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LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2006
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WEDNESDAY, APRIL 13, 2005
U.S. Senate,
Subcommittee of the Committee on Appropriations,
Washington, DC.
The subcommittee met at 10:30 a.m., in room SD-116, Dirksen
Senate Office Building, Hon. Wayne Allard (chairman) presiding.
Present: Senators Allard, Cochran, and Durbin.
U.S. SENATE
Office of the Secretary
STATEMENT OF EMILY REYNOLDS, SECRETARY OF THE SENATE
ACCOMPANIED BY:
MARY SUIT JONES, ASSISTANT SECRETARY OF THE SENATE
TIM WINEMAN, FINANCIAL CLERK OF THE SENATE
OPENING STATEMENT OF SENATOR WAYNE ALLARD
Senator Allard. The Subcommittee on the Legislative Branch,
Committee on Appropriations, will come to order. We meet today
to hear testimony from the Secretary of the Senate and the
Architect of the Capitol on the fiscal year 2006 budget
requests.
It's my first hearing as chairman of this subcommittee, and
I look forward to learning about the key issues and budget
priorities within each of the legislative branch agencies.
Overall, the request for the legislative branch totals
$4.03 billion, an increase of $482 million, or a 13.5 percent
increase over the fiscal year 2005 level. Clearly, in the
constrained budget environment in which we will be operating,
an increase of this level will be difficult, if not impossible
to provide, so we will be seeking to ensure that all agencies
have prioritized their budget requests, are taking steps to
operate as cost effectively as possible, and are eliminating
wasteful or unnecessary spending.
Welcome to our witnesses this morning. We will hear first
from Emily Reynolds, Secretary of the Senate, who's accompanied
by the Assistant Secretary of the Senate, Mary Suit Jones, and
the Financial Clerk of the Senate, Tim Wineman.
Ms. Reynolds, your budget request totals almost $23
million, an increase of about 7 percent over fiscal year 2005,
primarily to accommodate routine pay and inflation-related
increases, as well as to make some upgrades in a few areas.
Following the Secretary of the Senate, we will take
testimony from Mr. Alan Hantman, Architect of the Capitol. The
AOC budget request totals $506 million, an increase of $157
million over the current fiscal year. The increase is largely
associated with several construction projects, including
completion of the Capitol Visitor Center (CVC), construction of
the Library of Congress storage modules at Fort Meade,
Maryland, and a new offsite delivery facility for the Capitol
Police, as well as startup costs and new personnel for the CVC.
Your budget office is to be commended for putting together
a budget justification which is transparent and thorough and
explains all increases concisely, and we certainly appreciate
that effort.
There are a number of issues I'd like to explore with you
today. Most important, of course, is the schedule and budget
for completion of the Capitol Visitor Center. As I understand
it, while much progress has been made, there's still a long way
to go before the facility can be opened to the public, and the
schedule remains unclear. There have been significant
difficulties with this project, including coordinating two
major construction contractors, weather-related delays,
unforeseen site conditions, and, frankly, serious management
problems. While it is too late to make major changes to how the
project is being run, it is my expectation that you will make
every effort to demand the best from your contractors, provide
the Congress with a balanced assessment of progress as the
project continues, and accept the counsel of the Government
Accountability Office (GAO), which has been monitoring the
project, providing recommendations from the start. GAO has done
a very professional job in this oversight effort, and we
appreciate this. Their projections on cost and schedule have
been accurate, and their recommendations have been good.
In addition to the CVC, there continues to be much
construction activity around this campus. One of the primary
reasons is security-related work that will continue even after
the CVC is complete. All of us have construction fatigue and
look forward to when this complex can be returned to a state
that we can all be proud of, free of construction activity,
dump trucks, jersey barriers, and torn-up streets. So we will
be urging you to accelerate these efforts, which have been in
the works for many years now.
The perimeter security project and the visitor center seem
to be emblematic of problems this agency continues to have with
project management. As I understand it, about half of the major
projects AOC has underway at this time are behind schedule, and
too many are over budget, as well. We look forward to hearing
what you're doing to improve project management.
There are also concerns with the morale of your workforce.
Highlighted in an article a few weeks back in The Hill
newspaper, it seems that communication with employees is not as
good as it should be. So we look forward to an update on how
you're improving communication and employee morale.
Finally, the AOC has been working to develop a long-range
master plan for the Capitol complex, as well as condition
assessments of each of the buildings. This should lead to a
plan for prioritizing spending for both capital projects and
deferred maintenance over the next 5 years. The master planning
effort has been underway for some time, so we look forward to
understanding when we will have a final product and a roadmap
for future budget requirements.
We will now turn to the Secretary of the Senate. I welcome
you to the subcommittee and look forward to your testimony, Ms.
Reynolds. And you may proceed.
OPENING STATEMENT OF EMILY REYNOLDS
Ms. Reynolds. Thank you very much, Mr. Chairman. And we
look forward to working with you, as our legislative branch
subcommittee chairman.
I would ask, of course, that my full statement, which
includes our complete Department reports, be submitted for the
record. And today I'd like to take just a few minutes to give
you a brief overview of the Secretary's operation and, of
course, as you referenced, our budget request for fiscal year
2006.
Along with Mary Suit Jones and Tim Wineman, who, as you
said, are here today, we have a good representation of our some
26 department heads, an able team and a tremendous group of
individuals who serve the Senate.
Our budget request, as you said, is right at $23 million,
representing almost $21 million in salary costs and $1.9
million in operating costs. This is a slight increase from
fiscal year 2005, mostly in COLA and merit increases, so that
we can continue to attract and retain the kind of talent the
Senate requires and, indeed, deserves for its operations. We
also have a small increase of $200,000 in that operating budget
to prepare specifically for a specialized and much-needed
storage space for our curator and upcoming relocations for
Senate security and our closed-captioning services operation.
We also anticipate some additional costs for the support and
maintenance of systems that are currently underway--systems
upgrades that are currently underway in both the gift shop and
the stationery room.
Since the first Secretary was elected by the Senate in
1789, our office has served the Senate in three principal ways;
that is, to provide legislative, financial, and administrative
support. And I'd like to briefly highlight some our
accomplishments from last year in each of these areas.
The legislative department, of course, consists of nine
offices dedicated to ensuring that the Senate can carry out its
constitutional responsibilities. And, to that end, one of our
priorities remains the crosstraining among their specialties.
In election years, our parliamentarians play a key and perhaps
even little-known role. Following the elections, the
parliamentarian must attest to the accuracy of each State's
certificate of election for Senate races, a process that we
have to have completed, obviously, before our Members can be
sworn in. The parliamentarian also reviews the electoral
ballots for the President and Vice President, and assists the
Vice President and his staff in preparation for the joint
session of Congress to count those electoral ballots.
On the financial side, our disbursing office pays the
Senate community every 2 weeks, of roughly 6,500 individuals,
and we process over 125,000 bills each year. Of course, as you
well know, this office also administers health insurance, life
insurance, and all of the retirement programs for our Members
and staff.
We continue to make significant progress on the
implementation of the financial management information system
(FMIS), a 5-year strategic plan which this subcommittee
generously provided the funding for now 3 years ago. Of course,
FMIS' high priority is to provide efficiency, accountability,
and ease of use for the 140 Senate offices that rely on the
disbursing operation.
On the administrative side of our operation, there were
several noteworthy accomplishments from last year. With the
assistance of our Senate curator, late next month we will
unveil the portrait of former Majority Leader George Mitchell,
and, soon after, we will add to our collection the portrait of
another Maine Senator, Margaret Chase Smith. We have underway a
commission to add to the Senate reception room a portrait to
commemorate the authors of the Connecticut Compromise, Senators
Ellsworth and Sherman.
You might well have seen the ``Catalogue of Fine Art'',
which we released last year, a beautiful piece of work. We hope
to add a companion piece this Congress, the Senate ``Catalogue
of Graphic Art'', which will be a compilation of our collection
of 900 historic engravings and lithographs.
And one of the most exciting initiatives we have underway,
which this subcommittee has generously supported, is our work
with the Senate Curatorial Advisory Board, which has now
completed its second meeting. The board provides us with expert
advice regarding our collections and preservation program. It's
a group of 12 highly knowledgeable and esteemed experts in
their fields of art, preservation, architecture, and they are
giving generously of their time and talent to the Senate.
In addition, our newly formed Senate Preservation Board of
Trustees will meet next month. This group will supplement the
work of the Curatorial Advisory Board and assist us in
acquisitions and to facilitate preservation projects for the
Senate. You may recall that your former colleague from
Colorado, Senator Campbell, sent us on a search for a chair
that was given to Vice President Charles Curtis to celebrate
his Native American heritage. And that chair, now on loan to
us--the search was victorious--and the chair now resides in the
Vice President's ceremonial office.
Since that acquisition, I'm pleased to report we've made
progress on other fronts, as well. We have subsequently
acquired a Brumidi oil sketch, which was a preliminary
treatment for the signing of the first Treaty of Peace with
Great Britain, which, of course, in its finished form, is on
the first floor of the Capitol, in the Brumidi corridors. And I
would add, just coincidentally, this year happens to mark the
200th anniversary of Brumidi's birth. We are working with the
Architect of the Capitol on several ways that we can
commemorate that historic occasion in the Capitol this summer.
Our historical office also came into possession, this last
year, of a wonderful treasure of scrapbooks that contain
photographs of nearly 900 Senators, from the Senate's early
days up to the early 20th century. Many of these were from
Members for whom we had no prior photograph or record. Some we
believe may even be the photographs done by Matthew Brady, the
very famous Civil War photographer. This treasure actually came
to us from a lifelong Washington resident. He grew up on
Capitol Hill, and one of his fondest memories is that he was
often walked to school by Chief Justice Taft. Thanks to his
generosity, our historical office is now putting together, for
the first time ever, a pictorial directory of the images of all
Senators who have served since 1789, by State and class.
While we focus on the rich history and tradition of the
Senate in the Secretary's office, we certainly don't ignore the
fact that technology continues to dramatically change the way
we deliver services to the Senate in this 21st century. The
Senate Library, for example, just late last year completed an
ambitious project to provide its entire catalog online through
the Senate intranet, Webster, so you can now review our catalog
of 158,000 items literally from your desk. In addition, the use
of our public website, senate.gov, continues to grow, a 9
percent increase last year, with almost 3.3 million visitors
per month.
The second of our two mandated systems, the Legislative
Information System (LIS), is a technological achievement, in
and of itself. I'm delighted to report that, already in this
Congress, working in conjunction with the Office of Senate
Legislative Counsel, we've used this system to draft
legislation, and 75 percent of the introduced and reported
bills have been created as XML documents through this project.
Once again, this subcommittee has generously supported that
initiative.
And, quickly, there are two special projects I want to
mention that don't necessarily fall tidily within our mission
of legislative, financial, and administrative responsibilities,
but they are two projects that we have the unique opportunity
to work on in election and inaugural years. In November, we
organized and executed the orientation program for our nine new
Senators, their spouses, and staffs, and we were very fortunate
to have the guidance of four of your colleagues, current
Members, Senators Alexander, Carper, Pryor, and Voinovich, who
wanted to set a new standard for orientation. And, thanks to
their leadership, I believe we did, with an intensive 4-day
program, with over two dozen Senators, on a bipartisan basis,
serving as facilitators and instructors for their new
colleagues.
Our staff was also honored to assist the Joint
Congressional Committee on Inaugural Ceremonies in the
preparation and execution of the 55th inaugural. From the
closed-captioners, who provided the captioning for the
jumbotrons, to the curator and Historian serving on the JCCIC
website design team, it was really our honor to take a small
role in that presentation.
Our operation, as you can see, is one that relies heavily
on its human capital. While our operating budget is small, it
is the teamwork, it is our employees, that make the Secretary's
operation click. We are collaborative partners in so many ways,
and in so many different levels within our departments
themselves, within the office, also with disbursing, reaching
out to administrative managers on the applications of FMIS. We
work closely with Mr. Hantman and the entire team in the
Architect's office, on the construction issues, and the
planning of the CVC. And, finally, in so many ways, we're
joined with the Sergeant at Arms in the ongoing important
effort of continuity of Government planning and preparation.
PREPARED STATEMENT
It's a real privilege to be part of that team and to serve
as the Senate's 31st Secretary, to be part of that rich
tradition and heritage of the Senate, but also to be planning
and preparing for its future. On balance, I believe we've
presented a budget for you today that will enable us to
continue to provide the best possible legislative, financial,
and administrative services to the United States Senate.
I thank you for your time and look forward to any
questions. Thank you, sir.
[The statement follows:]
Prepared Statement of Emily J. Reynolds
Mr. Chairman, Senator Durbin and Members of the Subcommittee, thank
you for your invitation to present testimony in support of the budget
request of the Office of the Secretary of the Senate for fiscal year
2006.
Detailed information about the work of the 26 departments of the
Office of the Secretary is provided in the annual reports which follow.
I am pleased to provide this statement to highlight the achievements of
the Office and the outstanding work of our dedicated employees.
My statement includes: Presenting the fiscal year 2006 budget
request; implementing mandated systems: Financial Management
Information System (FMIS) and Legislative Information System (LIS);
Capitol Visitor Center; continuity of operations planning; and
maintaining and improving current and historic legislative, financial
and administrative services.
PRESENTING THE FISCAL YEAR 2006 BUDGET REQUEST
I am requesting a total fiscal year 2006 budget of $22,766,000.
The fiscal year 2006 budget request is comprised of $20,866,000 in
salary costs and $1,900,000 for the operating budget of the Office of
the Secretary. The salary budget represents an increase over the fiscal
year 2005 budget as a result of (1) the costs associated with the
annual Cost of Living Adjustment in the amount of $672,000 and (2) an
additional $608,000 for merit increases and other staffing. The
operating budget represents an increase for (1) costs to be incurred
for the support and maintenance of systems upgrades for the gift shop
and stationery room and (2) costs to be incurred for the Curator's
storage space along with the relocation of Senate Security and
Captioning Services.
The net effect of my total budget request for fiscal year 2006 is
an increase of $1,480,000.
Our request in the operating budget is a sound one, enabling us to
meet our operating needs and provide the necessary services to the
United States Senate through our legislative, financial and
administrative offices.
In reference to the salary budget, first and foremost, this request
will enable us to continue to attract and retain talented and dedicated
individuals to serve the needs of the United States Senate.
OFFICE OF THE SECRETARY APPORTIONMENT SCHEDULE
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Amount
available Budget
Item fiscal year estimate Difference
2005, Public fiscal year
Law 108-447 2006
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Departmental operating budget:
Executive office............................................ $525,000 $550,000 +$25,000
Administrative services..................................... 1,135,000 1,290,000 +155,000
Legislative services........................................ 40,000 60,000 +20,000
-----------------------------------------------
Total operating budget.................................... 1,700,000 1,900,000 +200,000
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IMPLEMENTING MANDATED SYSTEMS
Two systems critical to our operation are mandated by law, and I
would like to spend a few moments on each to highlight recent progress,
and to thank the committee for your ongoing support of both.
Financial Management Information System (FMIS)
The Financial Management Information System, or FMIS, is used by
approximately 140 offices (100 Senators' offices, 20 Committees and 20
Leadership and support offices). Consistent with our five year
strategic plan, the Disbursing Office continues to modernize processes
and applications to meet the continued demand by our Senate offices for
efficiency, accountability and ease of use. Our goal is to move to a
paperless voucher system, improve the Web-FMIS system, and make payroll
and accounting system improvements.
During fiscal year 2004 and the first half of fiscal year 2005,
specific progress made on the FMIS project included:
--Web FMIS has been completely rewritten as a ``zero-client''
application accessed via a website, ``webfmis.senate.gov''. Our
implementation began in August 2004 with a pilot of 15 offices,
including Senators, Committees and Leadership & Support
offices. During the Fall, it continued for new office managers,
and in January the intranet version of Web FMIS was provided to
the new offices of the 109th Congress. As of the end of March,
it was in use by 60 offices. Roll out to the remaining offices
has been announced with a schedule of completion by the end of
April.
--The new version of Web FMIS provides functionality desired by the
Web FMIS users group, which participated in the design process.
The functionality enjoyed most by users is the automatic
determination of funding year to which a payment is charged
based on the obligation start date. This seemingly small change
has improved efficiency and reduced mistakes substantially.
Additionally, it has no files on the users PC, which improves
our ability to function in a disaster recovery situation.
--For the SAVI system, which enables Senate staff to create Expense
Summary Reports online and to check the status of reimbursement
payments, over a course of several upgrades, we provided
additional user functionality. Specifically, the upgrades
enabled users to prepare and submit Non-travel Expense Summary
Reports (in addition to Travel Expense Summary Reports), to
request e-mail notification of payments made via direct
deposit, to define their own log-on ids and to maintain their
own e-mail addresses; completed security enhancements; and
implemented a simplified web address ``savi.senate.gov'' and
architectural changes, which simplify disaster recovery
infrastructure at the ACF.
--As a non-Treasury disbursing office, the Senate pays bills via
direct deposit and checks. During 2004, we made substantial
progress on both fronts.
--In March 2004, we implemented use of laser checks. Staff and
vendors not receiving payments via direct deposit now
receive checks printed on a laser printer. This has several
benefits. Use of a standard laser printer enhances our
ability to work off-site, should the need arise, and
produces a higher quality print which prevents negotiation
of checks for an unintended dollar amount and helps the
Postal Service to deliver checks. Use of laser checks
required that the U.S. Treasury create a check and stub
form for use by the Senate.
--In May 2004, we offered direct deposit payment to all external
vendors. In 2002, we began making reimbursements to Senate
staff via direct deposit and in June 2003 we made our first
direct deposit payments to external vendors on a pilot
basis. Of the approximately 6,000 non-payroll payments made
in February 2005, overall, 59 percent were made via direct
deposit; of the approximately 2,000 reimbursements to
Senate staff, 87 percent were made via direct deposit and
of the approximately 4,000 payments to external vendors, 47
percent were made via direct deposit.
--The Sergeant at Arms staff use ADPICS and FAMIS, the mainframe
components of FMIS, for procurement activities. In 2004 we
contracted with Bearing Point to make system and reporting
enhancements to these systems that align system functionality
with SAA business practices. By the end of March 2005, the
requirements for the system enhancements were approved by the
SAA staff and the reports were delivered for testing.
--One of the goals of FMIS is to implement paperless voucher
processing. This requires implementation of electronic
signatures, and imaging of supporting documentation, both of
which present complex and challenging issues. Our focus has
been on revising the requirements for these functions,
including a phased approach for implementation (i.e., a pilot
vs. long term). In addition, we assessed the risks associated
with paperless voucher processing, identified policy and
process issues to be resolved, and began to analyze the
appropriate hardware/software acquisition strategy.
--Disaster operation services for FMIS are provided at the Alternate
Computer Facility. In December 2004, we conducted an intensive
two-day test of operating critical FMIS subsystems at this
location. Our tests of all mainframe systems (i.e., payroll,
ADPICS and FAMIS) were successful and we were able to simulate
making payroll and voucher payments via direct deposit and
check. Additionally, we were able to create, post, and print
documents via Web FMIS and ADPICS. Document printing has always
presented problems during past tests at other facilities;
however, the system configuration at the ACF has resolved this
problem.
--The computing infrastructure for FMIS is provided by the Sergeant
at Arms. Each year upgrades are made to the infrastructure
software. The major upgrade this year is implementation of a
new version of the mainframe operating system software, ``Z/
OS'', scheduled for the end of April 2005. This required two
steps, installation of an upgrade to the current operating
system, OS390, which was completed in October 2004, and the
upcoming implementation of Z/OS. These upgrades require FMIS
testing, both before implementation to identify and resolve any
incompatibilities, and after implementation to verify that all
functions are working properly.
During the remainder of fiscal year 2005 the following FMIS
activities are anticipated:
--Complete implementing the intranet version of Web FMIS in all
Senate offices.
--Implementing the system and reporting enhancements for the Sergeant
at Arms.
--Completing analysis of the appropriate hardware/software
acquisition strategy for electronic signatures, and imaging of
supporting documentation, and begin acquisition.
--Conducting an additional test of FMIS functionality at the
Alternate Computing Facility, including testing two FMIS sub-
systems, Web FMIS reports and SAVI, that were not previously
tested.
--Implementing e-mail notification to vendors of payments made via
direct deposit.
