officials believe that the integration of competencies into its human resource systems will aid the agency's supervisors in evaluating their employees and providing them with appropriate training opportunities. In addition, officials believe that the automated system will also support employees in the development of their individual development plans.

Recommendation: In order to adopt the elements of the management and accountability framework--strategic planning, organizational alignment, communications, performance measurement, and strategic human capital management--and build on efforts under way at AOC, we recommend that the Architect of the Capitol strengthen performance measurement and strategic human capital management, by identifying current and future workforce needs and developing strategies to fill gaps.

Agency Affected: Architect of the Capitol

Status: In process

Comments: In our previous update, AOC reported anticipating receiving a completed strategic workforce plan from a contractor in May 2007. AOC has since delayed the implementation of the skill assessment survey because AOC officials have determined that the contractor did not have the appropriate applications available to analyze the survey data for skill gaps within AOC's workforce. After the skill assessment survey was revised to reduce the amount of time it took to complete and to make it more relevant to AOC's work environment, AOC officials reported that problems developed in analyzing the survey's data. AOC officials are currently working with the contractor to develop applications to analyze the survey data once it is collected. Eventually AOC intends to link the data collected from its skill assessment survey with the information on its workforce's core and technical competencies. AOC officials believe that linking and integrating this data will enable it to generate a training curriculum for each employee. AOC's contractor also needs to complete work relating to a strategic workforce plan, including conducting focus groups with managers to ascertain what changes in human capital will be needed to meet the long term goals identified in AOC's strategic plan.

Recommendation: In developing a management improvement plan to address the recommendations in this report, we also recommend that the Architect of the Capitol establish action-oriented implementation goals over the long term and a time line with milestone dates to track the organization's progress towards achieving those implementation goals. The Architect should work with key congressional and other stakeholders to develop this plan.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC's draft performance plan, dated March 7, 2003, provided a crosswalk of GAO's recommendations to AOC's performance plan along with milestones (AOC's "action plan"), which established such a timeline and milestone dates.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should strengthen AOC's human capital policies, procedures, and processes by continuing to develop and implement agencywide human capital policies and procedures, and holding management and employees accountable for following these policies and procedures.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: This recommendation is fulfilled. AOC has approved a policy development schedule to revise human capital policies as part of its human capital plan. In addition, AOC developed a document for supervisors, Supervisors' Tools of the Trade, which provides supplemental guidance on human capital policies as needed. Supervisors are rated for performance in human capital management as part of AOC's evaluation system. However, it is important that AOC continue to monitor whether supervisors and managers are fairly administering the policies as the revisions are implemented.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should strengthen AOC's human capital policies, procedures, and processes by assessing ways in which AOC management could better gather and analyze data from the various employee relations offices and Employee Advisory Council while maintaining employee confidentiality.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation by holding monthly meetings between the Human Resources Director, Equal Employment Opportunity and Conciliation Program Director, the chairs of the employee advisory council and the employment council, the employee assistance program manager, and the Deputy Chief of Staff to review and discuss employee relations data. The group makes recommendations to senior management based on findings and takes action on the items. According to AOC, the importance of maintaining employee confidentiality is emphasized at each meeting.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should strengthen AOC's human capital policies, procedures, and processes by establishing a direct reporting relationship between the Ombudsperson and the Architect, consistent with professional standards.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has approved a policy development schedule to revise human capital policies as part of its human capital plan. In addition, AOC developed a document for supervisors, Supervisors' Tools of the Trade, which provides supplemental guidance on human capital policies as needed. Supervisors are rated for performance in human capital management as part of AOC's evaluation system. However, it is important that AOC continue to monitor whether supervisors and managers are fairly administering the policies as the revisions are implemented. This recommendation is implemented.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should continue to improve AOC's approach to financial management by developing strategies to institutionalize financial management practices that will support budgeting, financial, and program management at AOC. Such strategies could include developing performance goals and measures and associated roles aimed at increasing the accountability of non-financial managers and staff, such as jurisdictional superintendents, program managers, and other AOC staff--whose support is critical to the success of AOC's financial management initiatives--and ensuring that these staff receive the training needed to effectively carry out their roles and responsibilities.

Agency Affected: Architect of the Capitol

Status: In process

Comments: Two key improvement practices--a riskbased internal control framework and a cost accounting/management operations reporting system--are still works in progress. AOC noted that while facing a "lack of resources" associated with recurring continuing resolutions, it made progress on its two remaining key financial management initiatives which are intended to improve AOC budgeting, financial management, and accountability. 1)Risk-Based Internal Control Framework. While in Jan 2008, AOC's Independent Auditor issued a "clean" opinion on AOC's FY2007 financial statements,the Auditor continued to report material weaknesses because AOC had not completed in FY2007 a formal and systemic assessment and evaluation of the design and operation of its internal controls. AOC noted its progress in 2007 on its internal controls related to procurement and payroll areas and on financial reporting controls, a new area of focus in 2007. However, AOC noted that its efforts on project management controls were on hold while it focused on financial reporting controls. AOC noted it does not expect to assess the effectiveness for controls related to procurement, payroll, and financial reporting until the 4Q of FY2008. For procurement, AOC noted that in 2007, it completed implementation of needed controls and made monitoring tools available to users, and will assess procurement controls during the third quarter of FY2008. For payroll, AOC noted it documented and analyzed payroll controls in 2007, will implement needed payroll controls and related monitoring tools and reports in 2008, and will make payroll controls operational during the 3Q of FY2008. For financial reporting, AOC noted it documented and analyzed almost all of its key financial reporting controls in 2007, will implement needed financial reporting controls and related monitoring tools in 2008, and will make its financial reporting controls operational for the FY2008 financial statement audit. 2)Cost Accounting and Management Operations Reporting System AOC noted it made progress on its cost accounting/Management Operations Reporting (MOR) initiative but noted that it has experienced "a series of starts and stops" due to the impact of recent continuing resolutions on AOC resources and priorities. AOC noted that it now has a multi-disciplinary team to implement the initiative which is serving to institutionalize cost accounting and management reporting in AOC's day-to-day business process. AOC noted reducing the number of cost accounting codes by incorporating a source code field and, in Oct 2007, implementing a streamlined structure for assigning direct labor, materials, services and other costs to AOC work activities. In addition, AOC noted that in Dec 2007, almost all employees code their time utilizing the structure. AOC also noted it established a cost reporting framework and mapped its cost accounting codes to its strategic goals. On MOR, AOC noted that it continues to work with users to improve the process of accumulating useful cost data in conjunction with using an Executive Information System (COGNOS), currently under development,with the goal of generating more meaningful management reports. However, AOC noted that realizing this goal may be limited until the COGNOS is available throughout AOC on a real-time basis. Also, current MOR reports contain only direct labor and purchase cost data, but AOC does not expect that it will be able to develop indirect cost information until FY 2009. According to AOC, funding constraints associated with the continuing resolution have limited its current IT activities and additional IT support will be needed to implement COGNOS and to expand the reporting capability to incorporate work order and performance data However, additional actions, and the resources to accomplish them, are needed to implement AOC's two remaining financial management initiatives.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by establishing a chief information officer, or comparable senior executive, with the responsibility, authority, and adequate resources for managing IT across the agency, who is full participant in AOC's senior decision-making processes, and has clearly defined roles, responsibilities, and accountabilities.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has completed action on this recommendation. In 2003 the agency established a senior executive with the responsibility, authority, and resources for managing IT across the agency, including controlling the AOC IT budget. Furthermore, AOC made the director a participant in senior decisionmaking, serving as the principal advisor to the Architect in applying IT to improve business processes and chairing the IT Project Management Board. AOC also defined in its IT policy the director's roles, responsibilities, and accountabilities. AOC's action will allow the agency to adopt an agencywide approach to IT management and position the agency to effectively leverage IT as an agencywide resource.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by developing and implementing IT investment management processes with the full support and participation of AOC's senior leadership. Specifically, the Architect must develop a plan for developing and implementing the investment management processes, as appropriate, that are outlined in our IT investment guide. At a minimum, the plan should specify measurable tasks, goals, time frames, and resources required to develop and implement the processes. The Architect should focus first on the management processes associated with controlling existing IT projects and establishing the management structures to effectively implement an IT management process.