During fiscal year 2006 the following FMIS activities are
anticipated:
--Conducting a pilot of the technology for paperless payment. This
assumes identification of satisfactory hardware and software
for electronic signatures and imaging of supporting
documentation, and resolution of related policy and process
issues.
--Developing requirements for integrating the Funds Advance Tracking
System (FATS system) into FMIS. The FATS system, a stand-alone
PC-based system, tracks election cycle information used in the
voucher-review process, and tracks travel advances and petty
cash advances against dollar maximum and total allocation
rules.
--Implementing on-line distribution of payroll system reports.
A more detailed report on FMIS is included in the departmental
report of the Disbursing Office which follows.
Legislative Information System (LIS)
The LISAP project team is developing the Senate's legislative
editing XML application (LEXA), and the Office of the Senate
Legislative Counsel (SLC) began using it last year to draft
legislation. The SLC offered valuable feedback throughout the year
regarding LEXA's continued development as existing features were
enhanced and additional document types, such as amendments and reported
bills, were added to LEXA. The use of LEXA by the SLC has gradually
increased, and so far in the 109th Congress, approximately 75 percent
of the introduced and reported bills have been created as XML
documents. The LISAP project team is now working with the Office of the
Enrolling Clerk toward preparing engrossed and enrolled bills in XML.
The document management system (DMS) for the SLC will be
implemented once the SLC has completed the transition from XyWrite to
LEXA and a substantial number of drafts are created in XML. The SLC's
DMS will be integrated with LEXA and will provide a powerful tracking,
management, and delivery tool. The software used to convert locator
documents to XML was updated to provide a more robust tool, and a joint
project to convert the compilations of current law to an XML format is
nearing completion.
The Government Printing Office (GPO) also began using LEXA last
year to prepare and print XML documents as requested and to provide
support for LEXA as directed in the 2004 Legislative Branch
Appropriations Act. GPO took over maintenance and support of the coding
and style sheet portion of LEXA that converts an XML document to
locator for printing through Microcomp. GPO also developed the style
sheet that will be used to display XML documents on the LIS website
(www.congress.gov) and on thomas.loc.gov in a format that more closely
resembles the printed document (without page and line numbers).
CAPITOL VISITOR CENTER
While the Architect of the Capitol directly oversees this massive
and impressive project, I would like to briefly mention the ongoing
involvement of the Secretary's office in this endeavor. My colleague,
the Clerk of the House, and I continue to facilitate weekly meetings
with senior staff of the joint leadership of Congress to address and
hopefully quickly resolve issues that might impact the status of the
project or the operations of Congress in general.
In addition, I also facilitate weekly meetings with the Architect's
office for the senior staff of the Senate Sergeant at Arms, Capitol
Police, Rules Committee and Appropriations Committee, to address the
expansion space plans for the Senate and any issues with regard to the
CVC's construction that may directly impact Senate operations.
Although the construction creates numerous temporary inconveniences
to Senators, staff and visitors, completion of the Capitol Visitor
Center will bring substantial improvements in enhanced security and
visitor amenities, and its educational benefits for our visitors will
be tremendous.
CONTINUITY OF OPERATIONS AND EMERGENCY PREPAREDNESS PLANNING
The Office of the Secretary maintains a Continuity of Operations
(COOP) program to ensure that the Senate can fulfill its constitutional
obligations under any circumstances. Plans are in place to support
Senate floor operations both on and off Capitol Hill, and to permit
each department within the Office of the Secretary to perform its
essential functions during and after an emergency.
COOP planning in the Office of the Secretary began in late 2000.
Since that time, we have successfully implemented COOP plans during the
anthrax and ricin incidents, and have conducted roughly one dozen
drills and exercises to test and refine our plans. In conjunction with
the Senate Sergeant at Arms, Capitol Police, the Office of the
Attending Physician, and the Architect of the Capitol, we have
established and exercised Emergency Operations Centers, Briefing
Centers and Alternate Senate Chambers, both on and off Capitol Hill.
In addition, we have identified equipment, supplies and other items
critical to the conduct of essential functions, and have assembled
``fly-away kits'' for the Senate Chamber, and for each department of
the Office of the Secretary. Multiple copies of each fly-away kit have
been produced. Some are stored in our offices, and back-up kits are
stored nearby but off the main campus, as well as at other sites
outside the District of Columbia. This approach will enable the Office
of the Secretary to resume essential operations in 12 to 24 hours, even
if there is no opportunity to retrieve anything from our offices.
Today, the Office of the Secretary is prepared to do the following
in the event of an emergency: support Senate Floor operations in an
Alternate Senate Chamber within twelve hours on campus, and in 24 to 72
hours off campus, depending upon location; support an emergency
legislative session at a Briefing Center, if required; support Briefing
Center Operations at any of three designated locations within one hour;
and activate an Emergency Operations Center on campus or at Postal
Square within one hour.
Activities in the Past Year
During the past year, the Office of the Secretary continued to
update, refine and exercise emergency preparedness plans and
operations. Specific activities included the following: Activated an
Emergency Operations Center, Leadership Coordination Center and
selected departmental COOP plans during the ricin incident response;
participated in the Capitol Police Incident Command during the ricin
incident response; provided supplies to temporary offices in the
Capitol and Postal Square during the ricin incident response; conducted
an offsite Alternate Chamber exercise and a Briefing Center exercise;
and reviewed and updated the COOP plans of all departments of the
Office of the Secretary.
The central mission of the Office of the Secretary is to provide
the legislative, financial and administrative support required for the
conduct of Senate business. Our emergency preparedness programs are
designed to ensure that the Senate can carry out its Constitutional
functions under any circumstances. These programs are critical to our
mission, and they are a permanent, integral part of the Secretary's
ongoing operation.
MAINTAINING AND IMPROVING CURRENT AND HISTORIC LEGISLATIVE, FINANCIAL
AND ADMINISTRATIVE SERVICES
LEGISLATIVE OFFICES
The Legislative Department of the Office of the Secretary of the
Senate provides the support essential to Senators to perform their
daily chamber activities as well as the constitutional responsibilities
of the Senate. The department consists of eight offices--the Bill
Clerk, Captioning Services, Daily Digest, Enrolling Clerk, Executive
Clerk, Journal Clerk, Legislative Clerk, and the Official Reporters of
Debates--all supervised by the Secretary through the Legislative Clerk.
The Parliamentarian's office is also within the Legislative Department
of the Secretary of the Senate.
Each of the nine offices within the Legislative Department is
supervised by experienced veterans of the Secretary's office. The
average length of service of legislative supervisors is 20 years. There
is not one supervisor with less than 14 years of service. The
experience of these senior professional staff is a great asset for the
Senate. As in previous years and in order to ensure continued well-
rounded expertise, the legislative team has cross-trained extensively
among their specialties.
1. BILL CLERK
The Office of the Bill Clerk collects and records data on the
legislative activity of the Senate, which becomes the historical record
of official Senate business. The Bill Clerk's Office keeps this
information in its handwritten files and ledgers and also enters it
into the Senate's automated retrieval system so that it is available to
all House and Senate offices via the Legislative Information System
(LIS). The Bill Clerk records actions of the Senate with regard to
bills, resolutions, reports, amendments, cosponsors, public law
numbers, and recorded votes. The Bill Clerk is responsible for
preparing for print all measures introduced, received, submitted, and
reported in the Senate. The Bill Clerk also assigns numbers to all
Senate bills and resolutions. All the information received in this
office comes directly from the Senate floor in written form within
moments of the action involved. As a result, the Bill Clerk's Office is
generally regarded as the most timely and most accurate source of
legislative information.
The Bill Clerk's Office continues to provide Senate offices and the
public information on Senate legislative status with a high degree of
accuracy and speed, both through the Senate LIS system (when questions
on status concern legislation from prior days) and over the phone
(mostly for same-day information).
Legislative Activity
The Bill Clerk's Office processed less legislation and fewer roll
call votes during the second session of the108th Congress compared to
the first session of the 108th Congress. Below is a comparative summary
of the second sessions of the 107th and the 108th congresses, as well
as a comparative summary of both sessions of the 107th and the 108th
congresses:
------------------------------------------------------------------------
107th 108th
Congress, 2nd Congress, 2nd
Session Session
------------------------------------------------------------------------
Senate Bills............................ 1,298 1,032
Senate Joint Resolutions................ 23 16
Senate Concurrent Resolutions........... 67 66
Senate Resolutions...................... 170 204
Amendments Submitted.................... 2,287 1,857
House Bills............................. 298 322
House Joint Resolutions................. 12 12
House Concurrent Resolutions............ 84 87
Measures Reported....................... 406 317
Written Reports......................... 219 208
-------------------------------
Total Legislation................. 4,864 4,121
===============================
Roll Call Votes......................... 253 216
------------------------------------------------------------------------
For comparative purposes, here is a final cumulative summary of
both sessions of the 107th and the 108th congresses:
------------------------------------------------------------------------
107th Congress 108th Congress
------------------------------------------------------------------------
Senate Bills............................ 3,181 3,035
Senate Joint Resolutions................ 53 42
Senate Concurrent Resolutions........... 160 152
Senate Resolutions...................... 368 487
Amendments Submitted.................... 4,984 4,088
House Bills............................. 562 604
House Joint Resolutions................. 29 32
House Concurrent Resolutions............ 175 165
Measures Reported....................... 653 659
Written Reports......................... 351 428
-------------------------------
Total Legislation................. 10,516 9,692
===============================
Roll Call Votes......................... 633 675
------------------------------------------------------------------------
Assistance from the Government Printing Office (GPO)
The Bill Clerk's office maintains a good working relationship with
the Government Printing Office with a common goal to provide the best
service possible to meet the needs of the Senate. Toward this end, the
Government Printing Office continues to respond in a timely manner to
the Secretary's request through the Bill Clerk's office for the
printing of bills and reports, including the printing of priority
matters for the Senate Chamber. Specifically, the Secretary requested,
through the Bill Clerk, that GPO reprint (star print) roughly 40
measures during the course of the Congress, and that GPO expedite the
printing of slightly more than one hundred measures for consideration
by the Senate.
Projects
Amendment Tracking System (ATS).--Rules Committee staff approached
our office with the task of scanning submitted amendments onto the
Amendment Tracking System on LIS. The Rules Committee has identified a
need for Senate staff, to have all amendments submitted in the Senate
made available to them online shortly after being submitted, especially
during cloture. The Rules Committee also requested that the Secretary
through the Bill Clerk assess the feasibility of lifting the page
limitation for scanning amendments onto the ATS Indexer. In response,
the Bill Clerk contacted the Technology Development division of the
Sergeant at Arms office to outline the technical requirements needed to
implement such a request. A draft has now been completed. Once the
final version is delivered, the Secretary through the Bill Clerk, in
consultation with the Legislative Clerk, will ascertain the legislative
requirements needed in order for the staff to implement this request.
The system must be designed and implemented without sacrificing
critical services to the functioning of the Senate Chamber, and
specifically the amendment process.
Electronic Ledger System.--Shortly after the September 2001 attacks
and the subsequent anthrax attacks in the Capitol complex, the Bill
Clerk identified the need to have a electronic version of the official
Senate ledgers in order to ensure the integrity of the information
recorded in the ledgers. The electronic version will be portable for
use during possible emergency scenarios. At the clerk's request, the
Technology Development division of the Sergeant at Arms is working to
develop two separate functions of this electronic ledger system. One is
an electronic data entry system which will mimic the layout of the
current Senate ledgers printed by the Government Printing Office; the
other is a search function. Both of these programs will be housed on a
separate server to maintain the integrity of the ledger data. The
electronic ledger system is currently under development. To further
advance the project, the ELS project team at Postal Square has spent
much time updating and converting data.
2. OFFICE OF CAPTIONING SERVICES
The Office of Captioning Services provides realtime captioning of
Senate floor proceedings for the deaf and hard-of-hearing and
unofficial electronic transcripts of Senate floor proceedings to Senate
offices via the Senate Intranet.
Accuracy remains the watchword of Captioning Services. Overall
caption quality is monitored through translation data reports,
monitoring the captions in realtime and reviewing the caption files on
the Senate Intranet.
A cooperative effort between the Senate Rules Committee, the
Judiciary Committee, the Sergeant at Arms and the Secretary of the
Senate in fiscal year 2002 to develop a Pilot Project to realtime
caption Senate Committee Hearings resulted in a Judiciary Committee
Captioning Committee Pilot Project.
Voice recognition technology continues to improve and the Office of
Captioning Services is on the cutting edge of testing and evaluating
these products as they evolve. The Pilot Project to realtime caption
Judiciary Committee hearings employed the newest hardware and software
developed for voice recognition captioning.
During fiscal year 2005, considerable energy was expended to update
the hardware, software and documentation in our COOP flyway kit to
enhance the ability to successfully caption from a remote location.
The primary objective for fiscal year 2006 is to plan for the
procurement and installation of equipment and relocation of the Office
of Captioning Services to the Capitol Visitors Center.
3. DAILY DIGEST
The Senate Daily Digest serves seven principal functions:
--To render a brief, concise and easy-to-read accounting of all
official actions taken by the Senate in the Congressional
Record section known as the Daily Digest.
--To compile an accounting of all meetings of Senate committees,
subcommittees, joint committees and committees of conference.
--To enter all Senate and Joint committee scheduling data into the
Senate's web-based scheduling application system. Committee
scheduling information is also prepared for publication in the
Daily Digest in three formats: Day-Ahead Schedule;
Congressional Program for the Week Ahead; and the extended
schedule which actually appears in the Extensions of Remarks
section of the Congressional Record.
--To enter into the Senate's Legislative Information System all
official actions taken by Senate committees on legislation,
nominations, and treaties.
--To publish in the Daily Digest a listing of all legislation which
has become public law.
--To publish on the first legislative day of each month in the Daily
Digest a ``Resume of Congressional Activity'' which includes
all Congressional statistical information, including days and
time in session; measures introduced, reported and passed; and
roll call votes.
--To assist the House Daily Digest Editor in the preparation at the
end of each session of Congress a history of public bills
enacted into law and a final resume of congressional
statistical activity.
Committee Activity
Senate committees held a total of 787 meetings during the second
session, as contrasted with 930 meetings during the second session, of
the 107th Congress.
As more specifically defined above, all hearings and business
meetings (including joint meetings and conferences) are scheduled
through the Office of the Senate Daily Digest and are published in the
Congressional Record and entered in the web-based applications system
(Legislative Information System). Meeting outcomes are also published
by the Daily Digest in the Congressional Record each day.
Chamber Activity
The Senate was in session a total of 133 days, for a total of 1,031
hours and 31 minutes. There was one live quorum call and 216 recorded
votes. (A 20-Year Comparison of Senate Legislative Activity follows).
20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Senate Convened..................................... 1/3 1/21 1/6 1/25 1/3 1/23 1/3 1/3 1/5 1/25
Senate Adjourned.................................... 12/20 10/18 12/22 10/21 11/21 10/28 1/3/92 10/9 11/26 12/01
Days in Session..................................... 170 143 170 137 136 138 158 129 153 138
Hours in Session.................................... 1,25231" 1,27815" 1,21452" 1,12648" 1,00319" 1,25014" 1,20044" 1,09109" 1,26941" 1,24333"
Average Hours per Day............................... 7.4 8.9 7.1 8.2 7.4 9.1 7.6 8.5 8.3 9.0
Total Measures Passed............................... 583 747 616 814 605 716 626 651 473 465
Roll Call Votes..................................... 381 359 420 379 312 326 280 270 395 329
Quorum Calls........................................ 20 16 36 26 11 3 3 5 2 6
Public Laws......................................... 240 424 240 473 240 244 243 347 210 255
Treaties Ratified................................... 6 12 3 15 9 15 15 32 20 8
Nominations Confirmed............................... 55,918 39,893 46,404 42,317 45,585 42,493 45,369 30,619 38,676 37,446
Average Voting Attendance........................... 94.64 95.72 94.03 91.58 98.0 97.47 97.16 95.4 97.6 97.02
Sessions Convened Before 12 Noon.................... 119 117 131 120 95 116 126 112 128 120
Sessions Convened at 12 Noon........................ 38 25 12 12 14 4 9 ............ 6 9
Sessions Convened after 12 Noon..................... 13 1 25 5 27 17 23 10 15 17
Sessions Continued after 6 p.m...................... 104 92 97 37 88 100 102 91 100 100
Sessions Continued after 12 Midnight................ 7 15 6 7 9 13 6 4 9 7
Saturday Sessions................................... 3 2 3 ............ 1 3 2 2 2 3
Sunday Sessions..................................... 1 ............ 1 ............ ............ 2 ............ ............ ............ ............
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY--Continued
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Senate Convened..................................... 1/4 1/3 1/3 1/27 1/6 1/24 1/3 1/23 1/7 1/20
Senate Adjourned.................................... 1/3/96 10/4 11/13 10/21 11/19 12/15 12/20 11/20 12/9 12/8
Days in Session..................................... 211 132 153 143 162 141 173 149 167 133
Hours in Session.................................... 1,83910" 1,03645" 1,09307" 1,09505" 1,18357" 1,01751" 1,23615" 1,04223" 1,45405" 1,03131"
Average Hours per Day............................... 8.7 7.8 7.1 7.7 7.3 7.2 7.1 7.0 8.7 7.7
Total Measures Passed............................... 346 476 386 506 549 696 425 523 590 663
Roll Call Votes..................................... 613 306 298 314 374 298 380 253 459 216
Quorum Calls........................................ 3 2 6 4 7 6 3 2 3 1
Public Laws......................................... 88 245 153 241 170 410 136 241 198 300
Treaties Ratified................................... 10 28 15 53 13 39 3 17 11 15
Nominations Confirmed............................... 40,535 33,176 25,576 20,302 22,468 22,512 25,091 23,633 21,580 24,420
Average Voting Attendance........................... 98.07 98.22 98.68 97.47 98.02 96.99 98.29 96.36 96.07 95.54
Sessions Convened Before 12 Noon.................... 184 113 115 109 118 107 140 119 133 104
Sessions Convened at 12 Noon........................ 2 15 12 31 17 25 10 12 4 9
Sessions Convened after 12 Noon..................... 12 7 7 2 19 24 21 23 23 21
Sessions Continued after 6 p.m...................... 158 88 96 93 113 94 108 103 134 129
Sessions Continued after 12 Midnight................ 3 1 ............ ............ ............ ............ 2 3 8 2
Saturday Sessions................................... 5 1 1 1 3 1 3 ............ 1 2
Sunday Sessions..................................... 3 ............ 1 ............ ............ 1 ............ ............ 1 1
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Prepared by the Senate Daily Digest--Office of the Secretary.
Technology Updates and Government Printing Office
The Daily Digest continues to send the complete publication at the
end of each day to the Government Printing Office electronically. The
Editor, Assistant Editor, and Committee Scheduling Coordinator function
solely within the framework of adaptability to preparing Digest copy on
computers, storing and sharing information, permitting prompt editing,
and the final transfer to floppy disc. The Digest continues the
practice of sending a disc along with a duplicate hard copy to GPO,
even though GPO receives the Digest copy by electronic transfer long
before hand delivery is completed adding to the timeliness of
publishing the Congressional Record. The Digest office continues to
feel comfortable with this procedure, both to allow the Digest Editor
to physically view what is being transmitted to GPO, and to allow GPO
staff to have a comparable final product to cross reference.
The Daily Digest continues the practice of discussing with the
Government Printing Office problems encountered with the printing of
the Digest, and are pleased to report that with the onset of electronic
transfer of the Digest copy, occurrences of editing corrections or
transcript errors are infrequent.
The Digest office continues to work closely with Senate computer
staff to refine the LIS/DMS system, including further refinements to
the Senate Committee Scheduling application which will improve the data
entry process. The committee scheduling application was developed back
in 1999 as a server-based web-enabled application that is browser
accessible to all Senate offices on Capitol Hill. It was designed to
replace the committee scheduling functions and reports that were
supported by the mainframe-based Senate Legis System.
Office Summary
The Daily Digest consults on a daily basis with the Senate
Parliamentarians, Legislative, Executive, Journal, and Bill Clerks, the
Official Reporters of Debates, as well as the staffs of the Policy
Committees and other committee staffs, and is grateful for the
continued support from these offices.