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation by developing and implementing an IT investment management process with support and participation of AOC's senior leadership and in accordance with our guidance through the development and approval of an IT investment management policy. Consistent with best practices, AOC has divided its investment management process into three phases: select, control, and evaluate. To effectively control existing and future projects through these phases, AOC established and assigned specific roles and responsibilities to three boards: Business Systems Modernization Office (BSMO), Investment Review Board (IRB), and Project Review Board (PRB). BSMO provides guidance during the select phase on items, such as the procurement schedule and stakeholder involvement, while the IRB and the PRB participate during the select, control, and evaluate phases. In particular, the PRB reviews specific areas of the project, including status, schedule and system development life-cycle documentation, and the IRB, among other things, provides approval and advice on items, including additional funding and critical issues that may arise on the project. Membership on these boards includes senior-level officials from various departments and offices throughout the agency. AOC has demonstrated this investment management process as evidenced by our review of two of AOC's large-size IT systems, Facilities Management Information System (FMIS) 2005 and Inventory Control System (ICS). Both systems were approved by the appropriate management structures in accordance with AOC's IT investment management process.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by developing, implementing, and maintaining an enterprise architecture to guide and constrain IT projects throughout AOC. The Architect should implement the practices, as appropriate, as outlined in the Chief Information Officer Council's architecture management guide. As a first step, the Architect should establish the management structure for developing, implementing, and maintaining and enterprise architecture by developing an agencywide policy statement providing a clear mandate for developing, implementing, and maintaining the architecture.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation by developing and approving an agencywide IT policy that provides for developing, implementing, and maintaining an EA. The agency also has established an EA Executive Steering Committee, composed of senior-level officials from across the agency, to direct, oversee, and approve the AOC EA. The latest version of the EA FY06 version 1.0 was approved by the executive committee in December 2005. In addition, AOC has assigned responsibility for guiding EA development to the Chief Enterprise Architect. According to program officials, the Chief Enterprise Architect position was filled in February 2007. The chief architect's responsibilities include reviewing investments and investment-related projects to ensure that they are in compliance with the EA; developing and maintaining the EA documents to ensure that they continue to reflect the AOC strategic plan, business needs, and technological advancement; and providing expertise to the business systems modernization office and AOC management on EA concepts and implementation.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by developing, implementing, and maintaining and enterprise architecture to guide and constrain IT projects throughout AOC. The Architect should implement the practices, as appropriate, as outlined in the Chief Information Officer Council's architecture management guide. As a first step, the Architect should establish the management structure foe developing, implementing, and maintaining an enterprise architecture by establishing an executive body composed by stakeholders from AOC mission-critical programs offices to guide the strategy for developing the enterprise architecture and ensure agency support and resources for it.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation by developing and approving an agencywide IT policy that provides for developing, implementing, and maintaining an EA. The agency also has established an EA Executive Steering Committee, composed of senior-level officials from across the agency, to direct, oversee, and approve the AOC EA. The latest version of the EA FY06 version 1.0 was approved by the executive committee in December 2005. In addition, AOC has assigned responsibility for guiding EA development to the Chief Enterprise Architect. According to program officials, the Chief Enterprise Architect position was filled in February 2007. The chief architect's responsibilities include reviewing investments and investment-related projects to ensure that they are in compliance with the EA; developing and maintaining the EA documents to ensure that they continue to reflect the AOC strategic plan, business needs, and technological advancement; and providing expertise to the business systems modernization office and AOC management on EA concepts and implementation.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by developing, implementing, and maintaining and enterprise architecture to guide and constrain IT projects throughout AOC. The Architect should implement the practices, as appropriate, as outlined in the Chief Information Officer Council's architecture management guide. As a first step, the Architect should establish the management structure for developing, implementing, and maintaining an enterprise architecture by designating an individual who serves as a chief enterprise architect to develop policy and lead the development of the enterprise architecture, and manage it as a formal program.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation by developing and approving an agencywide IT policy that provides for developing, implementing, and maintaining an EA. The agency also has established an EA Executive Steering Committee, composed of senior-level officials from across the agency, to direct, oversee, and approve the AOC EA. The latest version of the EA (EA FY06 version 1.0) was approved by the executive committee in December 2005. In addition, AOC has assigned responsibility for guiding EA development to the Chief Enterprise Architect. According to program officials, the Chief Enterprise Architect position was filled in February 2007. The chief architect's responsibilities include reviewing investments and investment-related projects to ensure that they are in compliance with the EA, developing and maintaining the EA documents to ensure that they continue to reflect the AOC strategic plan, business needs, and technological advancement, and providing expertise to the business systems modernization office and AOC management on EA concepts and implementation.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by requiring disciplined and rigorous processes for managing the development and acquisition of IT systems, and implementing the process throughout AOC. Specifically, these process should include quality assurance processes, including developing a quality assurance plan and identifying applicable process and product standards that will be used in developing and assessing project processes and products.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: As of February 2008, AOC has further refined its systems development life-cycle policy that describes the procedures, practices, and guidelines governing the management of IT systems and the processes that are to be followed when acquiring and developing these systems. These processes include a quality assurance process that requires the development of a quality assurance plan and quality checkpoint reviews for assessing project processes and products during a project's life cycle.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should strengthen adopt an agencywide approach to IT management by requiring disciplined and rigorous process for managing the development and acquisition of IT systems, and implementing the processes throughout AOC. Specifically, these processes should include configuration management processes, including establishing a repository or configuration management system to maintain and control configuration management items.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has further refined its systems development life-cycle policy that describes the procedures, practices, and guidelines governing the management of IT systems and the processes that are to be followed when acquiring and developing these systems. These processes include a configuration management process that requires a configuration management plan that identifies configurations at given points in time, controls changes to the configuration, and maintains the records of all changes. Further, the configuration management process includes a change control board that approves and documents change requests for projects.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by requiring disciplined and rigorous processes for managing the development and acquisition of IT systems, and implementing processes throughout AOC. Specifically, these processes should include risk management processes, including developing a project risk management plan, identifying and prioritizing potential problems, implementing risk mitigation strategies, as required, and tracking and reporting progress against the plans.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has further refined its systems development life-cycle policy that describes the procedures, practices, and guidelines governing the management of IT systems and the processes that are to be followed when acquiring and developing these systems. Specifically, these processes include a risk management process that requires the development of a risk management plan; the identification of risks, risk assessments, risk impact and status, probability of occurrence, and mitigation strategies; and the tracking and reporting of progress against the plan.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by requiring disciplined and rigorous processes for managing the development and acquisition of IT systems, and implementing the processes throughout AOC. Specifically, these processes should include contract tracking and oversight processes, including developing a plan for tracking contractor activities, measuring contractor performance and conducting periodic reviews, and conducting internal reviews of tracking and oversight activities.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has implemented its policy for contract administration, which assigns authority for administering contracts to the contracting officer. In addition, the agency provides tracking and oversight of contracts by measuring performance, conducting periodic contract reviews, and performing internal monthly reviews of contractor activities.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by establishing and implementing and information security program. Specifically, the Architect should establish an information security program by designating a security officer and providing him or her with the authority and resources to implement and agencywide security program.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation. AOC has designated the chief information security officer with the authority to implement an agencywide security program and has reported that adequate resources (funding and staff) have been assigned to implement the program. AOC designated a chief information security officer in January 2007.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by establishing and implementing an information security program. Specifically, the Architect should establish an information security program by developing and implementing policy and guidance to perform risk assessments continually.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC is making progress. AOC's March 2006 IT Security Control Policy requires risk assessments. AOC reported that it completed certification and accreditation, including risk assessments, of its general support systems and major applications in March 2006.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by establishing and implementing an information security program. Specifically, the Architect should establish an information security program by using the results of the risk assessments to develop and implement appropriate controls.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC is making some progress on this recommendation, but work is still needed. AOC's March 2006 IT Security Control Policy requires risk assessments. AOC reported that it completed certification and accreditation, including risk assessments, of its general support systems and major applications in March 2006. However, according to AOC, it has not yet taken mitigation action on the vulnerabilities identified in these March 2006 risk assessments.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should adopt an agencywide approach to IT management by establishing and implementing an information security program. Specifically, the Architect should establish an information security program by developing policies for security training and awareness and providing the training.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has implemented this recommendation. AOC also has developed and issued policies for security and awareness training, which, according to the agency officials, has been completed by all employees.