4. ENROLLING CLERK
The Enrolling Clerk prepares, proofreads, corrects and prints all
legislation passed by the Senate prior to its transmittal to the House
of Representatives, the White House, the National Archives, the
Secretary or State and/or the United States Claims Court.
In 2004, 86 enrolled bills (transmitted to the President) and 14
concurrent resolutions (transmitted to Archives) were prepared,
proofread, corrected and printed on parchment.
A total of 673 additional pieces of legislation in one form or
another were passed or agreed to by the Senate, requiring processing by
the Enrolling Clerk.
5. EXECUTIVE CLERK
The Executive Clerk prepares an accurate record of actions taken by
the Senate during executive sessions (proceedings on nominations and
treaties) which is published as the Executive Journal at the end of
each session of Congress. The Executive Clerk also prepares daily the
Executive Calendar as well as all nomination and treaty resolutions for
transmittal to the President. Additionally, the Executive Clerk's
office processes all executive communications, presidential messages
and petitions and memorials.
Nominations
During the second session of the 108th Congress, there were 340
nomination messages sent to the Senate by the President, transmitting
24,420 nominations to positions requiring Senate confirmation and 26
messages withdrawing nominations previously sent to the Senate. Of the
total nominations transmitted, 336 were for civilian positions other
than lists in the Foreign Service, Coast Guard, NOAA, and Public Health
Service. In addition, there were 4,077 nominees in the ``civilian
list'' categories named above. Military nominations received this
session totaled 20,003 (6,077--Air Force, 5,324--Army, 7,375--Navy and
1,227--Marine Corps). The Senate confirmed 27,047 nominations this
session. Pursuant to the provisions of paragraph six of Senate Rule
XXXI, 4,129 nominations were returned to the President during the
second session of the 108th Congress.
Treaties
There were 14 treaties transmitted to the Senate by the President
during the second session of the 108th Congress for its advice and
consent to ratification, which were ordered printed as treaty documents
for the use of the Senate (Treaty Doc. 108-15 through 108-28). The
Senate gave its advice and consent to 18 treaties with various
conditions, declarations, understandings and provisos to the
resolutions of advice and consent to ratification.
Executive Reports and Roll Call Votes
There were 14 executive reports relating to treaties ordered
printed for the use of the Senate during the second session of the
108th Congress (Executive Report 108-9 through 108-14). The Senate
conducted 32 roll call votes in executive session, all on or in
relation to nominations.
Executive Communications
For the second session of the 108th Congress, 4,932 executive
communications, 212 petitions and memorials and 39 Presidential
messages were received and processed.
Legislative Information System (LIS) Update
The staff consulted with the Senate Computer Center during the year
concerning the ongoing improvements to the LIS concerning the
processing of nominations, treaties, executive communications,
presidential messages and petitions and memorials.
The Senate Computer Center developed a new program for the
Executive Calendar that has proved more efficient and error free. The
SAA computer programming and systems design staff have were very
helpful in consulting with our office concerning our requirements. The
SAA also has underway a much needed redesign of a program for creating
and publishing the Executive Journal.
6. JOURNAL CLERK
The Journal Clerk takes notes of the daily legislative proceedings
of the Senate in the ``Minute Book'' and prepares a history of bills
and resolutions for the printed Journal of the Proceedings of the
Senate, or Senate Journal, as required by Article I, Section V of the
Constitution. The Senate Journal is published each calendar year. In
2004, the Journal Clerk completed the production of the 1,146 page
Senate Journal for 2003.
The Journal staff each take 90 minute turns at the rostrum in the
Senate Chamber, noting by hand for inclusion in the Minute Book (i) all
orders (entered into by the Senate through unanimous consent
agreements), (ii) legislative messages received from the President of
the United States, (iii) messages from the House of Representatives,
(iv) legislative actions as taken by the Senate (including motions made
by Senators, points of order raised, and roll call votes taken), (v)
amendments submitted and proposed for consideration, (vi) bills and
joint resolutions introduced, and (vii) concurrent and Senate
resolutions as submitted. These notes of the proceedings are then
compiled in electronic form for publication.
After extensive testing, the LIS Senate Journal Authoring System
was completed in early 2004. The Journal staff utilized this system
through all phases of production for the first time to successfully
compile the 2004 Journal which was sent to the Government Printing
Office for printing in mid-March.
7. LEGISLATIVE CLERK
The Legislative Department provides support essential to Senators
in carrying out their daily chamber activities as well as the
constitutional responsibilities of the Senate. The Legislative Clerk
sits at the Secretary's desk in the Senate Chamber and reads aloud
bills, amendments, the Senate Journal, Presidential messages, and other
such materials when so directed by the Presiding Officer of the Senate.
The Legislative Clerk calls the roll of members to establish the
presence of a quorum and to record and tally all yea and nay votes.
This office prepares the Senate Calendar of Business, published each
day that the Senate is in session, and prepares additional publications
relating to Senate class membership and committee and subcommittee
assignments. The Legislative Clerk maintains the official copy of all
measures pending before the Senate and must incorporate into those
measures any amendments that are agreed to. This office retains custody
of official messages received from the House of Representatives and
conference reports awaiting action by the Senate. This office is
responsible for verifying the accuracy of information entered into the
LIS system by the various offices of the Secretary.
Additionally, the Legislative Clerk acts as supervisor for the
Legislative Department providing a single line of communication to the
Assistant Secretary and Secretary, and is responsible for overall
coordination, supervision, scheduling, and cross training.
Summary of Activity
The second session of the 108th Congress completed its legislative
business and adjourned sine die on December 8, 2004. During 2004, the
Senate was in session 133 days and conducted 216 roll call votes. There
were 317 measures reported from committees, 663 total measures passed,
and there were 296 items remaining on the Calendar at the time of
adjournment. In addition, there were 1,857 amendments processed.
Cross-Training
Recognizing the importance of planning for the continuity of Senate
business, under both normal and possibly extenuating circumstances,
cross-training is strongly emphasized among the Secretary's legislative
staff. To ensure additional staff are trained to perform the basic
floor responsibilities of the Legislative Clerk, as well as the various
other floor-related responsibilities of the Secretary, approximately
half of the legislative staff are currently involved or have recently
been involved in cross-training.
Legislative Information System (LIS) Enhancement
In an effort to monitor and improve the Legislative Information
System (LIS), the Legislative Clerk acts as the liaison between
legislative clerks and technical operations staff of the Sergeant at
Arms by scheduling and conducting meetings when necessary. Also, the
Legislative Clerk reviews, prioritizes, and forwards change requests
from the clerks to the technical operations staff. Over the past year,
45 change requests submitted by the clerks to improve the system have
been implemented.
8. OFFICIAL REPORTERS OF DEBATES
The Official Reporters of Debates prepare and edit for publication
in the Congressional Record a substantially verbatim report of the
proceedings of the Senate, and serve as liaison for all Senate
personnel on matters relating to the content of the Record. The
transcript of proceedings, submitted statements and legislation are
transmitted in hard copy and electronically throughout the day to the
Government Printing Office (GPO).
The office works diligently to assure that the electronic
submissions to GPO are timely and efficient. The Official Reporters
encourage offices to make submissions to the Record by electronic
means, which results in both a tremendous cost saving to the Senate and
minimizes keyboard errors.
To further efficiency, the office provides guidelines on format for
the Congressional Record. These provide a helpful tool to assure an
accurate and timely printing of each day's Record.
The office updated its ProCat transcription software at the
beginning of last year. With the help of the Information Systems
department, the office was able to make the necessary adjustments to
accomplish the latest software update.
9. PARLIAMENTARIAN
The Parliamentarian's Office continues its performance of normal
legislative duties. These include advising the Chair, Senators and
their staff, as well as committee staff, House members and their
staffs, administration officials, the media and members of the general
public, on all matters requiring an interpretation of the Standing
Rules of the Senate, the precedents of the Senate, unanimous consent
agreements, as well as provisions of public law affecting the
proceedings of the Senate.
The Parliamentarians work in close cooperation with the Senate
leadership and their floor staffs to coordinate all of the business on
the Senate floor. The Parliamentarian or one of his assistants is
always present on the Senate floor when the Senate is in session,
standing ready to assist the Presiding Officer in his or her official
duties, as well as to assist any other Senator on procedural matters.
The Parliamentarians work closely with the staff of the Vice President
of the United States and the Vice President himself whenever he
performs his duties as President of the Senate.
The Parliamentarians monitor all proceedings on the floor of the
Senate, advise the Presiding Officer on the competing rights of the
Senators on the floor, and advise all Senators as to what is
appropriate in debate. The Parliamentarians keep track of the
amendments offered to the legislation pending on the Senate floor, and
monitor them for points of order. In this respect, the Parliamentarians
reviewed more than 1,000 amendments during 2004 to determine if they
met various procedural requirements, such as germaneness. The
Parliamentarians also reviewed thousands of pages of conference reports
to determine what provisions could appropriately be included therein.
The Office of the Parliamentarian is responsible for the referral
to the appropriate committees of all legislation introduced in the
Senate, all legislation received from the House, as well as all
communications received from the executive branch, state and local
governments, and private citizens. In order to perform this
responsibility, the Parliamentarians do extensive legal and legislative
research. During 2004, the Parliamentarian and his assistants referred
1,271 measures and 5,183 communications to the appropriate Senate
committees. The office worked extensively with Senators and their
staffs to advise them of the jurisdictional consequences of particular
drafts of legislation, and evaluated the jurisdictional effect of
proposed modifications in drafting. The office continues to address the
jurisdictional questions posed by the creation of the Department of
Homeland Security, which now has responsibility for hundreds of issues
previously in the jurisdiction of other Senate committees, by the
adoption of S. Res. 445 reorganizing intelligence and homeland security
jurisdiction in the Senate, and by the enactment of the Intelligence
Reform and Terrorism Prevention Act of 2004. The Parliamentarians have
made dozens of decisions about the committee referrals of nominations
for new positions created in Homeland Security, nominations for
positions which existed before the department was created but whose
responsibilities have changed, and hundreds of legislative proposals
concerning the department's responsibilities.
The staff of the Parliamentarian's Office is also frequently called
on to analyze and advise Senators on a great number of issues arising
under the Congressional Budget Act of 1974. The decisions made by the
Parliamentarians on these matters were a significant factor in the
consideration of the President's budgetary proposals, and the overall
Congressional approach to its budget.
Additionally, in the last four years, rules relating to legislation
on appropriations bills, and the scope of conference reports on all
bills were reinstated. This has opened up hundreds of Senate amendments
to renewed scrutiny by the Parliamentarians, and has meant that the
Parliamentarians now have the responsibility of potentially reviewing
every provision of every conference report considered by both houses of
Congress.
The Parliamentarians have taken the lead in the Senate in analyzing
the need for emergency procedural authorities of Congress generally,
and the Senate in particular. The Parliamentarians took the initiative
that led to the adoption of S. Res. 296 on February 3, 2004, which
granted certain emergency authorities to enable the Senate leadership
to alter the Senate's schedule in certain emergency situations.
In 2004, as in all election years, the Parliamentarians received
all of the certificates of election of Senators elected or reelected to
the Senate, and reviewed them for sufficiency and accuracy, returning
those that were defective and reviewing their replacements. Also in
2004, as in all Presidential election years, the Parliamentarians
worked with other professional staff of the Secretary of the Senate and
our House counterparts to prepare for the orderly conduct of the joint
session of Congress to count the electoral ballots for President and
Vice President. The Parliamentarians reviewed the electoral ballots for
President and Vice President sent by all the states and the District of
Columbia to the Vice President, and held several briefings with the
Vice President and his staff and the House Parliamentarians regarding
the Vice President's routine duties while presiding over the joint
session of Congress to count the electoral ballots.
FINANCIAL OPERATIONS: DISBURSING OFFICE
Disbursing Office Organization
The mission of the Senate Disbursing Office is to provide efficient
and effective central financial and human resource data management,
information and advice to the distributed, individually managed
offices, and to Members and employees of the United States Senate. To
accomplish this mission, the Senate Disbursing Office manages the
collection of information from the distributed accounting locations in
the Senate to formulate and consolidate the agency level budget,
disburse the payroll, pay the Senate's bills, prepare auditable
financial statements, and provide appropriate counseling and advice.
The Senate Disbursing Office collects information from Members and
employees that is necessary to maintain and administer the retirement,
health insurance, life insurance, and other central human resource
programs. The DO provides responsive, personal attention to Members and
employees on a non-biased and confidential basis. The Senate Disbursing
Office also manages the distribution of central financial and human
resource information to the individual Member Offices, Committees, and
Administrative and Leadership offices in the Senate while maintaining
the appropriate control of information for the protection of individual
Members and Senate employees.
To support the mission of the Senate Disbursing Office, the
organization is structured in a manner that is intended to enhance its
ability to provide quality work, maintain a high level of customer
service, promote good internal controls, efficiency and teamwork, and
provide for the appropriate levels of supervision and management. The
long-term financial needs of the Senate are best served by an
organization staffed with highly trained professionals who possess a
high degree of institutional knowledge, sound judgement, and
interpersonal skills that reflect the unique nature of the United
States Senate.
Deputy for Benefits and Financial Services
The primary responsibility of this position is to provide expertise
on Federal retirement and benefits, payroll, and front office
processes. Coordination of the interaction between the Financial
Services, Employee Benefits, and Payroll sections is also a major
responsibility of the position. Planning and project management of new
computer systems and programs is also a key function. Ensuring that job
processes are efficient and up to date, modifying computer support
systems, implementing regulatory and legislated changes, and designing
and producing up to date forms for use in all three sections are
additional areas of responsibility.
In November 2003, it was determined that the new IBM Mainframe
operating system being released would not support our payroll system.
An accelerated system implementation was required, so instead of the
normal eighteen-month window, this implementation had to be completed
in only eight months. A team to address the situation was composed of
Disbursing Office staff with the Deputy as the project lead, key
Sergeant at Arms personnel and outside contractors. The system was
successfully tested and implemented as planned on August 1, 2004. The
payroll system was brought up to web accessible status, a myriad of
small problems was corrected, and a number of new functions were added
to enable payroll to more efficiently handle the Senate's needs.
In January, final touches on the Document Imaging System were
completed and the first documents, the 2003 W-2s, were loaded into it.
The Front Office, Employee Benefits, Payroll and Administrative
sections' personnel were trained in the use of the system and the old
procedure for the reissue of W-2 copies was discontinued. During the
next few months, copies of the W-2s going as far back as 1998 were
added to the files.
In March, many of the forms and procedures for the Student Loan
Repayment Program were examined and revised to increase accuracy and
efficiency of processing.
In September, the monthly payroll data provided to the Accounting
Section was converted to e-format for transmittal to the Office of
Personnel Management.
In November, reports and projections for Agency contributions to be
uploaded into the Accounting system were addressed. Requirements were
detailed, and during the month the payroll upload portion was completed
and the Accounting group is now working on their portion of the
project.
Front Counter--Administrative and Financial Services
The Front Counter is the main service area of all general Senate
business and financial activity. The Front Counter maintains the
Senate's internal accountability of funds used in daily operations.
Reconciliation of such funds is executed on a daily basis. The Front
Counter provides training to newly authorized payroll contacts along
with continuing guidance to all contacts in the execution of business
operations. It is the receiving point for most incoming expense
vouchers, payroll actions, and employee benefits related forms, and is
the initial verification point to ensure that paperwork received in the
Disbursing Office conforms to all applicable Senate rules, regulations,
and statutes. The Front Counter is the first line of service provided
to Senate Members, Officers, and employees. All new Senate employees
(permanent and temporary) who will work in the Capitol Hill Senate
offices are administered the required oath of office and personnel
affidavit and provided verbal and written detailed information
regarding their pay and benefits. Authorization is certified to new and
state employees for issuance of their Senate identification card.
Advances are issued to Senate staff authorized for an advance for
official Senate travel. Cash and check advances are entered and
reconciled in the Funds Advance Tracking System (FATS). Repayment of
travel advances is executed after processing of certified expenses is
complete. Travelers' checks are available on a non-profit basis to
assist the traveler. Numerous inquiries are handled daily, ranging from
pay, benefits, taxes, voucher processing, reporting, laws, and Senate
regulations, and must always be answered accurately and fully to
provide the highest degree of customer service. Cash and checks
received from Senate entities as part of their daily business are
handled through the Front Counter and become part of the Senate's
accountability of federally appropriated funds and are then processed
through the Senate's general ledger system.
General Activities
The Front Counter processed approximately 2,100 cash advances,
totaling approximately $1.2 million and initialized 700 check/direct
deposit advances, totaling approximately $780,000.
Received and processed more than 27,000 checks, totaling over
$3,450,000. Administered Oath and Personnel Affidavits to more than
3,200 new Senate staff and advised them of their benefits.
Maintained brochures for 10 Federal health carriers and distributed
approximately 4,000 brochures to new and existing staff during the
annual FEHB Open Season.
Provided 36 training sessions to new Office Managers.
The Front Office operations continued its daily reconciliation of
operations without any auditable variation; continued to provide
training and guidance to new Office Managers and business contacts; and
spearheaded the advance processing of paperwork of the nine incoming
offices resulting from the November elections. A major emphasis was
placed on assisting employees in maximizing their Thrift Savings Plan
contributions and making them aware of the Thrift Savings Plan catch up
program when applicable. Front Office operations continued to provide
the Senate community with prompt, courteous, and informative advice
regarding Disbursing operations.
Payroll Section
The Payroll Section maintains the Human Resources Management System
and is responsible for the following: processing, verifying, and
warehousing all payroll information submitted to the Disbursing Office
by Senators for their personal staff, by Chairmen for their committee
staff, and by other elected officials for their staff; issuing salary
payments to the above employees; rectifying returns of student loan
allowance payments, jointly maintaining the Automated Clearing House
(ACH) FEDLINE facilities with the Accounts Payable Section for the
normal transmittal of payroll deposits to the Federal Reserve;
distributing the appropriate payroll expenditure and allowance reports
to the individual offices; issuing the proper withholding and agency
contributions reports to the Accounting Department; and transmitting
the proper Thrift Savings Plan (TSP) information to the National
Finance Center (NFC), while maintaining earnings records for
distribution to the Social Security Administration, and maintaining
employees' taxable earnings records for W-2 statements, prepared by
this section. The Payroll Section is also responsible for the payroll
expenditure data portion of the Report of the Secretary of the Senate.
General Activities
The Payroll Section processed a January 1, 2004 cost of living
increase of 2.12 percent. This was a preliminary cost of living
increase based on the President's recommended plan at the time. The
payroll section later processed a second cost of living increase on
March 1, 2004 when Congress set the final cost of living rate of 4.42
percent. Payroll was able to offer the offices several scenarios to
retroactively implement the COLA.
The Payroll Section maintained the normal schedule of processing
TSP open season forms.
Employees took full advantage of the increase of TSP deductions
making the most of the new 14 percent/$13,000.00 maximum. For those
employees over 50 years of age the TSP catch-up programs provided them
an opportunity to make additional contributions in excess of the
standard program.
January 2004 represented the first full year for the processing of
Flexible Spending Accounts and Long Term Care Accounts. The section has
found that the files received for each of the above items were
challenging as the third party vendors had not done business with the
Federal Government in the past and were unfamiliar with standard
processing procedures.
The section helped the SAA's Information Technology staff upgrade
the Payroll/Personal System from 31 bit technology to 64 bit
technology. This upgrade enabled better security and additional Web
based access to Disbursing Office Data. Each member of the section
assisted in the testing and evaluation of the new product. The upgraded
system was successfully put into production August 1, 2004.
The elections of 2004 focused the efforts of the Payroll Section on
preparing the system for the opening of incoming members' offices and
the closing of departing members' offices.
The Payroll Section participated in the December disaster recovery
testing at the Alternate Computer Facility (ACF). Members of the
section were able to access and process data to the computer at ACF
from several locations and various computer connections. Finally, set-
up of the ACH Fedline II system was completed. It established proper
connections with the Federal Reserve to ensure that processed payrolls
and vouchers could be transmitted from the ACF.
Employee Benefits Section
The primary responsibilities of the Employee Benefits Section (EBS)
are administration of health insurance, life insurance and all
retirement programs for Members and employees of the Senate. This
includes counseling, processing of paperwork, research, dissemination
of information and interpretation of retirement and benefits laws and
regulations. In addition, the sectional work includes research and
verification of all prior federal service and prior Senate service for
new and returning appointees. EBS provides this information for payroll
input and once Official Personnel Folders and Transcripts of Service
are received, verifies the accuracy of the information provided and
reconciles as necessary. Transcripts of Service including all official
retirement and benefits documentation are provided to other federal
agencies when Senate Members and staffers are hired elsewhere in the
government. EBS processes employment verifications for loans, the Bar
Exam, the FBI, OPM, and DOD, among others. Unemployment claim forms are
completed, and employees are counseled on their eligibility. Department
of Labor billings for unemployment compensation paid to Senate
employees are reviewed in EBS and submitted by voucher to the
Accounting Section for payment. Designations of Beneficiary for FEGLI,
CSRS, FERS, and unpaid compensation are filed and checked by EBS.
In 2004 OPM announced that there would be a FEGLI Open Season for
employees to elect new or additional life insurance coverage. EBS
drafted Open Season informational flyers and notified employees
electronically and via mail outs. An innovative step taken with this
mail out was to have FEGLI send direct notification to Senate
employees, which provided more timely notice and saved mailing expenses
to the Senate. Numerous employees were counseled and approximately 350
Senate employees made FEGLI changes during the Open Season.
In 2003 as part of our COOP goals, EBS worked with the Deputy for
Benefits and Financial Services, the Senate Computer Center and other
DO staff to outline the needs and parameters required for development
and implementation of a document imaging system for use in
electronically reproducing employee personnel folders. During 2004 EBS
redesigned the file room to accommodate a new employee hired to assist
with the document scanning as well as the document imaging hardware. In
mid-2004 implementation of the document imaging system was achieved.
This required extensive training and modification of many procedures
and the forms-flow from EBS and Payroll to the file room as well as the
flow of forms within the file room. Modification of procedures will
continue as warranted. This system will allow computer-based access to
new employee personnel folders and documents as well as the ability to
access them from an off-site facility. To complete our COOP readiness
with respect to employee personnel folder access, one future goal is to
contract out the scanning of all ``prior'' employee personnel folder
documents that are housed in the DO file room.
Shortly before the onset of the FEHB Open Season, OPM announced
that it would offer a new type of health plan to employees: High
Deductible Health Plans, which incorporate a Health Savings Account
(HSA) and a Health Reimbursement Arrangement (HRA). As these plans are
vastly different than those previously offered in the FEHB program, EBS
worked diligently to become educated in all aspects of these plans and
to understand the similarities and differences between HSAs, FSAs and
HRAs. Many employees were counseled on the aspects of these new plans.
The annual FEHB Open Season was held and approximately 500
employees changed plans. These changes were processed and reported to
carriers in record time. This year we were again able to offer an
exciting tool for Senate employees. The Checkbook on-line Guide to
Health Plans was made available to research and compare FEHB plans.
This tool will remain available to staff throughout the year. As
awareness and understanding of this valuable tool has increased,
feedback is positive. Once again, the Disbursing Office hosted an FEHB
Open Season Health Fair, which was attended by about 700 employees and
as an additional service, it was open to all other federal employees on
the Hill, including House, Capitol Police, Architect of the Capitol and
Senate Restaurant employees. In addition to having health plan
representatives available to provide information and answer questions,
representatives from FSA Feds and Long Term Care Insurance were in
attendance as well.
While retirement case processing was about average for the year,
retirement planning and counseling was brisk in the second half of 2004
due to the impending retirement of 8 Senators, and the dissolution of
their staffs and the potential changes to committee staffs. This
resulted in the counseling of hundreds of employees including extensive
research and calculation of Statements of Tentative Retirement
Computations. Approximately 95 retirement cases were processed
(including 8 death cases).
Seminars were held for outgoing Members' staffs, as well as
committees facing potential reorganization. Information disseminated
spanned retirement, Thrift Savings Plan, health and life insurance, and
unemployment compensation. Due to the large post-election turnover, EBS
also hosted a seminar with the D.C. Office of Employment Services for
outgoing staff who wished to apply for unemployment compensation. This
opportunity for staff was well received.
There was a great deal of turnover and rehire in 2004, as employees
left staff to work on campaigns and then returned to the Senate after
the elections. This caused an increase in appointments to be researched
and processed, retirement records to be closed out, termination
packages of benefits information to be compiled and mailed out, and
health insurance registrations to be processed. Transcripts of service
for employees going to other federal agencies, and other tasks
associated with employees changing jobs remained constant this year.
These required prior employment research and verification, new FEHB,
FEGLI, CSRS, FERS and TSP enrollments, and the associated requests for
backup verification.
The government-wide CLER program for health insurance enrollment
reconciliation, now in its third year, has finally become a usable and
effective tool. Through much diligence and effective problem solving,
EBS was able to assist with the improvements to this program.
EBS continues to upgrade the information available on the DO
Webster site and has added more downloadable forms. Newer video
technologies and links are routinely used. In addition, EBS has been
developing many computer-based forms and calculators for use in
providing benefits information and estimates.
Two detailed Power Point retirement seminars on CSRS and FERS were
updated and conducted for interested Senate staff. The seminars were
well attended and well received.
Additionally EBS staff regularly provided a panel participant for
the monthly New Staff Orientation seminars and quarterly Senate
Services Fairs held by the Office of Education and Training.
Interagency meetings were attended with time being spent on the
FEGLI Open Season, guidance on the new FEHB plans, as well as
continuing education and guidance on the FSA
Program, LTCI, and the continuing TSP program changes and
enhancements.
Based on the continued operations in Iraq and the call to active
duty of military reservists, the volume of Senate employees being
placed in a Military Leave Without Pay (LWOP) status and subsequently
returned to pay status continued to be elevated throughout 2004.
Counseling and administration of their retirement and benefits was
handled by EBS.
Telephone inquiries, though not specifically tracked, continued at
high levels, with the EBS staff of 7 pressed to answer calls
thoroughly, yet quickly enough to keep lines open.
Disbursing Office Financial Management
Headed by the Deputy for Financial Management, the mission of
Disbursing Office Financial Management (DOFM) is to coordinate all
central financial policies, procedures, and activities to process and
pay expense vouchers within reasonable time frames, to work toward
producing an auditable consolidated financial statement for the Senate
and to provide professional customer service, training and confidential
financial guidance to all Senate accounting locations. In addition, the
Financial Management group is responsible for the compilation of the
annual operating budget of the United States Senate for presentation to
the Committee on Appropriations as well as for the formulation,
presentation and execution of the budget for the Senate. On a
semiannual basis, this group is also responsible for the compilation,
validation and completion of the Report of the Secretary of the Senate.
DOFM is segmented into three functional departments: Accounting,
Accounts Payable, and Budget. The Accounts Payable Department is
subdivided into three sections: The Audit group, the Disbursement group
and the Vendor/SAVI group. The Deputy coordinates the activities of all
three departments, establishes central financial policies and
procedures, acts as the primary liaison to the Human Resources
Administrator, and carries out the directives of the Financial Clerk
and the Secretary of the Senate.
Accounting Department
During fiscal year 2004, the Accounting Department approved nearly
48,000 expense reimbursement vouchers, processed 1,300 deposits for
items ranging from receipts received by the Senate operations, such as
the Senate's Revolving Funds, to canceled subscription refunds from
Member Offices. The number of vouchers that the Accounting Department
approved decreased compared to fiscal year 2003, due to the Senate
Committee on Rules and Administration increasing the sanctioning
authority delegated to the Financial Clerk of the Senate from $35.00 or
less to $100.00 or less. General ledger maintenance also prompted the
entry of thousands of adjustment entries that include the entry of all
appropriation and allowance funding limitation transactions, all
accounting cycle closing entries, and all non-voucher reimbursement
transactions such as payroll adjustments, COLA (cost of living) budget
uploads, stop payment requests, travel advances and repayments, and
limited payability reimbursements.
This year the Accounting Department assisted in the validation of
various system upgrades and modifications, including the testing
required to implement Web Release 9.0 and the upgrade to a 64 bit
mainframe operating system. During January 2004, the Accounting
Department, with assistance from a contractor, Bearing Point, completed
the 2003 year-end process to close and reset revenue, expense and
budgetary general ledger accounts to zero. During June 2004, we
successfully tested and implemented in Federal FAMIS another document
purge including the archiving of Web report data for lapsed years.
Further, toward the end of the fiscal year, the financial file rollover
was performed to update FAMIS' tables and create the new index codes
needed to accommodate data for fiscal year 2005. With the September
2004 closing and as a result of looking into ways to modernize the
monthly reporting of checks written by reel tape, the Accounting
Department tested and implemented (with assistance from the SAA and
Bearing Point) the electronic transmission of check data to Treasury
via a secure dial-up.
The Department of the Treasury's monthly financial reporting
requirements includes a Statement of Accountability that details all
increases and decreases to the accountability of the Secretary of the
Senate, such as checks issued during the month and deposits received,
as well as a detailed listing of cash on hand. Also, on a monthly
basis, reported to the Department of the Treasury is the Statement of
Transactions According to Appropriations, Fund and Receipt Accounts
that summarizes all activity at the appropriation level of all monies
disbursed by the Secretary of the Senate through the Financial Clerk of
the Senate. All activity by appropriation account is reconciled with
the Department of the Treasury on a monthly and annual basis. The
annual reconciliation of the Treasury Combined Statement is also used
in the reporting to the Office of Management and Budget (OMB) as part
of the submission of the annual operating budget of the Senate.
This year, the Accounting Department transmitted all Federal tax
payments for Federal, Social Security, and Medicare taxes withheld from
payroll expenditures, as well as the Senate's matching contribution for
Social Security and Medicare to the Federal Reserve Bank. The
Department also performed quarterly reporting to the Internal Revenue
Service (IRS) and annual reporting and reconciliation to the IRS and
the Social Security Administration. Payments for employee withholdings
for state income taxes were reported and paid on a quarterly basis to
each state with applicable state income taxes withheld. Monthly
reconciliations were performed with the National Finance Center
regarding the employee withholdings and agency matching contributions
for the Thrift Savings Plan. Starting in August, the Accounting Group
began transmitting electronically all employee withholdings and agency
contributions for life and health insurance, and federal retirement
programs to the Office of Personnel Management (OPM).
In addition to Treasury's external reporting deadlines there are
some internal reporting requirements such as the monthly ledger
statements for all Member offices and all other offices with payroll
and non-payroll expenditures. These ledger statements detail all of the
financial activity for the appropriate accounting period with regard to
official expenditures in detail and summary form. Monthly, it is the
responsibility of the Accounting Department to review and verify the
accuracy of the statements before Senate-wide distribution. During the
course of this year, various table changes were made to the ledger
extract to suppress lapsed fiscal years and appropriations that do not
require the monthly reports.
The Accounting Department, in conjunction with the Deputy for
Financial Management, continues to work closely with the Sergeant at
Arms Finance Department in completing the corrective actions that were
identified during the pro-forma financial statements auditability
assessment. Based on the results of this exercise, 23 corrective
actions were suggested including an action plan and proposed schedule
to have them corrected. Some of the actions were rather simple to
implement while others will take significantly longer. Of the 23
corrective actions noted, 14 have been completed and 9 are still in
process. As part of this project, the Accounting Group continues to
work with the SAA to complete the draft of the Senate-wide
capitalization policy and is assisting with the reconciliation between
FAMIS and the newly implemented asset management system, Asset Center.
The Accounting Group also drafted and finalized state taxes, stop pays,
EFT payments, vendor file and travel advance procedures and is in the
process of updating various additional sections of the financial
policies and procedures book.
As part of the financial statement initiative, steps were taken
this year to procure a software package to assist with the compilation
of data and automate the process of preparing the Senate-wide financial
statements. The financial statement software will facilitate the
preparation of closing, elimination and reclassification entries as
well as provide the appropriate audit trails. The software was up and
running in March 2005. As part of this initiative, the Accounting Group
drafted the first internally developed set of unaudited financial
statements to be used as our baseline on the testing of the newly
acquired software following the guidance provided by OMB Bulletin 01-
09, ``Form and Content of Agency Financial Statements.''
On a consulting basis, the Deputy for Financial Management assisted
the Senate Gift Shop on the implementation of their new accounting
system and in the completion of their reconciliations for fiscal year
2004. In addition, the Deputy was part of the task force to procure and
acquire a new point-of-sale and accounting systems for the Senate
Stationery Room.
Toward the end of the calendar year, the Deputy for Financial
Management also participated in successful disaster recovery testing at
the ACF.
Accounts Payable--Vendor/SAVI Section
Created in the fall of 2003, the Vendor/SAVI section is responsible
for maintaining the accuracy and integrity of the Senate's central
vendor (payee) file, for the prompt completion of new vendor file
requests, and service requests related to the DO's web-based payment
tracking system known as SAVI. This section also assists the IT
Department with periodic testing and monitoring of the performance of
the SAVI system.
Currently, there are more than 12,300 vendor records stored in the
vendor file. Daily requests for new vendor addresses or updates to
existing vendor information are processed within 24 hours of being
received. In 2004, the A/P Department began paying vendors by
electronic funds transfer (EFT). Besides updating mailing addresses,
the Vendor/SAVI section facilitates the use of EFT by switching the
method of payment requested by the vendor from check to EFT. Whenever a
new remittance address is added to the vendor file, a standard letter
is mailed to our vendors requesting tax and banking information. If a
vendor responds to our letter and indicates they would like to receive
EFT payments in the future, the method of payment will be changed. In
August, this section coordinated a large mailing requesting EFT
information from our home state office landlords and our largest
commercial vendors. The mailing was a success. More than 40 percent of
the targeted vendors responded to this mailing. Currently, more than
650 vendors and over half of the home state office landlords are being
paid by EFT.
Service to Senate staff was significantly improved with the release
of SAVI version 3.1 in late October. This version allows Senate staff
to electronically create, save, and file expense reimbursement forms,
track their progress, and get detailed information on payments made by
DO. The most common service requests are requests for system user ids,
system passwords and to reactivate accounts. Less common but more
complicated are employee requests for an alternative expense payment
method. An employee can choose to have their payroll set up for direct
deposit but can have their vouchered expenses be reimbursed by paper
check.
The Vendor/SAVI section works closely with the A/P Disbursements
group resolving returned EFT issues. EFT payments are returned
periodically for a variety of reasons. The reasons given have included
incorrect account numbers, incorrect ABA routing numbers, and, in rare
instances, a nonparticipating financial institution. Most EFT return
issues are easy to resolve; however, there are some instances that
result with a vendor being converted back to paper check payments.
Currently, there are no unresolved return EFT issues.
The Vendor/SAVI section continues to electronically scan and store
supporting documentation of vendor file requests. In the near future,
this section will assist the IT Department test an automatic email
notification system which will alert vendors when an EFT payment has
been made and will give them information on the payment made.
This year, the Vendor/SAVI section processed over 2,800 vendor file
requests, completed nearly 1,300 SAVI service requests and mailed
nearly 2,000 vendor information letters.
Accounts Payable--Disbursements Department
In 2004, well over 100,000 expense claims were received and
processed by the department. More than 35,000 expense checks were
written and approximately 50,000 direct deposit reimbursements were
transmitted. The department performed at a high level to ensure that
all vendors and employees continued to receive timely and accurate
payments.
After vouchers are paid, they are sorted and filed by document
number. The number is an alpha-numeric code beginning with the letters
D, PADV, V, IV, or CV and followed by numbers representing the fiscal
year in which they were created, and another series of numbers
representing, in ordinal sequence, the actual document number. Vouchers
are grouped in 6-month ``clusters'' to accommodate their retrieval for
the semi-annual Report of the Secretary of the Senate. Currently, files
are maintained for the current period and three prior periods. Filing
is current and accurate as few problems are encountered retrieving
documents.
A major function of the Department is to prepare documents,
internally classified as ``adjustments.'' Such adjustments are varied
and include the following: preparation of Foreign Travel advances and
vouchers, reimbursements for expenses incurred by Senate Leadership,
reissuance of items held as accounts receivable collections, reissuance
of payments for which non-receipt is claimed, and various supplemental
adjustments received from the Payroll Department. Such adjustments are
usually disbursed by check, but an increasing number are now handled
electronically via the Automated Clearing House (ACH).
The Disbursements Department is also responsible for researching
returned checks as vendors request additional information relating to
payment allocation. Fortunately, few checks are returned. This is a
result of the use of a centralized vendor file and accurate
certification of payments. There are currently no unresolved returned
check issues.
The Accounts Payable Disbursements Department prepares for the
distribution of the monthly ledgers to the 140 accounting locations
throughout the Senate. At month's end, they are printed and delivered
to Disbursing, usually to the attention of the Accounting Department,
and received in Disbursements. The statements are sorted and
disseminated according to special handling instructions from the
office. Offices expressing no preference have their statements sent to
their respective offices marked ``Personal and Confidential.'' The main
objective of this process is to have each office receive their ledger
statements for the month just ended by the 10th of the following month.
A/P Disbursements also prepares the quarterly state tax returns.
The dollar amounts are provided by the Accounting Department, and
payment coupons are prepared for the 43 state jurisdictions. The
coupons are obtained from each jurisdiction either in hard copy or on-
line via the Internet. Vouchers are prepared electronically via an
uploaded spreadsheet, which is used to generate check payments to the
taxing authorities. Once the checks are written, letters of transmittal
are prepared and mailed to the appropriate state jurisdictions and the
District of Columbia.
The Department also prepares the forms required by the Department
of Treasury for stop payments. Stop payments are requested by employees
who have not received salary or expense reimbursements, and vendors
claiming non-receipt of expense checks. During this year, the A/P
Disbursement Supervisor and the Accounts Payable Manager continued
using the Department of Treasury--Financial Management Service (FMS)
on-line stop pay and check retrieval process known as PACER. The PACER
system allows us to electronically submit stop-payment requests and
provides on-line access to digital images of negotiated checks for
viewing and printing. Once a check is viewed, it is printed and may be
scanned. Scanned images are then forwarded to the appropriate
accounting locations via email. This process has been well received by
Senate offices as well as vendors. This saves time and significantly
reduces reliance on the Postal System. All Accounts Payable
Disbursements staff have Treasury secure ID cards and are trained in
the use of PACER. Given the time and money savings, as well as the
overwhelmingly positive reception, large growth in the use of PACER for
check retrieval purposes is anticipated.
In October of 2004, the Accounts Payable Disbursements department
began using laser checks. The tractor fed check writer system has been
dismantled and a new, improved system was developed and implemented.
The replacement was comprehensive in scope as new software, hardware,
and new Treasury designed laser checks were introduced. The result is a
user friendly, and more secure system. Accuracy has also improved as
the new laser check printer font is much clearer than one from the old
printer. This resulted in an immediate reduction in returned checks
from the United States Postal System. It is anticipated that a new
folder/inserter designed for our use will be purchased to eliminate
manual hours spent on folding and hand stuffing checks into envelopes.
Testing and demonstrations continue in efforts to find a machine which
is both economical and efficient.
A major project which has seen tremendous progress this year is the
reconciliation of the replacement check account. A team was formed
consisting of the Deputy for Financial Management, Accounts Payable
Manager, Chief Accountant, Accounts Payable Disbursements Supervisor
and Staff Accountants. There were over 250 unresolved items covering a
variety of issues. Persistent and determined revenue collection
procedures have resulted in the reduction of the unresolved items and
fewer than 20 remain outstanding.
The warehousing of documents has improved, and continues to evolve.
Vouchers were housed at two facilities, but now all have been
transferred to a single location. This location is larger, but there is
need for expansion. Meetings with the Sergeant at Arms and consultants
continue in an effort to provide state-of the-art warehousing. Plans
call for current space requirements, anticipated space requirements,
and the need for ``staging'' areas, telephone, copier, and fax access,
climate control, and security.
Accounts Payable--Audit Department
The final section under the Accounts Payable Department is the
Audit Section. The Accounts Payable Audit Section is responsible for
auditing vouchers and answering questions regarding voucher preparation
and the permissibility of expenses. This section provides advice and
recommendations on the discretionary use of funds to the various
accounting locations, identifies duplicate payments submitted by
offices, monitors payments related to contracts, trains new Office
Managers and Chief Clerks about Senate financial practices, trains
Office Managers in the use of the Senate's Financial Management
Information System, and assists in the production of the Report of the
Secretary of the Senate. The Section also monitors the Fund Advance
Tracking System (FATS) to ensure that advances are charged correctly,
vouchers repaying such advances are entered, and balances are adjusted
for reuse of the advance funds. An ``aging'' process is also performed
to ensure that advances are repaid in the time specified by the advance
travel regulations.