Recommendation: In order to continue to develop a management infrastructure and strengthen appropriate management controls, the Architect of the Capitol should strengthen adopt an agencywide approach to IT management by establishing and implementing an information security program. Specifically, the Architect should establish an information security program by monitoring and evaluating policy and control effectiveness.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC has developed a process to monitor and evaluate the effectiveness of policies and controls. However, we are not aware of AOC implementing this process, which is an important next step in protecting the agency's data and systems from inadvertent or deliberate misuse, fraud, improper disclosure, or destruction, possibly without detection.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals, the Architect of the Capitol should identify performance measures for safety goals and objectives, including measures for how AOC will implement the 43 specialized safety programs and how superintendents and employees will be held accountable for achieving results.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC has made the following progress: AOC continues to consolidate its 34 individual safety policies into one manual; the agency developed four specific portions of the safety manual, which officials say will be completed by June 2008. AOC fully implemented its eighth individual safety policy (Welding, Cutting, Brazing and Hotwork) and received a thirdparty evaluation of the seven policies it had previously implemented. The remaining 26 of 34 safety policies are scheduled to be implemented by September 2009. AOC still needs to take the following remaining actions: AOC needs to complete the development and implementation of its safety manual. The agency's schedule to complete the manual has been extended an extra six months since GAO's last review (February 2007). Completion of the manual will enable AOC to provide employees with a centralized location for important safety-related information. Of AOC's 34 specialized safety policies, 26 have not been implemented. Full implementation of all policies, which is scheduled for the end of FY 2009, will enable AOC to fully achieve its goal of long-term cultural change.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals the Architect of the Capitol should establish clearly defined and documented policies and procedures for reporting hazards similar to those that apply to injury and illness reporting.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has completed a job hazard analysis (JHA) process including describing the steps associated with each job task, identifying potential hazards associated with each task, developing the appropriate controls to eliminate or reduce the hazards, developing a training program to perform JHAs, and assisting first-line supervisors with performing qualitative JHAs. In addition, AOC has completed a step-by-step plan that provides a general approach for jurisdictions to manage their implementation of the JHA process. Finally, AOC has included a telephone number for reporting hazards in its monthly safety newsletters, which are distributed AOC-wide. The Architect has approved the Hazard Assessment and Control Policy.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals, the Architect of the Capitol should establish a consistent, AOC-wide system for conducting investigations and follow-up.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has established a plan and initiated actions to improve the reporting of incidents. Specifically, AOC (1) implemented an incident analysis module that electronically documents the investigation of incidents, (2) approved an interim incident notification, investigation and reporting policy, and (3) implemented an AOC-wide incident investigation form. The agency is also sharing lessons learned in a number of ways, including through its safety support group.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals, the Architect of the Capitol should establish a safety training curriculum that fully supports all of the goals of the safety program and further evaluate the effectiveness of the training provided.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: As of February 2006, AOC has fulfilled this recommendation in establishing training that supports the goals of the current safety policies. For example, during the implementation review process, AOC revalidated training requirements against regulatory requirements. Moreover, Safety Policy Managers have worked with the Human Resources Management Division (HRMD) to ensure that training required by upcoming policies has been identified. In addition, AOC has completed a training workbook exercise to assess the overall impact of required safety policy training on its budget. Also, central staff safety professionals continue to audit training courses and provide feedback to course instructors. Finally, the AOC has been using injury and illness data to identify training needs.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals, the Architect of the Capitol should assign clear responsibility for tracking and recording training received by AOC employees, including maintaining an inventory of employees' certifications and licenses.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC made progress in using its data management system, AVUE, which is intended to track and record employee training, licensing and certification, among other things. The agency identified two implementation phases. Phase one, which AOC is planning, will pilot a paperless training request process and use the results to incrementally roll out the automated process to remaining AOC jurisdictions. During phase two, AOC will expand the capacity to track required training, licenses, and certification. However, AOC still has work to do to continue to develop AVUE's capacity to track employee training. If AVUE performs as AOC expects, it could be a valuable tool in helping AOC employees stay abreast of their safety training needs and requirements.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals, the Architect of the Capitol should clarify and explore the possibility of expanding the role of the Office of Attending Physician (OAP) in helping AOC meet its safety goals, consistent with the broad responsibilities laid out in the 1998 Memorandum of Understanding between AOC and OAP.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC worked with OAP to ensure that the lists of medical surveillance program participants are current. In addition, OAP is providing reports to AOC when employees are either due or past due for their medical examinations. AOC is also documenting the scope of medical surveillance services to better define and communicate the agency's requirements to OAP to ensure a common understanding and set of expectations.