The Accounts Payable Audit Section, currently a group of 12, has
the responsibility for the daily processing of expense claims submitted
by the 140 accounting locations of the Senate. The section processed
approximately 133,000 expense vouchers in fiscal year 2004. The voucher
processing ranged in scope from providing interpretation of Senate
rules, regulations and statute, applying the same to expense claims,
monitoring of contracts and direct involvement with the Senate's
central vendor file. On average, vouchers greater than $100.00 that do
not have any issues or questions are received, audited, sanctioned by
Rules and paid by DO within 10 business days of receipt.
During fiscal year 2004, the Chairman of the Committee on Rules and
Administration increased the delegated sanctioning authority for
vouchers from $35.00 or less to $100.00 or less. The workload within
this group increased by almost 50 percent with the responsibility to
sanction vouchers whose totals are less than or equal to $100.00. These
vouchers comprise approximately 60 percent of all vouchers processed.
The responsibility for sanctioning rests with the Certifying Accounts
Payable Specialists and are being received, audited, and paid within 5
business days of receipt. The increase in sanctioning authority came as
a direct result of passing two post-payment audits performed by the
Rules Committee.
Additionally, advance documents and non-Contingent Fund vouchers
are now posted in Audit. The increase in sanctioning responsibilities
allowed for two staff promotions to Certifying Accounts Payable
Specialist and for the creation of one additional A/P Specialist
position. One staff member was promoted from the Disbursements section
to the Audit section to fill this newly created position.
The reduced flow of vouchers to the Rules Committee also brought
that committee into the on-line sanctioning process. Initially, four
Senators' offices and the Committees comprised the pilot group.
Currently, all vouchers over $100.00 are sanctioned electronically by
the Rules Committee using Web FAMIS.
The Accounts Payable Audit Group provided training sessions in the
use of new systems, the process for generation of expense claims, the
permissibility of an expense, and participated with seminars sponsored
by the Secretary of the Senate, the Sergeant at Arms, and the Library
of Congress. The Section trained 15 new Administrative Managers and
Chief Clerks and conducted 4 informational sessions for Senate staff
through seminars sponsored by the Congressional Research Service (CRS).
The Accounts Payable group also assisted the IT department and
Vendor/SAVI group in the testing and implementation of the new on-line
travel and non-travel expense summary reports (ESR). The new reports
are not only available on-line, but they can be imported into a
corresponding Web FMIS voucher, thus facilitating the preparation and
accuracy of the voucher document. Routinely, during voucher processing,
vendor information is verified against invoices, and corrections made
as needed. The Audit Group has been fully trained in the new travel
advance system and in the use of the four new WEB inquiries to assist
offices with questions. Additionally the section provided testing
support for the release of Web FMIS version 9 and is scheduled to
assist in the testing of Version 10 this year.
A cancellation process was established for advances in 2004. This
was necessary to ensure repayment of advances systematically for
canceled or postponed travel in accordance with Senate Travel
Regulations. Advance procedures including cancellation were formally
incorporated into the Policies and Procedures Manual. Cancellation
procedures for other Web vouchers is scheduled for testing during a
later system release. The A/P sections within the Policies and
Procedures Manual are in the process of being updated and revised.
Budget Department
The third component of the Disbursing Office Financial Management
Group is the Budget Department. The primary responsibility of the
Budget Department is to compile the annual operating budget of the
United States Senate for presentation to the Committee on
Appropriations. The Budget Department is responsible for the
preparation, issuance and distribution of the budget justification
worksheets (BJW). In fiscal year 2004, the budget justification
worksheets were mailed to the Senate accounting locations at the end of
November, processed in December and reported the budget baseline
estimates for fiscal year 2006 to OMB by mid-January, via the MAX
database.
This department is also responsible for the formulation,
presentation and execution of the budget for the Senate and provides a
wide range of analytical, technical and advisory functions related to
the budget process. The Budget Department acts as the Budget Officer
for the Office of the Secretary, assisting in the preparation of
testimony for the hearings before the Committee on Appropriations and
the Committee on Rules and Administration.
During January, the Senate Budget Analyst is responsible for the
preparation of 1099's and the prompt submission of forms to the IRS
before the end of the month.
DISBURSING OFFICE INFORMATION TECHNOLOGY
Financial Management Information System
The Disbursing Office Information Technology (IT) Department,
provides both functional and technical assistance for all Senate
Financial Management activities. Activities revolve around support of
the Senate's Financial Information System (FMIS) which is used by
approximately 140 Senate accounting locations (i.e., 100 Senator's
offices, 20 Committees, 20 Leadership & Support offices, the Rules
Committee Audit section, and the Disbursing Office). Responsibilities
include: Supporting current systems; testing infrastructure changes;
managing and testing new system development; planning; managing the
FMIS project, including contract management; administering the
Disbursing Office's Local Area Network (LAN); and coordinating the
Disbursing Office's Disaster Recovery activities.
The activities associated with each of these responsibilities are
described in more detail in the sections that follow. Work during 2004
was supported by the Sergeant at Arms (SAA) Technology Services staff,
the Secretary's Information Technology staff, and contracts with
Bearing Point.
The SAA Technology Services staff is responsible for providing the
technical infrastructure, including hardware (mainframe and servers),
operating system software (mainframe and servers), database software,
and telecommunications; technical assistance for these components,
including migration management, database administration and regular
batch processing. Bearing Point is responsible, under the contract with
the SAA, for operational support, and under contract with the
Secretary, for application development. The DO is the ``business
owner'' of FMIS and is responsible for making the functional decisions
about FMIS. The three organizations work cooperatively.
Highlights of the year include:
--Implementation of three releases of Web FMIS including pilot
implementation of an intranet-based version;
--Implementation of two releases of SAVI, including a release that
allows users to create Non-travel Expense Summary Reports in
addition to Travel Expense Summary Reports;
--Implementation of laser check printing which substantially improves
the readability of checks by the postal service and banks;
--Support of the Rules Committee's post payment audit for the Rules
Committee Audit staff whereby they can do a statistically valid
sample of vouchers of $100.00 and under (an increase from
$35.00 effective January 1, 2004) for which sanctioning was
delegated to the Financial Clerk;
--Roll out of direct deposit payments to external vendors;
--Coordinating and participating in the FMIS portion of a disaster
recovery exercise for the Alternate Computing Facility; and
--Conducting monthly classes, seminars, and demonstrations on Web
FMIS.
FMIS is not a single computer system. It is composed of many
subsystems that provide Senate-specific functionality. These subsystems
are outlined in the table that follows.
SENATE FINANCIAL MANAGEMENT INFORMATION SYSTEM
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Subsystem Functionality Source Primary Users Implementation
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FAMIS (Mainframe)............ Financial general ledger................ Off the shelf federal system Disbursing Office......... October 1998
Vendor file purchased from Bearing Point.
Administrative functions
Security functions
ADPICS (Mainframe)........... Preparation of requisition, purchase Off the shelf federal system Sergeant at Arms.......... October 1998
order, voucher from purchase order, and purchased from Bearing Point. Disbursing Office.........
direct voucher documents. Secretary of the Senate...
Electronic document review functions
Administrative functions
Checkwriter (Client-server).. Prints checks and check registers as Off the shelf state government Disbursing Office......... October 1998
well as ACH (Automated Clearing House) system purchased from and
direct deposit payments. adapted to Senate's requirements
by Bearing Point.
Web FMIS (Client-server and Preparation of vouchers, travel Custom software developed under All Senators' offices..... October 1999
intranet). advances, vouchers from advance Senate contract by Bearing Point. All Committee offices.....
documents, credit documents and simple All Leadership & Support
commitment and obligation documents. offices.
Entry of detailed budget Secretary of the Senate...
Reporting functions (described below) Sergeant at Arms..........
Electronic document submission and Disbursing Office.........
review functions.
Administrative functions
FATS (PC-based).............. Tracks travel advances and petty cash Developed by SAA Technology Disbursing Office......... Spring 1983
advances (available to Committees only). Services.
Tracks election cycle information
Post Payment Voucher Audit Selects a random sample of vouchers for Excel spreadsheet developed by Rules Committee........... Spring 2003
(PC-based). which sanctioning was delegated to the Bearing Point. Disbursing Office.........
Financial Clerk for the Rules Committee
to use in conducting a post payment
audit.
SAVI (Intranet).............. As currently implemented, provides self- Off the shelf system purchased Senate employees.......... Pilot--Spring
service access (via the Senate's from Bearing Point. 2002
intranet) to payment information for Senate-wide--
employees receiving reimbursements. July 2002
Administrative functions
Online ESR (Intranet)........ A component of SAVI through which Senate Custom software developed under Senate employees.......... April 2003
employees can create on-line Travel/Non- contract by Bearing Point.
Travel Expense Summary Reports and
submit them electronically to their
Office Manager/Chief Clerk for
processing.
Secretary's Report (Mainframe Produces the Report of the Secretary of Custom software developed under Disbursing Office......... Spring 1999
extracts, crystal reports, the Senate. contract by Bearing Point.
and client-server ``tool
box'').
Ledger Statements (Mainframe Produces monthly reports from FAMIS that Developed by SAA Technology Disbursing Office Senate Winter 1999
database extracts, and are sent to all Senate ``accounting Services. Accounting Locations.
crystal reports). locations''.
Web FMIS Reports (mainframe Produces a large number of reports from Custom software developed under Senate Accounting October 1999
database extracts, crystal Web FMIS, FAMIS and ADPICS data at contract by Bearing Point. Locations.
reports, client server, and summary and detailed levels. Data is
Intranet). updated as an overnight process and can
be updated through an on-line process
by accounting locations.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Supporting Current Systems
The IT section supports FMIS users in all 140 accounting locations,
the Disbursing Office Accounts Payable, Accounting, Disbursements and
Front Office Sections, and the Rules Committee Audit staff. The
activities associated with this responsibility include:
--User support--provide functional and technical support to all
Senate FMIS users; staff the FMIS ``help desk''; answer
hundreds of phone calls a year; and meet with Chiefs of Staff,
Administrative Managers, Chief Clerks, and Directors of various
Senate offices as requested;
--Technical problem resolution--ensure that technical problems are
resolved;
--Monitor system performance--check system availability and
statistics to identify system problems and coordinate
performance tuning activities for parallel load and database
access optimization;
--Security--maintaining user rights for all ADPICS, FAMIS, SAVI, and
Web FMIS users;
--System administration--design, test and make entries to tables that
are intrinsic to the system;
--Support of Accounting Activities--provide assistance in the cyclic
accounting system activities;
--Support the Rules Committee post payment voucher audit process; and
--Training--provide functional training to all Senate FMIS users.
Of these, the post payment voucher audit deserves recognition. In
December of 2002, the Rules Committee delegated to the Financial Clerk
the authority for sanctioning vouchers of $35 and less; effective
January 1, 2004 this threshold increased to $100.00. The authorization
directed Rules and DO to establish a set of procedures for a semi-
annual audit of these vouchers. The two offices agreed that Rules would
conduct a random sampling inspection of these vouchers based on
industry statistical standards. Under the supervision of the IT Group,
Bearing Point created tools to determine the sample size, to enable
selecting the sample from the universe of vouchers of $100 and less,
and to determine the acceptable number of discrepancies given the
sample size and the desired confidence interval. Both audits conducted
in 2004 resulted in a favorable finding of zero discrepancies. The
audit conducted in April 2004 for the six-month period ending March 31,
2004, covered 18,368 vouchers and the audit conducted in November 2004
for the six-month period ending September 30, 2004, covered 25,853
vouchers.
Testing Infrastructure Changes
The SAA provides the infrastructure on which FMIS operates,
including the mainframe, the database, security hardware and software,
the telecommunications network, and a hardware and software
installation crew and help-desk provider. During 2004 there was an
upgrade of the mainframe operating system (OS390) in preparation for
the implementation of the Z/OS operating system. This required that the
Disbursing Office test all FMIS subsystems both in a testing
environment and in the production environment.
Managing and Testing New System Development
During 2004, development and extensive integration system testing
was performed and implemented with changes to the following FMIS
subsystems: Web FMIS; Senate Vendor Information (SAVI) and Online ESR;
and Checkwriter.
Web FMIS
The goal for 2004 was to update and simplify the underlying
technology of Web FMIS, basically replacing all Visual Basic Client/
Server and Cold Fusion Web technology with WebSphere web pages thereby
creating a ``thin client'' application that can be accessed via an
intranet browser. The Web FMIS Users Group worked closely with the team
to rethink processes and redesign Web FMIS screens to maximize ease-of-
use. The transition included four releases of Web FMIS during 2004:
--Web FMIS r8.0.--Implemented in March 2004, focused on the list
maintenance functions, and conducted a pilot of a new version
of the report generation software, Crystal Reports version 9;
--Web FMIS r8.1.--Implemented in June 2004, upgraded the version of
the report generation software for all users, and concurrently
addressed obtaining reports from ``archived years'' (i.e.,
fiscal year 1999 and 2000), the data for which was archived
from FAMIS. In addition, a ``report favorites'' function was
added;
--Web FMIS r9.0.--Implemented for pilot offices in August 2004, was a
complete re-writing of the functions most used by offices,
Document Entry and Budget Entry. In addition, it allows the
start date to determine the funding year (thus eliminating the
need to select a funding year from which to pay a bill), added
the ability to import Non-travel Expense Summary Reports, and
revamps the user security function to be based on ``roles''
which provide the Web FMIS system administrators more
flexibility in providing (or not providing) specific user
functionality.
--Web FMIS r9.1.--Implemented for pilot offices in November 2004,
made system changes based on the pilot offices' use of Web FMIS
r9.
At the end of 2004, testing was conducted on Web FMIS r10, which
reduces the files required on the PC for printing reports, adds new
reports for committees that show expenses in the format required for
their biannual budget justification, rewrites the DO functions as
WebSphere web pages and provides additional DO functions such as an
online deposit (CD) log, standard text for notes, and additional
inquiries. Web FMIS r9.1 will be given to all new 109th Congress
offices and to all new office managers from existing offices. All other
offices will be transferred to the WebSphere version of Web FMIS when
Web FMIS r10 is implemented.
During 2004 work was conducted with Bearing Point to define the
requirements for adding electronic signature and documentation imaging
functionality, two key components for paperless voucher processing.
Additionally, appropriate technology is being explored to provide these
functions.
Senate Automated Vendor Inquiry (SAVI) and Online ESR
SAVI enables Senate staff to check the status of reimbursements,
whether via check or direct deposit and whether or not referencing an
on-line ESR. The on-line ESR function enables Senate staff to create
expense summary reports. These documents can be imported into Web FMIS,
reducing the data entry tasks for voucher preparation. The SAVI system
was upgraded three times in 2004. Release 2.2, implemented in March
2004, completed several security enhancements. Release 3.0, implemented
for pilot offices in June 2004 and 3.1 implemented for all offices in
October 2004, allow users to prepare and submit Non-travel Expense
Summary Reports and to define their own logon ID.
Checkwriter
The Disbursing Office makes payments via direct deposit and via
check.
--Direct Deposit.--In 2002 the Disbursing Office began making expense
reimbursements to Senate staff via direct deposit. In 2003 this
was expanded to include external vendors. The initial pilot
vendors provided materials to the Keeper of Stationery; and our
first payments to them were transmitted on June 3, 2003. After
a very successful initial pilot, the program was expanded
larger-volume vendors, such as FedEx. During 2004, direct
deposit was rolled out to all vendors.
--Laser Checks.--In 2004 the printing of checks was switched from a
continuous-feed impact printer to a laser printer when
checkwriter version 5 was implemented in March 2004. The laser
version provides more flexibility for continuance of operations
by eliminating dependence on a harder-to-find printer. It also
produces a higher print quality, which will help the Postal
Service in the delivery of checks and will prevent checks from
being negotiated for an unintended dollar amount. Use of the
laser check printer required that Treasury create a 8.5 0A 10
inches check and stub form. A folder-inserter machine was used
for these checks, but the checks are incompatible with the
machine. During 2005, work continues to identify a machine that
will accept this heavy-grade check paper.
Planning
There are two main planning activities:
--Schedule coordination--planning and coordinating a rolling 12-month
schedule; and
--Strategic planning--setting the priorities for further system
enhancements.
Schedule Coordination
In 2004, two types of meetings were held among the DO, SAA and
Bearing Point to co-ordinate schedules and activities:
--Project specific meetings--a useful set of project specific working
meetings, each of which has a weekly set meeting time and meets
for the duration of the project (e.g., Document Purge meetings
and Web FMIS requirements meetings); and
--Technical meeting--a weekly meeting among the DO staff (IT and
functional), SAA Technical Services staff, and Bearing Point to
discuss coordination among the active projects, including
scheduling activities and resolving issues.
Strategic Planning
The FMIS strategic plan has a longer time horizon than the rolling
12-month time frame of the technical meeting schedule. It is designed
to set the direction and priorities for further enhancements. In 2002 a
five-year strategic plan was written by the IT and Accounting staff for
Disbursing Office Strategic Initiatives. This detailed description of
five strategic initiatives formed the basis for the Secretary of the
Senate's request for $5 million in multi-year funds for further work on
the FMIS project. The five strategic initiatives are:
--Paperless Vouchers--Imaging of Supporting Documentation and
Electronic Signatures.--Beginning with a feasibility study and
a pilot, implement new technology, including imaging and
electronic signatures, that will reduce the Senate's dependence
on paper vouchers. This will enable continuation of voucher
processing operations from any location, should an emergency
occur;
--Web FMIS.--Requests from Accounting Locations--Respond to requests
from the Senate's Accounting Locations for additional
functionality in Web FMIS;
--Payroll System.--Requests from Accounting Locations--Respond to
requests from the Senate's Accounting Locations for on-line
real time access to payroll data;
--Accounting Sub-system Integration.--Integrate Senate-specific
accounting systems, improve internal controls, and eliminate
errors caused by re-keying of data; and
--CFO Financial Statement Development.--Provide the Senate with the
capacity to produce auditable financial statements that will
obtain an unqualified opinion.
Managing the FMIS Project
The responsibility for managing the FMIS project was transferred to
the IT group during the summer of 2003 and includes developing the task
orders with contractors and overseeing their work. In 2004, three new
task orders were executed: Web FMIS r10; Fiscal Year 2004 Extended
Operational Support (September 2004-August 2005); and SAA Finance
System and Reporting Enhancements.
In addition, work continued under two task orders executed in 2003:
Web FMIS Thin Client; and Web FMIS Imaging and Digital Signature Design
and Electronic Invoicing and Remittance Enhancements.
Administering the Disbursing Office's Local Area Network (LAN)
The DO administers its own Local Area Network (LAN), which is
separate from the LAN for the rest of the Secretary's Office. Our LAN
Administrator's activities included: Office-wide LAN Maintenance and
Upgrade; Projects for the Accounting Section; and Projects for the
Payroll and Benefits Section.
Office-wide LAN maintenance and upgrade
Existing workstations were maintained with appropriate upgrades
including:
--Configured and installed a new Windows 2000 server and transferred
all critical DO data to this server;
--Implemented an automatic update for the virus scanning software on
each PC in the DO;
--Selected and supervised installation of new printers for DO staff
and placed multi-purpose printer/scanner/copier machines in
strategic locations;
--Installed new stand-alone PCs for communication with the Federal
Reserve's Fedline system in the DO and at the Alternate
Computing Facility; and
--Maintained the Office Information Authorization form log which
provides easy access from DO staff desktops to up-to-date
information about the authorized contacts for each Senate
office.
Projects for the Accounting Sections
The activities of the Accounting Section were supported with the
implementation of a direct connection to the Treasury Department. This
eliminated creating and delivering a monthly magnetic tape.
Projects for Payroll and Employee Benefits Sections
Activities of the Payroll and Employee Benefits sections were
supported with three specific projects:
--Implemented a Payroll Imaging system, developed by SAA staff. This
system captures payroll documents turned in at the DO front
counter electronically;
--Assisted Benefits staff on transferring data electronically to
other agencies; and
--Training Payroll and Benefits staff on creating fillable PDF forms.
Coordinating the Disbursing Office's Disaster Recovery Activities
During 2004, the Sergeant at Arms' office completed the build out
of the Alternative Computing Facility. In December 2004, a two-day test
was performed to operate FMIS subsystems from this location. The tests
of all mainframe systems (i.e., payroll, ADPICS and FAMIS) were
successful and payroll and voucher payments were made via direct
deposit and check. Additionally, documents were created, posted, and
printed via Web FMIS and ADPICS. Document printing has always presented
problems during past tests; however, system configuration at the ACF
has resolved this problem. The next test is planned for May 2005, when
additional FMIS sub-systems will be tested.
Disbursing Office COOP Activities
The DO staff wrote a Continuity of Operations Plan (COOP) in 2001.
This document addresses issues beyond the scope of disaster recovery.
Normal maintenance is performed on this document to ensure that it
remains up-to-date and viable. In addition to the success of the
disaster recovery testing in December, the DO's most significant COOP
related activity was the setup and pre-positioning of essential
equipment and supplies in the dedicated space at the ACF. This
accomplishment significantly improves the DO's ability to quickly
respond to and complete its core responsibilities.
ADMINISTRATIVE OFFICES
1. CONSERVATION AND PRESERVATION
The Office of Conservation and Preservation develops and
coordinates programs directly related to the conservation and
preservation of Senate records and materials for which the Secretary of
the Senate has statutory authority. This office's initiatives include
deacidification of paper and prints, phased conservation for books and
documents, collection surveys, exhibits, and matting and framing for
the Senate leadership.
Over the past year the Office of Conservation and Preservation has
embossed 275 books and matted and framed 525 items for the Senate
leadership. The office is especially proud to be a part of a Senate
tradition. For more than 23 years, the office has bound a copy of
Washington's Farewell Address for the annual Washington's Farewell
Address ceremony. In 2004, a volume was bound for and read by Senator
John Breaux.
As mandated in the 1990 Senate Library Collection Condition Survey,
the Office of Conservation and Preservation continued to conduct an
annual treatment of books identified by the survey as needing
conservation or repair. In 2003, conservation treatments were completed
for 65 volumes of a 7,000 volume collection of House Hearings.
Specifically, treatment involved recasing each volume as required,
using alkaline end sheets, replacing acidic tab sheets with alkaline
paper, cleaning the cloth cases, and replacing black spine title labels
of each volume as necessary. The Office of Conservation and
Preservation will continue preservation of the remaining 4,100 volumes.
This office assisted the Senate Library with 531 books sent to the
Library Binding section of the Government Printing Office (GPO) for
binding and with five exhibits located in the Senate Russell building
basement corridor. The Office of Conservation and Preservation also
assisted the Senate Curator's staff with special matting & framing
required for the World War II exhibit located on the first floor of the
Capitol.
This office continues to assist Senate offices with conservation
and preservation of documents, books, and various other items. For
example, the office is currently monitoring the temperature and
humidity in the Senate Library storage areas, the vault and warehouse
for preservation and conservation purposes
2. CURATOR
The Office of Senate Curator, on behalf of the Senate Commission on
Art (``Commission''), develops and implements the museum and
preservation programs for the United States Senate. The Office
collects, preserves, and interprets the Senate's fine and decorative
arts, historic objects, and specific architectural features; and
exercises supervisory responsibility for the chambers in the Capitol
under the jurisdiction of the Commission. Through exhibitions,
publications, and other programs, the Office educates the public about
the Senate and its collections.
Collections: Commissions, Acquisitions, and Management
Portraits of Senators Arthur Vandenberg of Michigan and Robert
Wagner of New York were officially unveiled on September 14, 2004 in
the Senate Reception Room. The new paintings join portraits of the
``Famous Five'' Senators commissioned for the room and installed in
1959.
The painting of Senator George Mitchell for the Senate Leadership
Portrait Collection was completed and approved by the Commission on
Art, and the portrait of Senator Margaret Chase Smith is in its final
stage. Both will be unveiled in 2005. Another important commissioned
work in progress is a portrait of Senator Bob Dole.
S. Res. 177 directed the Commission to commission a mural
commemorating the Connecticut Compromise. The Rules Committee directed
that the mural be added to the Senate Reception Room, and the
Commission empaneled an advisory board of experts in the field to
select and recommend an appropriate scene and three potential artists.
These artists developed proposals, and the advisory board reviewed
these sketches and have recommended a final candidate to the Commission
for consideration.
Fourteen objects were accessioned into the Senate Collection,
including a Senate Reception Room chair from the 1860's (private
donation); a reproduction Senate Chamber desk used on the set of the
movie ``Mr. Smith Goes to Washington and'' ``Advise and Consent'' (gift
of the U.S. Capitol Historical Society); an 1870's cabinet card album
attributed to the Mathew Brady studio (private donation); and several
historic prints and political cartoons.
At the direction of the Commission, the Curator's Office
facilitated the acquisition of a Cornelius & Baker armorial chandelier
owned by Tudor Place in Washington, D.C. The purchase of this rare
historic fixture, which is similar to one that hung in the second floor
corridor of the Senate wing, is an important addition to the Capitol's
decorative and lighting history.
Twenty-four new foreign gifts were reported to the Select Committee
on Ethics and transferred to the Curator's Office. They were
catalogued, and are maintained by the office in accordance with the
Foreign Gifts and Decorations Act. Appropriate disposition of 12
objects in the collection was completed following established
procedures.
As construction continued on the Capitol Visitor Center (CVC), the
office worked with the Architect of the Capitol's CVC staff to plan the
two storage rooms designated for Senate Collection objects, to ensure
the highest level of preservation standards. A conservator specializing
in museum facility planning reviewed the design drawings and provided
recommendations, including outfitting the storage spaces. A detailed
survey of the entire collection was completed, and the findings will be
incorporated into a Collection Storage Plan.
An off-site collection storage facility, made available for use
through a lease arranged by the Senate Sergeant at Arms (SAA) in 2003,
continued to provide much needed secure, climate controlled, museum
quality storage for objects in the Senate Collection. An additional 18
objects were transferred to the storage facility.
The office has worked for several years with the SAA regarding
plans for the construction of a warehouse space to meet the stringent
requirements for storing fine and decorative art. In 2004
specifications developed by the office were used by the SAA to create
plans and begin construction on such a space, in association with the
larger effort to build a new Senate warehouse.
The Curator's Office initiated a comprehensive project to
photograph the 102 historic Senate Chamber desks (which includes the
100 on the Senate floor and two desks currently in storage). One set of
transparencies will be stored off-site for emergency purposes, while a
second working set will be used for the web, image requests, and future
publications. Twenty desks were photographed in 2004; the project is
scheduled to be completed in December 2007.
In keeping with established procedures, all Senate Collection
objects on display were inventoried noting any changes in location. As
directed by S. Res. 178, the office submitted inventories of the art
and historic furnishings in the Senate to the Rules Committee. The
inventories, submitted every six months, are compiled by the Curator's
Office with assistance from the SAA and the AOC's Senate
Superintendent's office.
Conservation and Restoration
A total of 24 objects received conservation treatment in 2004.
These included 15 Senate Chamber desks, two large sculptures, three
plaster reliefs, three oil on canvas paintings, and one manuscript
collection.
The initiative to conserve the 100 historic Senate Chamber desks
began in 1999. Twice a year, during Senate recess periods, desks are
removed from the Senate Chamber and sent out for restoration. Treatment
is extensive, and follows a detailed protocol developed to address the
wear and degradation of these historic desks due to continued heavy
use. To date, 91 desks have been restored and the project is on track
to be completed in 2005. A condition survey completed in 2003 stressed
the necessity of installing rubber bumpers to the arms of the Senate
Chamber chairs to protect the front of the desks from continued damage.
Seventy-eight chairs are now modified with bumpers.
Due to numerous construction projects in the Capitol, several works
of art were relocated. The large sculpture, Justice and History,
displayed in the Senate subway terminal, was moved in 2003 due to CVC
construction. Work entailed separating the large sections of marble
that comprise the sculpture and moving each half individually.
Arrangements were made during January 2004 to restore the plaster
surface by repairing the seam between the two halves and treating other
minor damage and stains to the plaster coat. The conservator also
performed treatment and cleaning on three plaster relief sculptures
located nearby.
In May 2004, the portrait, George Washington (Patriae Pater), and
the sculpture, Eagle and Shield, were removed from display in the Old
Senate Chamber to protect them from possible damage during construction
on the roof above. A fine art handling company deinstalled and crated
the art works. The office took the opportunity to have conservators
assess the condition of the pieces and perform surface cleaning. The
conservators also collected samples from the surface of the Eagle and
Shield to document the historic finishes. Analysis of the samples will
provide invaluable information to guide future restoration decisions.
The Isaac Bassett Manuscript Collection will be microfilmed during
2005. A conservator was hired to conduct an assessment of the
collection, carry out necessary conservation treatment prior to
microfilming, and rehouse the papers for preservation.
The office initiated a detailed condition and identification survey
of the nearly 100 historic mirrors in the Senate wing. A conservator
was contracted to undertake the work, which will include extensive
written and photo documentation for each piece. The project has
significant benefits: the condition assessments will determine
priorities for conservation and maintenance treatments; provide
information on the age, origin, and importance of the frames; and
furnish documentation for disaster planning. Half the mirrors have been
surveyed, and the project will be completed in 2005.
The Curator's staff participated in training sessions for the
Capitol Police regarding the care and protection of art in the Capitol,
and continued to educate the housekeeping personnel on maintenance
issues related to the fine and decorative art collections.
Historic Preservation
Preservation work included extensive research, documentation,
record keeping, and project review. The program emphasizes
infrastructure development and oversight.
The office worked with the AOC and the SAA to review, comment, and
document Senate construction projects. In addition to offering
direction in project development and methodology, the office maintains
records on all known Senate wing projects. Documentation associated
with those files varies in accordance with office involvement and
impact on historic resources. Projects that required considerable
review and assistance included: Brumidi corridor restoration phase
VIII; window shutter refinishing; emergency strobe and horn
installation; grand stairwell plaster replacement; marble step repair;
plaster assessment program; Brumidi west corridor egress installation;
and cell phone antenna installation. Additionally, the office is
working closely with the AOC in the creation of an historic structures
report for the Senate vestibule, adjacent stairwell, and small Senate
rotunda. When completed, the report will provide critical documentation
regarding the architectural history of these spaces, and will serve as
the foundation for any future preservation work.
The architectural chronology and social history databases
established in 2003 were further refined, with new information entered
as it became available and existing files systematically incorporated.
While the office databases and files provide a significant resource for
room and object histories, a project initiated in October will greatly
increase the office's research capabilities. Currently, the historic
preservation officer is working with the Senate Library to create an
electronic database of all AOC, SAA, and Secretary of the Senate annual
reports. Related to this effort, is a new initiative to photo document
leadership suites during each Congress. This will allow the office to
report on ``decorative'' changes in leadership rooms over time. With
requests from Senate offices for information pertaining to room
histories, architectural features, and historic images dramatically
increasing, these initiatives allow for quick retrieval of necessary
information.
Historic Chambers
The Curator's staff continued to maintain the Old Senate and Old
Supreme Court Chambers, and coordinated periodic use of both rooms for
special occasions. By order of the U.S. Capitol Police, the Old Senate
Chamber was closed to visitors after September 11, 2001. However,
during most Senate recesses in 2004, the historic room was opened to
tours. Twenty-six requests were received from current Members of
Congress for after hours access to the chamber. Of special significance
was the filming of a documentary history on the Capitol by C-SPAN using
high definition equipment. B-roll footage was also requested and
provided to Lion Television in Scotland for a documentary on Charles
Dickens in America. Twenty-one requests were received by current
Members of Congress for admittance to the Old Supreme Court Chamber
after hours. The office also coordinated with the AOC to install
emergency strobe lights in each chamber as part of the life-safety
upgrade program.
Loans To and From the Collection
A total of 76 historic objects and paintings are currently on loan
to the Curator's Office on behalf of Senate leadership and officials in
the Capitol. The staff added loans of two portraits for leadership
suites, returned 11 paintings and prints at the expiration of their
loan periods to their respective owners, and renewed loan agreements
for 18 other objects. In addition, the office coordinated the loan of
six oil study sketches by Robert Chester La Follette of Senators Clay,
Calhoun, Webster, La Follette, and Taft, which relate to the 1958
commission for the Senate Reception Room portraits. The sketches are
currently on loan from the daughter of the late artist, and have been
approved for accession into the Senate Collection in 2005.
The Curator's Office obtained an oil sketch by Constantino Brumidi
for study and appraisal. The painting is a preparatory sketch completed
around 1874 by the artist for his fresco mural, the Signing of the
First Treaty of Peace with Great Britain, located above room S-118 in
the Brumidi Corridors. The sketch has now been acquired for the Senate
Collection.
The office continued to work with CVC staff to assemble information
on Senate Collection objects. Condition reports were conducted on those
objects currently being considered for loan, and exhibit labels were
written for all Senate-related artifacts planned for the exhibition.
The office also assisted in developing a CVC Art Task Force, composed
of prominent curators, architects, and designers, to recommend short-
and long-term plans for art in the Visitor Center. The first meeting
was held in December, and a white paper will be developed in the next
few months.
The Secretary's china was distributed and returned six times in
2004. It was used for events including a dinner for the Senate spouses,
and luncheons for the current First Lady and former First Lady Nancy
Reagan. The official Senate china was inventoried and used at 28
receptions for distinguished guests, both foreign and domestic.
Publications and Exhibitions
Work continued on the United States Senate Catalogue of Graphic
Art, to be published in 2005. The volume features the Senate's
collection of more than 900 historic engravings and lithographs, and
includes two full-length essays and almost 40 short essays discussing
selected prints. The Senate Curator and Associate Senate Historian are
co-authors of the publication. It is a companion volume to the United
States Senate Catalogue of Fine Art published in 2003.
In August 2004, the office de-installed the popular photographic
exhibition, The United States Capitol: Photographs by Fred J. Maroon,
and installed World War II: The Senate and the Nation's Capital, an
exhibition of photographs exploring how the Senate ``went to war'' and
how the war came to Washington, D.C. The Senate Historical Office and
Curator's Office developed the exhibit, which is located on the first
floor of the Senate wing.
In association with the Office of Web Technology and a web design
contractor, the office worked on developing and posting two interactive
exhibits to the Senate web site. The exhibits, Take the Puck
Challenge!, and Advise and Consent: The Drawings of Lily Spandorf, were
originally produced for stand-alone kiosks in the Capitol. They are
being translated into Flash presentations to become internet
compatible. Take the Puck Challenge! features quizzes, games, and
puzzles to introduce viewers to the political cartoons of the
nineteenth-century satirical magazine, Puck. Advise and Consent
explores the work of Lily Spandorf, an artist who sketched the filming
of the Otto Preminger movie of the same name, filmed in and around the
Capitol in 1962. Ms. Spandorf's drawings are owned by the Senate.
The internet exhibit, ``I Do Solemnly Swear'': A Half Century of
Inaugural Images, was developed for the Joint Congressional Committee
on Inaugural Ceremonies (JCCIC), and features images from the Senate's
Graphic Art Collection illustrating inaugural events from 1853 to 1905.
Several brochures were reprinted in 2004, and one new publication
produced, The U.S. Senate Appropriations Committee. The office also
continued to be a significant contributor to Unum, the Secretary of the
Senate's newsletter.
As part of an ongoing program to provide information about the
Capitol's art and historic spaces, new informational panels were
installed for the paintings of George Washington at Princeton and
Recall of Columbus.
Policies and Procedures
In 2004, the Senate Curatorial Advisory Board was established by
statute. Composed of respected scholars and curators, this board was
established to (i) provide expert advice to the Commission regarding
the Senate's art and historic collections and preservation program, and
(ii) assist in the acquisition and review of new objects for the
collections. During 2004, the 12-member board was empaneled and the
first meeting was held.
Additionally, the Commission established the Senate Preservation
Board of Trustees. This board, composed of eminent citizens, was
established to enable the acquisition of significant art works and
historical objects and to facilitate preservation projects for the
Commission. Currently, the Commission, through the Curator's office, is
fielding nominations for the board from Commission members and an
initial meeting will be held in the spring of 2005.
Collaborations, Educational Programs, and Events
In preparation for the presidential inauguration, the JCCIC
requested various assistance from the Curator's Office. The staff was
responsible for handling all details regarding the historic painting
and podium for display at the inaugural luncheon; assisting with the
printed programs and gift portfolio; and developing a collecting plan
to ensure appropriate material would be saved for the Senate
Collection. The Curator's Administrator served on the JCCIC design team
for the web site, while the Curatorial Assistant was assigned to the
Committee, serving as its Deputy Capitol Coordinator.
Office Administration
As part of the continuing effort to safeguard collections and
records against possible disaster, work began to microfiche and
digitize the collection object files. These files are the primary legal
title, research, and management records for all art and historical
objects in the Senate's collections. Copies of the fiche and digital
records will be kept off site for disaster recovery and archival
purposes. Additional copies will be used on site for research and
public information in order to lessen the wear and tear on the original
paper records.
Automation
The office upgraded its electronic collection management database,
allowing for more efficient and accurate conversion of collection
information into web site applications. The staff is participating in a
pilot program to introduce Groove project management software to the
Secretary's Office.
In 2004 a PDF version of the publication, United States Senate
Catalogue of Fine Art, was posted on the web site, and work is
proceeding to add the essays from that volume to the web pages for each
piece of art. In addition, the office completed photographing and
scanning the 980 historical engravings and political cartoons in the
Graphic Art Collection; work on adding these to the site will begin
shortly. Due to an increased presence of the Senate Collection on the
Senate.gov web site, requests for collection images increased
dramatically.
Objectives for 2005
A major initiative in the upcoming year will be the creation of
several new museum quality storage areas for the Senate Collection. At
the end of 2004, a site was selected for a new Senate warehouse
facility that will be outfitted to include a room with climate control,
security, and equipment to house Senate Collection objects. Work will
include research and review of appropriate museum storage equipment and
monitoring systems, and planning the move of collections into the new
facility. Additionally, planning for the Curator's storage spaces in
the CVC will be guided by the results of the contract with the
conservator specializing in collections storage.
Conservation and preservation concerns continue to be a priority.
Projects in 2005 will include the restoration of nine Senate Chamber
desks--completing the seven year conservation treatment program;
assessment and conservation of the painting, the First Reading of the
Emancipation Proclamation by F.B. Carpenter; and restoration of the
Senate's historic portrait of George Washington by Gilbert Stuart. Two
conservators from the National Gallery of Art recently provided an
assessment of the condition of paintings on display in the Senate wing,
and provided recommendations for the conservation of the Stuart
panting. Two recently commissioned paintings, of Blanche Kelso Bruce
and James O. Eastland, will receive light cleaning and application of a
varnish coat to enhance and protect the portraits now that the paint
has properly cured.
The Senate Preservation Board of Trustees will hold its first
meeting. The Senate Curatorial Advisory Board will continue to meet
semi-annually and address such issues as the Commission and the office
of the Senate Curator may bring before it.
Work on the United States Senate Catalogue of Graphic Art will be
completed in 2005. Information panels for three paintings will be
developed: The Florida Case before the Electoral Commission, The Battle
of Lake Erie, and First Reading of the Emancipation Proclamation.
Internet exhibits will include sites on Isaac Bassett and the
Senate Chamber desks. The Isaac Bassett exhibit will feature art works,
historic images, and objects from the Senate Collection, as well as
portions of the Bassett manuscript, highlighting the 64-year career of
this nineteenth-century Senate employee. The Senate Chamber desk
exhibit will bring together all historical information on the desks, as
well as discuss the conservation efforts. The site will prove
invaluable to anyone seeking information on desk occupants, desk
styles, and Senate floor seating configurations. Other web activities
include increasing the art and historic information on the site, and
posting new acquisitions.
To streamline the process for adding new objects to the Senate
Collection, a tracking system for potential accessions will be
developed. The system will improve the collection of information and
the availability of collection documentation. A thorough review and
consideration of the Incoming Objects Register collection will commence
with the development of the tracking system. Additionally, the
Registration department will implement an electronic tracking system to
improve the accuracy and efficiency of loan renewals.