Recommendation: To enhance AOC's ongoing efforts to establish a strategy for the worker safety program by establishing safety program goals that are fully integrated with AOC's agencywide goals, the Architect of the Capitol should establish a senior management work group that will routinely discuss workers' compensation cases and costs, and develop strategies to reduce these injuries and costs.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC, through the Safety, Health and Environmental Council (SHEC), has developed measures to assess and control workers' compensation costs, including: (1) the number and severity of injuries and illnesses, (2) the number and cost of workers' compensation injuries and illnesses, (3) the number of lost production days associated with workers' compensation cases, and (4) the number of modified work assignments. In addition, AOC has developed several tools aimed at raising employee awareness of safety and the link between safety and workers' compensation.

Recommendation: To improve project management--project planning, design, and construction--at AOC, Architect of the Capitol should develop a Capitol Hill complex master plan and complete condition assessments of all buildings and facilities under the jurisdiction of AOC.

Agency Affected: Architect of the Capitol

Status: In process

Comments: AOC has made progress as follows: 1)AOC received a proposed final draft of the Capitol Complex Master Plan (CCMP) from its contractor in Dec. 2007, but the agency identified changes it would like the contractor to make before approving the final draft. While three of the four main AOC jurisdictions have completed development of their jurisdiction plans, Congressional stakeholders in the Senate jurisdiction expressed a desire to identify a preferred alternative for their plan. Final jurisdiction plans are to be incorporated in the CCMP. AOC anticipates that the Senate jurisdiction plan will be completed this fiscal year. AOC has set a goal to publish the final draft of the CCMP by the end of the current fiscal year. 2) Last year we reported that facility condition assessments had been completed for all AOC jurisdictions except the Library of Congress (LOC) and the Supreme Court. Funding for the facility condition assessment of the LOC only became available in December 2007 and the contract for the work has been awarded. The facility condition assessment for the Supreme Court is still scheduled to occur in 2009, after the completion of major renovations that are currently underway at the jurisdiction. Given that the majority of the facilities condition assessments are either complete or underway, GAO considers this portion of the recommendation complete. The remaining action in this area is for AOC to finalize the Capitol complex master plan. We reported last year that AOC planned to submit a draft of the master plan to Congress for review in the spring of 2007, a date that was already extended past the original projected completion date of late 2006.

Recommendation: To improve project management--project planning, design, and construction--at AOC, Architect of the Capitol should develop a process for assigning project priorities that is based on clearly defined, well documented, consistently applied, and transparent criteria.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation. AOC implemented a program development process in 2003 that rated projects (with a score from 1 to 100) in five categories: (1) historic preservation and stewardship, (2) fire and life and safety and code compliance, (3) impact on mission, (4) economics, and (5) security. In the spring of 2004 AOC improved the program development process by establishing extensive procedures designed to ensure that project scopes fully met both customer needs and all criteria and standards. The project evaluation criteria are currently being expanded to include urgency (such as immediate, high, medium, or low) and classification of a project (such as deferred maintenance or capital improvement). This expansion of the evaluation criteria results from information being received from facility condition assessments. In September 2005 the AOC's project prioritization panel will evaluate these recommended changes. According to AOC, assuming approval, the criteria will be applied to projects in the fiscal year 2007 budget submission and fully implemented effective with the project call of 2006.