Collection activities will include efforts to locate and recover
historic Senate pieces long associated with the institution. Work has
begun to find an early Senate Chamber chair by Thomas Constantine, a
Russell Office Building desk by George Cobb, and furnishings associated
with the Old Supreme Court Chamber.
The office will proceed with the Connecticut Compromise mural and
the portrait of Senator Bob Dole. Unveilings will be held for the
Senator George Mitchell and Senator Margaret Chase Smith paintings.
An oral history program will be developed, based on the Senate
Historical Office's successful format, to document the history of the
Senate's collections. Artists, cabinetmakers, donors, and others will
be interviewed, and appropriate information posted on the Senate web
site.
Microfiching of the fine art collection files and microfilming of
the Isaac Bassett papers will be completed, as will the project to
digitize the annual reports from the AOC, SAA, and Secretary of the
Senate. The office will continue to photograph the Senate Chamber
desks.
The office plans to expand its use of Groove project management
software. It is hoped that by the end of the year all staff will
achieve a reasonable level of proficiency in the program and that many
projects will be managed and their status reported to the Secretary
using this application.
With the recent acquisition of the Cornelius & Baker armorial
chandelier, the office will oversee the transfer and storage of the
fixture, and will work with the Senate Curatorial Advisory Board to
review options for the future use of the fixture within the Senate
wing.
The office will undertake several major research initiatives.
Research on the Old Senate Chamber Eagle and Shield will be conducted
in conjunction with major decorative art museums and scholars, and it
is hoped that it will result in determining the origin, maker, and
original condition of this important symbolic image. Research will
begin on the Senate Chamber chairs. No original 1819 chairs remain in
the chamber, and as new chairs were constructed over the years, many
design features and materials changed. Documenting these changes will
help determine the authenticity and age of any chair that might appear
for sale or donation; currently several such chairs are being
considered for acquisition.
Of importance is the development of a five year plan for the Senate
Preservation Program. In creating the plan, the Curator's staff will
further their knowledge of state capitol preservation efforts by
visiting other sites and meeting with local and state preservationists,
and will seek advice from the Senate Curatorial Advisory Board. This
will be a major initiative in advancing the Preservation Program.
3. JOINT OFFICE OF EDUCATION AND TRAINING
The Joint Office of Education and Training provides employee
training and development opportunities for all Senate staff both in
Washington D.C. and in the states. There are three branches within the
department. The technical training branch is responsible for providing
technical training support for approved software packages used in
either Washington or the state offices. The computer training staff
provides instructor-led classes; one-on-one coaching sessions;
specialized training provided by vendors, computer based training; and
informal training and support services. The professional training
branch provides courses for all Senate staff in areas including
management and leadership development, human resources issues and staff
benefits, legislative and staff information, new staff and intern
information. The Health Promotion branch provides seminars, classes and
screenings on health related and wellness issues. This branch also
coordinates an annual Health Fair for all Senate employees and four
blood drives each year.
Training Classes
The Joint Office of Education and Training offered 581 classes in
2004. 5,252 Senate employees participated in these classes. The
registration desk handled 20,467 requests for training and
documentation.
Of the above total, in the Technical Training area 265 classes were
held with a total attendance of 1,093 students. An additional 702 staff
received coaching on various software packages and other computer
related issues.
In the Professional Development area 316 classes were held with a
total attendance of 4,159 students. Individual managers and supervisors
are also encouraged to request customized training for their offices on
areas of need.
The Office of Education and Training is available to work with
teams on issues related to team performance, communication or conflict
resolution. During 2004, 40 requests for special training or team
building were met. Professional development staff also traveled to
state offices to conduct specialized training and team building during
the year. During the last quarter of the year, training was offered via
video teleconferencing to two state offices.
In the Health Promotion area, 708 Senate staff participated in
Health Promotion activities throughout the year. These activities
included cancer screening, bone density screening and seminars on
health related topics. Additionally 1,310 staff participated in the
Annual Health Fair held in September.
The Joint Office of Education and Training has actively worked with
the Office of Security and Emergency Preparedness to provide security
training for Senate staff. In 2004, the Office of Education and
Training coordinated 53 sessions of escape hood and other security
related training for 1,683 Senate staff.
State Training
Since most of the classes that are offered are only practical for
D.C. based staff, the Office of Education and Training continues to
offer the ``State Training Fair'' which began in March 2000. In 2004,
two sessions of this program were offered to state staff. This office
also conducted our annual State Directors Forum for the second year. In
addition, this office has implemented the ``Virtual Classroom'' which
is an internet based training library of 300+ courses. To date, 396
state office and DC staff have used this training option.
4. CHIEF COUNSEL FOR EMPLOYMENT
Background
The Office of the Senate Chief Counsel for Employment (``SCCE'') is
a non-partisan office established at the direction of the Joint
Leadership in 1993 after enactment of the Government Employee Rights
Act (``GERA''), which allowed Senate employees to file claims of
employment discrimination against Senate offices. With the enactment of
the Congressional Accountability Act of 1995 (``CAA''), Senate offices
became subject to the requirements, responsibilities and obligations of
11 employment laws. The SCCE is charged with all legal defense of
Senate offices in all employment law cases at both the administrative
and court levels. Also, on a day-to-day basis, the office provides
legal advice to Senate offices about their obligations under employment
laws. Accordingly, each of the 180 offices of the Senate is an
individual client of the SCCE, and each office maintains an attorney-
client relationship with the SCCE.
The areas of responsibilities of the SCCE can be divided into the
following categories:
--Litigation (Defending Senate Offices in Federal Court)
--Mediations to Resolve Lawsuits
--Court-Ordered Alternative Dispute Resolutions
--Preventive Legal Advice
--Union Drives, Negotiations and Unfair Labor Practice Charges
--OSHA/Americans With Disability Act (``ADA'') Compliance
--Layoffs and Office Closings In Compliance With the Law
--Management Training Regarding Legal Responsibilities
--Litigation; Mediations; Alternative Dispute Resolutions
The SCCE represents each of the 180 employing offices of the Senate
in all court actions (including both trial and appellate courts),
hearings, proceedings, investigations, and negotiations relating to
labor and employment laws. The SCCE handles cases filed in the District
of Columbia and cases filed in any of the 50 states.
Union Drives, Negotiations And Unfair Labor Practice Charges
In 2004, no employees attempted to unionize. Therefore, the SCCE
handled no union drives.
OSHA/ADA Compliance
The SCCE provides advice and assistance to Senate offices in
complying with the applicable OSHA and ADA regulations; representing
them during Office of Compliance inspections; advising state offices on
the preparation of the Office of Compliance's Home State OSHA/ADA
Inspection Questionnaires; assisting offices in the preparation of
Emergency Action Plans; and advising and representing Senate offices
when a complaint of an OSHA violation has been filed with the Office of
Compliance or when a citation has been issued. In 2004, the SCCE
assisted all Senate offices in preparing for OSHA/ADA inspections, pre-
inspected 12 offices, and gave 9 OSHA/ADA seminars.
Management Training Regarding Legal Responsibilities
The SCCE conducts legal seminars for the managers of Senate offices
to assist them in complying with employment laws. In 2004, the SCCE
gave 51 legal seminars to Senate offices. Among the topics covered
were:
--Preventing and Addressing Sexual Harassment in the Workplace;
--The Congressional Accountability Act of 1995: What Managers Need to
Know About Their Legal Obligations;
--Managers' Obligations Under the Family and Medical Leave Act;
--The Legal Pitfalls of Hiring the Right Employee: Advertising,
Interviewing, Drug Testing and Background Checks;
--Disciplining, Evaluating and Terminating an Employee Without
Violating Employment Laws;
--Management's Obligations Under the Americans With Disabilities Act;
--Equal Pay for Equal Work: Management's Obligations Under the Equal
Pay Act;
--The Immigration Reform and Control Act of 1986 (IRCA): Steps Your
Office Must Take to Verify Employment Eligibility;
--Enhancing Diversity and Avoiding Discrimination in the Workplace;
and
--Workplace Violence.
Preventive Legal Advice
At times, a Senate office will become aware that an employee is
contemplating legal action, and the office will request the SCCE's
legal advice and/or that the SCCE negotiate with the employee's
attorney before the employee files a lawsuit.
Also, the SCCE advises and meets with Members, Chiefs of Staff,
Administrative Managers, Staff Directors, Chief Clerks and General
Counsels at their request. The purpose is to prevent litigation and to
minimize liability in the event of litigation. For example, on a daily
basis, the SCCE advises Senate offices on matters such as disciplining
or terminating employees in compliance with the law, handling and
investigating sexual harassment complaints, accommodating the disabled,
determining wage law requirements, meeting the requirements of the
Family and Medical Leave Act, and management's rights and obligations
under union laws and OSHA.
5. SENATE GIFT SHOP
The Senate Gift Shop was established under administrative direction
and supervision of the Secretary of the Senate (SOS) in October 1992,
(United States Code, Title 2--Chapter 4). The Gift Shop provides
services to Senators, their spouses, staffs, and constituents, and the
many visitors to the U.S. Capitol complex. Products include a wide
variety of souvenirs, collectibles and fine gift items created
exclusively for the U.S. Senate. Services include special ordering of
personalized products, custom framing, gold embossing, engraving and
shipping.
Facilities
For several years the services offered by the Senate Gift Shop were
over-the-counter sales to walk-in customers at a single location.
Today, after more than 10 years in operation, and as a result of
extended services and continued growth, the Gift Shop now provides
service from three different locations. Services from these locations
include walk-in sales, telephone orders, fax orders, mail orders, and a
variety of special order and catalog sales.
Plans for the movement of inventory from the offsite warehouses to
the soon-to-be completed SAA warehouse are currently being formulated.
Plans include but are not limited to taking a physical inventory of
Gift Shop merchandise stored at both offsite warehouses, devising
methods for securing product on pallets and carts in preparation for
transportation, transporting the merchandise, and the shelving of
inventory upon delivery to the new warehouse.
Operational procedures for the new location such as staffing
requirements, receiving, shipping, and security are currently under
consideration. These issues as well as other procedural considerations
will be more clearly defined through a series of meetings and
communications between SAA and SOS Gift Shop staff as the warehouse
construction nears completion.
Sales Activity
Sales recorded for fiscal year 2004 are $1,494,744.51. Cost of
goods sold during this same period are $1,005,348.34, accounting for a
gross profit of $489,396.17.
In addition to tracking gross profit from sales, the Senate Gift
Shop maintains a revolving fund and a record of on-hand inventory. As
of October 1, 2004, the revolving fund balance was $1,683,079.32 and
the on-hand inventory was valued at $2,090,474.06.
Additional Activity
One of the most important objectives for 2003 and 2004 was
replacing point-of-sale and accounting software, Basic Four, which was
more than twenty years old and no longer meeting the increasingly
unique needs of the Gift Shop.
The company providing the hardware and performing the system
installation of the new retail and financial management system, has
completed the bulk of the contract work and is nearing completion of
the last few deliverables of the contract. The deliverables that remain
to be fulfilled include the ability to export and import financial data
from the Senate Disbursing Office into the Gift Shop's Great Plains
accounting system, the delivery of a basic Web Store/Kiosk database
engine and the development of an e-commerce storefront.
The selected software packages, Microsoft Retail Management System,
Headquarters, Store Operations and Great Plains, are off-the-shelf
products that required little modification to meet the specific
requirements of Senate Gift Shop operations. Currently Gift Shop staff
continue to modify and create databases that will serve as the
foundation for the new retail system. Databases include inventory,
financial data and other information required for detailed reports.
Contractors are currently working to solve programming issues and are
confident that they will be able to complete the contract obligations
in the very near future.
It is important to note that the new system not only will meet the
Gift Shop's current and near-future requirements, but will also
accommodate potential add-on features such as intranet and internet
sales.
Accomplishments and New Products in Fiscal Year 2004
Official Congressional Holiday Ornaments
The year 2002 marked the beginning of the Gift Shop's third
consecutive ``four-year ornament series.'' Each ornament in the 2002-
2005 series of unique collectibles features an architectural milestone
of the United States Capitol and is packaged with corresponding
historical text taken from the book, History of the United States
Capitol: A Chronicle of Design, Construction, and Politics by William
C. Allen, Architectural Historian in the office of the Architect of the
Capitol.
Our 11th annual ornament was released in 2004 and shows the Capitol
enlarged with new marble wings and cast-iron dome designed by
Philadelphia architect Thomas U. Walter who was appointed architect of
the Capitol extension in 1851. Walter enlivened the foreground of his
drawing with a spirited scene of carriages, horses and crowds of
people. In keeping with a Gift Shop tradition, the authentic colors of
the original drawing were reproduced onto a white porcelain stone and
set with a brass frame finished in 24kt gold.
Sales of the 2004 holiday ornament exceeded 33,000, of which more
than 7,400 were personalized with engravings designed, proofed and
etched by Gift Shop staff. Sales revenue from this year's ornament
generated more than $40,000 in scholarship funds for the Senate Child
Care Center.
Pickard China Porcelain ``Executive Authority'' Box
Executive Authority, released in 2004, is the third in a series of
four porcelain boxes that display different images from the Constantino
Brumidi fresco paintings on the ceiling of the President's Room in the
Senate Wing of the United States Capitol. The first and second boxes in
the series, Liberty and Legislation, were released in 2002 and 2003.
The final piece of this series, Religion, will be released later this
year.
United States Senate Catalogue of Fine Art
The Gift Shop purchased for resale the book, United States Senate
Catalogue of Fine Art. In order to ensure availability of this
publication for an extended period of time, a large quantity was
secured.
Projects and New Ideas for 2005
108th Congressional Plate
The series of Official Congressional Plates will continue this year
with the design, development and manufacture of the 108th and 109th
Congressional Plates. The design stage for both plates has been
completed and prototypes are being produced by Tiffany & Co.
In addition to determining the design for the 108th and 109th
Congressional Plates, final artwork is under development with Tiffany's
for the 110th and 111th Congressional Plates.
Constantino Brumidi Birthday Celebration
This year marks the 200th Birthday of Constantino Brumidi, ``The
Artist of the Capitol.'' In celebration of this special occasion, Gift
Shop staff will work closely with the staff of the Curator's Office
throughout 2005 on an initiative to add to our collection of Brumidi-
inspired merchandise.
Intranet/Webster
The Gift Shop actively continues to develop its website. Primary
considerations include website policy, design and layout, content and
products to be featured. It is the Gift Shop's intention to quickly
include links to the offices of the Historian, Curator and Senate
Library so the Senate community using Webster will have ready access to
additional information pertaining to the product or subject of their
interest.
6. HISTORICAL OFFICE
Serving as the Senate's institutional memory, the Historical Office
collects and provides information on important events, precedents,
dates, statistics, and historical comparisons of current and past
Senate activities for use by members and staff, the media, scholars,
and the general public.
The Office advises Senators, officers, and committees on cost-
effective disposition of their non-current office files and assists
researchers in identifying Senate-related source materials. The Office
keeps extensive biographical, bibliographical, photographic, and
archival information on the 1,784 former Senators. It edits for
publication historically significant transcripts and minutes of
selected Senate committees and party organizations, and conducts oral
history interviews with key Senate staff. The photo historian maintains
a collection of approximately 40,000 still pictures that includes
photographs and illustrations of Senate committees and most former
Senators. The Office develops and maintains all historical material on
the Senate web site.
Editorial Projects
Biographical Directory of the U.S. Congress, 1774-2005.--In May
2003, both Houses of Congress adopted H. Con. Res. 138, authorizing
printing of the sixteenth edition of the Biographical Directory of the
United States Congress, 1774-2005. The first edition of this
indispensable reference source was published in 1859; the most recent
edition appeared in 1989. Since 1989, the assistant historian has added
many new biographical sketches, expanded bibliography entries, and
revised and updated most of the database's 1,875 Senate entries. In
preparation for the new print edition, scheduled for release in late
spring/early summer of 2005, the assistant historian has updated the
Congress-by-Congress listing of members through the 108th Congress,
updated the listing of executive branch officers, and completed the
editing and proofing of all Senate-related information. In addition,
existing information has been edited to allow for expanded search
capabilities on the online version at http://bioguide.congress.gov.
Joint Congressional Committee on Inaugural Ceremonies (JCCIC).--In
early 2004, the Office began consulting with the JCCIC to develop
historical content for the JCCIC's web site. The Office conducted
historical research and compiled files for every inauguration since
1789. Based on the information collected, staff provided historical
data for each inauguration, and wrote brief articles on all aspects of
inauguration day, from the morning prayer service to the evening's ball
(including the procession to the Capitol, the swearing-in ceremony, the
inaugural luncheon, and the parade). The photo historian located and
provided photographs and illustrations to accompany the inauguration
profiles and articles. Office staff assisted JCCIC staff with
publishing these materials to the Web site. In addition to the Web
site, the Office assisted the JCCIC with developing the inaugural
theme, and wrote and edited content for printed materials, including
the platform program, luncheon program, and the luncheon portfolio.
Capitol Visitor Center Exhibition Content Committee.--Staff
historians continued to assist the Capitol Preservation Commission in
drafting text for the exhibition gallery of the Capitol Visitor Center.
During 2004, the Office worked with Donna Lawrence Productions to
develop a script for a CVC visitor orientation film.
Administrative History of the Senate.--During 2004, the assistant
historian continued the research and writing of this historical account
of the Senate's administrative evolution, taking advantage of newly
discovered archival resources and improved search capabilities for
contents of nineteenth-century newspapers and periodicals. This study
traces the development of the offices of the Secretary of the Senate
and Sergeant at Arms, considers nineteenth and twentieth-century reform
efforts that resulted in reorganization and professionalization of
Senate staff, and looks at how the Senate's administrative structure
has grown and diversified over the past two centuries.
``Anchor of the Republic: The United States Senate, 1789-2006''.--
The Office began work on a one-volume illustrated history of the
Senate, intended for publication in late 2006. This book will focus on
the Senate's unique constitutional responsibilities, the development of
its traditions and prerogatives, and the contributions of significant
personalities.
Rules of the United States Senate, 1774-1979.--This work in
progress will present a narrative history of the evolution of the
Senate's standing rules, from their antecedents in the Continental
Congress through their most recent recodification in 1979. Following
the narrative section, a documentary section will include the original
text of all standing rules, beginning with those the Senate adopted on
April 16, 1789. It will reprint each of the seven subsequent
recodifications (1806, 1820, 1828, 1868, 1877, 1884, and 1979) along
with changes adopted between each recodification. Appendices will
contain rules of the Continental Congresses, the Senate of the
Confederate States of America, and the abandoned joint rules of
Congress.
Member Services
Members' Records Management and Disposition Assistance.--The Senate
archivist continued to assist members' offices with planning for the
preservation of their permanently valuable records, with special
emphasis on archiving electronic information from computer systems and
transferring valuable records to a home state repository. The archivist
updated the archival sections of the handbook, ``Closing a Senate
Office'' and participated in meetings with all offices of retiring
Senators to plan for the disposition of their records. The archivist
worked with staff from all repositories receiving senatorial
collections to ensure adequacy of documentation and the transfer of
appropriate records with adequate finding aids. The archivist worked
with the Committee on Rules and Administration to recommend a change in
the source of Senate funding for shipment of members' official records
to home-state archival repositories. Public Law 108-447 (December 8,
2004) changed the funding from individual office accounts to the
``Miscellaneous Items'' appropriations account within the contingent
fund of the Senate. The archivist worked with the Sergeant at Arms to
develop protocols for the use of an electronic document management
system operated by the Office of Printing, Graphics, and Direct Mail.
The system is available to all offices for scanning projects and it
simultaneously produces a microfilm version suitable for archival
preservation purposes. The Historical Office began using the system to
produce security copies of its thirty years' accumulation of historical
subject files. The archivist identified and worked with three pilot
project members' offices to implement its use. The archivist conducted
a seminar on records management for Senate offices.