Recommendation: To improve project management--project planning, design, and construction--at AOC, Architect of the Capitol should develop tools to effectively communicate priorities and progress of projects, as a part of a broader communication strategy.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has implemented this recommendation. AOC has established tools to effectively communicate priorities and progress of projects. For example, AOC has developed and continues to communicate its project prioritization processes through regular briefings to Congressional stakeholders. According to feedback from Congressional and other stakeholders, AOC made changes to the project prioritization process and plans to implement those changes in its fiscal year 2008 budget proposal. AOC continues to produce a quarterly status report on the budget and schedule status of projects that are released to Congressional appropriators.

Recommendation: To improve project management--project planning, design, and construction--at AOC, Architect of the Capitol should define project-management-related performance measures to achieve mission-critical strategic and annual performance goals.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has implemented this recommendation. AOC has defined project-management-related performance measures through its quarterly status report, dashboard, and performance plan. These measures include the status of project schedule, budget, cost, and safety. AOC also developed and implemented surveys on the quality of design and construction services. AOC could consider tracking the safety of its construction contractors, as is currently being done with the Capitol Visitor Center project.

Recommendation: To improve project management--project planning, design, and construction--at AOC, Architect of the Capitol should align project management staff and resources with AOC's mission-critical goals.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation. In October 2005, AOC implemented a project management organization. The organization includes 32 personnel with responsibilities for project management, construction management, and inspection. The organization is focused on "cradle-to-grave" project delivery. Duties considered to be "collateral," such as design reviews, are being reassigned to other AOC officials outside of the new organization.

Recommendation: In order to adopt a strategic approach to recycling, the Architect of the Capitol should develop a clear mission and goals for AOC's recycling program with input from key congressional stakeholders as part of its proposed environmental master plan. AOC may want to establish reasonable goals based on the total waste stream--information its plans to obtain as part of its long term environmental management plan--that could potentially be recycled.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has fulfilled this recommendation. AOC drafted a mission statement, goals, and performance measures for its recycling program and shared this draft with congressional stakeholders. The mission for the recycling program is to foster an environment that encourages recycling by the legislative branch staff through convenient and efficient programs, resulting in the diversion of wastes from the solid waste stream. AOC established three main goals for its recycling program: (1) increase overall recycling rates by diverting office wastes, (2) increase overall recycling tonnage by diverting non-office wastes, and (3) improving communication and coordination among interested Legislative Branch agencies by establishing a recycling working group by the end of fiscal year 2006.

Recommendation: In order adopt a strategic approach to recycling, the Architect of the Capitol should develop a performance measurement, monitoring, and evaluation system that supports accomplishing AOC's recycling mission and goals.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: AOC has established a performance measurement, monitoring, and evaluation system that supports its recycling mission and goals. AOC finalized its recycling program mission, goals, and performance measures in January 2006. These performance measures are in AOC's revised strategic plan and the Senate and House business plans. To monitor performance, AOC reports on the status of its recycling performance measures in the Safety, Health, and Environmental Council meetings. Additionally, AOC formed a Legislative Branch recycling group that met for the first time in September 2006. This group plans to meet quarterly to discuss common issues and share best management practices.

Recommendation: In order to adopt a strategic approach to recycling, the Architect of the Capitol should examine the roles and responsibilities of AOC's recycling program staff to ensure that they are performing the right jobs with the necessary authority, and holding the staff accountable for achieving program and agency results through AOC's performance management system.

Agency Affected: Architect of the Capitol

Status: Implemented

Comments: In October 2006, AOC included recycling tasks in its position descriptions and included recycling responsibilities for recycling managers and supervisors in its evaluation system. For example, the performance evaluation system includes recycling objectives in the ratings of Senate and House recycling managers to hold them accountable for program results.

Architect of the Capitol: Management and Accountability Framework Needed for Organizational Transformation

Summary

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