Committee Records Management and Disposition Assistance.--The
Senate archivist provided each committee with staff briefings, record
surveys, guidance on preservation of information in electronic systems,
and instructions for the transfer of permanently valuable records to
the National Archives' Center for Legislative Archives. Over 1,365 feet
of Senate records were transferred to the Archives. The archivist
updated and published Records Disposition Procedures for Offices of the
Secretary of the Senate. The archival assistant continued to provide
processing assistance to committees and administrative offices in need
of basic help with noncurrent files. The archival assistant produced
committee archiving reports in a database format covering records'
transfers for the past five years. The archivist analyzed these reports
to provide committees with suggestions for improvements. The archivist
also worked with all committees to transfer a set of mark-up
transcripts to the Archives for security purposes. The archivist
continues revision of the Records Management Handbook for United States
Senate Committees. Part of the revision entailed developing, with
assistance from National Archives (NARA) staff, a protocol for transfer
of electronic records to NARA's Center for Legislative Archives. The
Committee on Governmental Affairs and its archivist developed and
successfully implemented a project using this protocol. In the project,
all electronic information pertaining to the development of homeland
security legislation was appraised, organized, and sent to the
archives.
Senate Historical Minutes.--The Senate historian continued an
eight-year series of ``Senate Historical Minutes,'' begun in 1997 at
the request of the Senate Democratic Leader. In 2004, the historian
prepared and delivered a ``Senate Historical Minute'' at twenty-four
Senate Democratic Conference weekly meetings. These 400-word Minutes
were designed to enlighten members about significant events and
personalities associated with the Senate's institutional development.
More than 200 Minutes are available as a feature on the Senate Web
site.
Association of Centers for the Study of Congress.--In May, the
Historical Office cosponsored the second annual meeting of the
Association of Centers for the Study of Congress in Washington. Among
the centers involved in this promising new organization are those
associated with the public careers of former Senators Howard Baker, Bob
Dole, Everett Dirksen, Margaret Chase Smith, George Aiken, Thomas Dodd,
Wendell Ford, Hubert Humphrey, Richard Russell, John Stennis, and John
Glenn. The Association elected Senate archivist Karen Paul as its
secretary.
Oral History Program
The Historical Office conducts a series of oral history interviews,
which provide personal recollections of various Senate careers. This
year, oral history interviews were completed with Chuck Ludlam, former
staff member of the Separation of Powers Subcommittee; Arthur
Rynearson, former deputy Senate Legislative Counsel; and Leonard Weiss,
former staff director of the Governmental Affairs Committee. Several
other interviews are currently in progress.
Photographic Collections
The photo historian continued to catalog, digitize, and expand the
Office's 40,000 item photographic collection. Photos and other images
were added to the online collection of Senate Historical Minutes. A
photographic exhibition (``Capitol Scenes: 1900-1950'') was developed
for display on the Capitol's second floor, and a virtual exhibit was
created of the same images for the Senate Web site. Working closely
with the Senate Curator's Office and the Office of Conservation and
Preservation, the photo historian helped to create and mount on the
first floor of the Capitol's Senate wing a photographic exhibition
entitled ``World War II: The U.S. Senate and the Nation's Capital.''
The office acquired a late 19th and early 20th century collection of
scrapbooks containing the photographic images of nearly 900 Senators
who served from the Senate's earliest years through the 1920s. The
photo historian also began working on a pictorial directory that will
include an image of every Senator who has ever served, organized by
state and class. This first-of-its-kind publication will offer a unique
visual representation of the collective Senate from its beginnings to
the present.
Educational Outreach
In coordination with the Joint Office of Education and Training,
Historical Office staff provided seminars on the general history of the
Senate, Senate committees, women Senators, and Senate floor leadership.
Office staff also participated in seminars and briefings for specially
scheduled groups. The historian and associate historian joined the
Secretary of the Senate in making formal presentations at the June 2004
Institute on Congress and American History at the Lyndon B. Johnson
Library and Museum in Austin, Texas. Staff also made several
international presentations. The historian addressed the ``Parliaments,
Representation, and Society Seminar'' at the University of London's
Institute of Historical Research and the associate historian was a
featured speaker at a conference of the International Association of
Oral History in Rome, Italy. Finally, on November 19, 2004, C-SPAN's
``Washington Journal'' devoted an hour-long program to the history of
the Senate and the work of the Senate Historical Office.
7. HUMAN RESOURCES
The Office of Human Resources was established in June 1995 as a
result of the Congressional Accountability Act. The Office develops and
implements human resources policies, procedures, and programs for the
Office of the Secretary of the Senate that not only fulfill the legal
requirements of the workplace but which complement the organization's
strategic goals.
HR's responsibilities include recruiting and staffing; providing
guidance to managers and staff; training; job analysis; compensation
planning, design, and administration; leave administration; records
management; employee handbooks and manuals; internal grievance
procedures; employee relations and services; and organizational
planning and development.
The Human Resources Office also administers the Secretary's Public
Transportation Subsidy program and the Summer Intern Program that
offers college students the opportunity to gain valuable skills and
experience in a variety of Senate support offices.
Ongoing projects for 2005
Classification and Compensation Review Completed
HR conducted a complete classification and compensation study. The
classification study included a comprehensive collection of current job
classifications and specifications for every position in the Office.
For 2005 and beyond, HR will for maintain and update the entire system.
Policies and Procedures
The Secretary, through HR, will update and revise the Employee
Handbook of the Office of the Secretary. With nuances in employment law
and other advances, the policies will be reviewed, coordinated with
counsel (if necessary), revised and updated annually.
In regard to potential violations for said procedures, the
Secretary, through HR and the Senate Chief Counsel for Employment, has
developed an effective method to coordinate inquiries.
Employee Self-Service (ESS)
HR has implemented use of the Employee Self-Service system (ESS)
which is a secure system enabling Secretary staff to review and update
personnel information pertaining to addresses, phone numbers and
emergency contact information. Employees are now able to review and
correct information to their electronic personnel records kept by HR.
Staff and managers can also access leave records and reports through
this system. The ability to review and update this information is
instrumental to maintain accurate contact lists for emergencies or
other contingencies.
New Leave Tracking System
In the past, employees of the Secretary of the Senate had to
maintain ``timesheets'' for each day of work throughout the year. This
system was maintained by each employee and signed off on by the
supervisor and/or department head. HR created a new leave tracking
system whereby attendance is only recorded by the exception, or
absence. Leave slips have been created for staff to complete and submit
prior to needing to take leave. The supervisor approves the request and
forwards it to HR to be entered into the system. Staff now have access
to their leave balance which is maintained by HR. As a result of this
new tracking system, directors and HR are able to generate a multitude
of reports to analyze leave usage by department and organization-wide
and to review leave balances.
Attraction and Retention of Staff
HR has the ongoing task of advertising new vacancies or positions,
screening applicants, interviewing candidates and assisting with all
phases of the hiring process.
Outreach
HR has initiated development of an Elder Care Fair that will be
available for all Senate staff interested in learning more about local
and nationwide services available to assist the elderly and those
responsible for their care. HR is working closely with the Senate
Office of Education and Training and the Employee Assistance Program to
identify and contact agencies that may be of assistance to Senate
staff. The goal is to conduct this one day event in the last quarter of
2005.
Training
In conjunction with the Senate Chief Counsel for Employment, HR has
worked on preparing training for department heads and staff. The
training topics include Conducting Background Checks, Providing
Feedback to Employees and Goal Setting. These skills will further
enhance the ability to our staff to comply and succeed in the
development of the staff of the Secretary of the Senate.
Orienting New Staff
Because first impressions make such a lasting impression, HR has
developed a new consistent means of orienting new staff joining the
Office of the Secretary. This new system allows for a seamless
transition from the orientation of HR, policies, parking, and metro
subsidy, to the particular department the staff member is joining.
Interns and Fellows
HR has been instrumental in the internship program and coordination
of the Heinz Fellowship program. The next group of summer interns will
begin in June 2005.
Employee Feedback and Development
A key to maintaining and improving performance standards, as well
as ensuring completion of organizational objectives, is providing
employee feedback. HR, in conjunction with the Executive Office and
department heads, has established a new comprehensive tool to evaluate
staff at all levels of the organization.
8. INFORMATION SYSTEMS
The staff of the Department of Information Systems provides
technical hardware and software support for the Office of the Secretary
of the Senate. Information Systems staff also work closely with the
application and network development groups within the Senate Sergeant
at Arms (SAA), the Government Printing Office (GPO), and outside
vendors on technical issues and joint projects. The Department provides
computer related support for the all LAN-based servers within the
Office of the Secretary of the Senate. Information Systems staff
provide direct application support for all software installed
workstations, initiate and guide new technologies, and implement next
generation hardware and software solutions.
Mission Evaluation
The primary mission of the Information Systems Department is to
continue to provide the highest level of customer satisfaction and
computer support for all departments within the Secretary of the
Senate's operation. Emphasis is placed on the creation and transfer of
legislation to outside departments and agencies, meeting Disbursing
office financial responsibilities to the member offices, and office
mandated and statutory obligations.
Functional responsibilities for supporting other departments were
expanded, as staffing levels were maintained. Information System staff
functionality was expanded by moving the IT structure from a local LAN
support structure to an enterprise IT support process. Improved
diagnostic practices were adopted to stretch support across all
Secretary departments. Several departments, namely Disbursing, Office
of Public Records, Chief Counsel for Employment, Page School, Senate
Security, and Stationery and Gift Shop have dedicated information
technology staff within those offices. Public Records, Stationery, and
Gift Shop remote support was added in 2004. Information Systems
personnel continue to provide a multi-tiered escalated hardware and
software support for these offices.
For information security reasons, Secretary departments implement
isolated computer systems, unique applications, and isolated local area
networks. The Secretary of the Senate network is a closed local area
network to all offices within the Senate. Information Systems staff
continue to provide a common level of hardware and software integration
for these networks, and for the shared resources of inter-departmental
networking. Information System staff continue to actively participate
in all new project design and implementation within the Secretary of
the Senate operations.
Improvements to the Secretary's LANs
The Senate chose Windows NT as the standard network operating
system in 1997. The continuing support strategy is to enhance existing
hardware and software support provided by the Information Systems
Department, and augment that support with assistance from the SAA
whenever required. The Secretary's network supports approximately 300
user accounts and patron accounts in the Capitol, Hart, Russell,
Dirksen, and the Page School locations.
Continuity of Operations Plan (COOP)
The Office of Information System began disaster planning for the
Secretary's office in June, 1998. In January, 2001, this planning
process had evolved to include other working groups within the Senate .
Working with the Office of Senate Security, SAA, GSA, and GAO
personnel, the Information System COOP plan was developed in March
2001. Initial emphasis was placed on the continuation of legislative
and financial business elements within the Senate.
Beginning in January 2001, new product technology was implemented
to migrate and store legislative data off-line. This success of the
initial pilot project was used to facilitate solutions in other
Secretary offices. The same technology was applied to provide the
department of Public Records with off-line storage capabilities in July
2001.
Near-line server storage solutions augment the normal tape archival
process. Individual server data continues to be backed up each night.
At present snap servers are deployed in key locations and smaller units
are located off-site and are rotated on a bimonthly basis.
Fiscal Year 2004 Highlights
1. Active Directory and Message Infrastructure Project
(ADMA)
The original plan involved replacing all CC:MAIL servers and
gateways with a decentralized Microsoft Outlook solution. The
Secretary's office previously had six Post Offices in six different
server domains. There was no central Public Address Book for all
Secretary employees. Additionally, Secretary Mail requirements needed
to be refined to insure the implemented solution was both cost-
effective and reliable for the Office of the Secretary.
The Microsoft Outlook E-Mail client solution is referred to as the
Messaging Architecture, and the replacement of the existing Windows NT
server installed base is referred to as the Active Directory project.
The initial plan outlined that all staff employees be enrolled in one
central Active Directory Secretary enterprise. Each department (except
the Disbursing and Employment Counsel office) is to be structured as a
Organizational Unit within the new enterprise. In November 2004, the
Office of Employment Counsel migrated to ADMA. Completion of the
remaining offices will occur in fiscal year 2005.
2. Office of Public Records (OPR) Upgrades
Upgrades to all OPR hardware and software were implemented in
fiscal year 2004. This involved replacing four (4) new servers at the
PSQ location, and consolidating all OPR data to a new hardware platform
in SH-232. Operating System software was ungraded and Database software
was transferred to a Windows2000/SQL2000. During the February ricin
event, OPR staff relocated and were able to operate and continue their
scanning operation.
3. Senate Library Catalog Project
The existing Senate Library hardware and software server operation
in SRB-20 was mirrored to facilitate access to the Library Web Catalog
for all Senate offices on the Senate Intranet. Previously only
workstations within SOS could access the catalog. Home and state
offices can now take advantage of the numerous library resources. The
mirrored server operation at another location provides a redundant data
backup to the primary Russell location. Future migration of the catalog
information to the Storage Area Network (SAN) located at the Alternate
Computing Facility is now possible.
4. Legislative Operation Upgrades
The Journal Clerk hardware and software business applications was
updated in fiscal year 2004. The previous version of software was last
updated in 1997, and this new software application now takes advantage
of the LIS repository located at PSQ. Composition of the Senate Journal
is more accurate and takes advantage of the internal LIS architecture.
5. Gift Shop Procurement
A search began early in 2002 to investigate and find a solution for
a replacement hardware and software system for the Senate Gift Shop and
Stationery operations. A procurement was awarded in 2002. New hardware
servers and Point-Of-Sale workstations were installed in January 2004,
the older POS applications retired, and new system integration
completed in February 2004. This is a long-term project which involves
the creation of a new product database, an e-commerce point-of-sale
application, inventory control software, and Disbursing Office reports
generation package.
6. Stationery Room Renovation Procurement
Similar to the Gift Shop renovation project, the Stationery Room
awarded a contract to replace the existing business method. This
process had not been updated in over ten years. Additional hardware and
software was installed in 2004 to support the new point-of-sale system.
In May 2004, an enhancement to the Metro Subsidy system began which
would allow Senate offices to request allotted subsidies in advance
using a web-browser based connection. SAA provided the web-entry portal
and the Secretary installed the necessary SQL database server. An
additional hardware server and new workstations were installed in
December 2004 to support the PTI solution.
7. Curator Project Management Software
In May 2004, the Curator's office desired a method to more
efficiently create, edit, publish, and distribute information relative
to numerous contracts and outside vendor projects. After evaluating
these business requirements, the IT solution implemented now provides
multi-user collaboration software (Groove) to track and monitor these
numerous projects. In parallel, working with SAA Research &
Development, this solution was deemed valuable to other Senate offices
as this package allows staff to communicate and share files regardless
of location.
9. interparliamentary services
The Office of Interparliamentary Services (IPS) has completed its
23rd year of operation as a department of the Secretary of the Senate.
IPS is responsible for administrative, financial, and protocol
functions for all interparliamentary conferences in which the Senate
participates by statute, for interparliamentary conferences in which
the Senate participates on an ad hoc basis, and for special delegations
authorized by the Majority and/or Minority Leaders. The office also
provides appropriate assistance as requested by other Senate
delegations.
The statutory interparliamentary conferences are: NATO
Parliamentary Assembly; Mexico-United States Interparliamentary Group;
Canada-United States Interparliamentary Group; British-American
Interparliamentary Group; United States-Russia Interparliamentary
Group; and United States-China Interparliamentary Group.
In June, the 45th Annual Meeting of the Canada-U.S.
Interparliamentary Group was held in Idaho. Arrangements for this
successful event were handled by the IPS staff.
As in previous years, all foreign travel authorized by the
Leadership is arranged by the IPS staff. In addition to delegation
trips, IPS provided assistance to individual Senators and staff
traveling overseas. Senators and staff authorized by committees for
foreign travel continue to call upon this office for assistance with
passports, visas, travel arrangements, and reporting requirements.
IPS receives and prepares for printing the quarterly financial
reports for foreign travel from all committees in the Senate. In
addition to preparing the quarterly reports for the Majority Leader,
the Minority Leader, and the President Pro Tempore, IPS staff also
assist staff members of Senators and committees in filling out the
required reports.
Interparliamentary Services maintains regular contact with the
Office of the Chief of Protocol, Department of State, and with foreign
embassy officials. Official foreign visitors are frequently received in
this office and assistance is given to individuals as well as to groups
by the IPS staff. The staff continues to work closely with other
offices of the Secretary of the Senate and the Sergeant at Arms in
arranging programs for foreign visitors. In addition, IPS is frequently
consulted by individual Senators' offices on a broad range of protocol
questions. Occasional questions come from state officials or the
general public regarding Congressional protocol.
On behalf of the Leadership, the staff arranges receptions in the
Senate for Heads of State, Heads of Government, Heads of Parliaments,
and parliamentary delegations. Required records of expenditures on
behalf of foreign visitors under authority of Public Law 100-71 are
maintained in the Office of Interparliamentary Services.
Planning is underway for the 44th Annual Meeting of the Mexico-U.S.
Interparliamentary Group, and the second meetings of both the U.S.-
Russia Interparliamentary Group and the U.S.-China Interparliamentary
Group, all of which will be held in the United States in 2005. Advance
work, including site inspection, will be undertaken for the 46th Annual
Canada-U.S. Interparliamentary Group meeting to be held in the United
States in 2006. Preparations are also underway for the spring and fall
sessions of the NATO Parliamentary Assembly.
10. library
The Senate Library provides legislative, legal, business, and
general information services to the United States Senate. The library's
collection encompasses legislative documents that date from the
Continental Congress in 1774; current and historic executive and
judicial branch materials; and an extensive book collection on American
politics, history, and biography. Other resources include a wide array
of on-line systems used to provide nonpartisan, confidential, timely,
and accurate information services to the Senate. The library also
authors content for three Web sites: Legislative Information Service,
Senate.gov, and Webster.
Notable Achievements
Senate Library catalog available to all Senate staff via Webster.
Web inquiries increased 73 percent and overall inquiries increased
61 percent.
Final design requirements for the off-site storage facility
submitted to SAA.
Adjourn time and vote information added to Floor Schedule on
Senate.gov.
Information Services
Research
Legal, legislative, business, and general research is the library's
primary mission. The complexity of research requests may require
several hours of staff time and numerous resources, while working under
strict deadlines. While these request totals are fewer than the Web-
based inquiries, they dominate daily library activity. This year the
library answered 33,750 research inquiries that resulted in the
delivery of 3,265 information packages. Activities supporting research
requests included 2,747 faxes, 156,891 photocopies, and 6,945 pages
printed from the microform collection. The library also loaned 2,165
books and congressional documents to Senate offices. In addition, 371
Senate staff established new borrowing accounts, bringing total
accounts to 2,754.
These research skills are critical in the librarians' ability to
author material for three different Web sites. Since the 2002 redesign
of senate.gov--the Senate's official public Internet site--the
librarians have also become essential content providers, organizational
consultants, and text editors. The 73 percent increase in visitors to
library-authored online resources underscores the library's role in
creating and delivering quality information products on the Web.
Traditional inquires--which are telephone, fax, walk-in, and e-mail
inquiries--plus visitors to library-authored Web resources increased
total requests by 61 percent over last year.
TABLE 1.--SENATE LIBRARY INQUIRY HISTORY, 2000 TO 2004
[Traditional Requests and Visitors to Library-Authored Web Information]
----------------------------------------------------------------------------------------------------------------
Category
-----------------------------------------------
Year(s) Traditional
Phone, Fax, E- Web See Table Total
mail & Walk-in 2 for details
----------------------------------------------------------------------------------------------------------------
2004............................................................ 33,750 602,236 635,986
2003............................................................ 46,234 348,198 394,432
2000-2002 Average............................................... 38,660 2,003 40,663
----------------------------------------------------------------------------------------------------------------
Senate.gov
The Senate Library's mission includes providing accurate, timely,
and professionally organized information about the U.S. Senate on
Senate.gov--the most widely read publication authored by the Office of
the Secretary. The librarians' expert knowledge of the legislative
process and sophisticated research skills are used to develop,
customize, and deliver meaningful and relevant information. They are
able to tailor information to meet the needs of various Web audiences
and they possess the critical skills required to provide organized and
meaningful content.
Senate.gov accomplishments for 2004:
--The Floor Schedule posted on the home page was enhanced this year
by including the adjournment time and a link to the day's
recorded votes, an expansion of the library's original 2003
mandate to publish the convene time and the Senate's daily
program. Prior to nightly posting of the interactive Schedule,
Senate staff were solely dependent upon cloakroom recorded
messages.
--Librarians designed Statistics & Lists to provide easy access to
more than 80 lists of Senate information, including 28 that
detail senatorial biography and service records. Librarians
created a subject arrangement for quick access to the varied
lists. Topics range from Active Legislation (subject-organized
research aids providing bill numbers), to Senators who have
cast more than 10,000 votes, to books about art and
architecture in the U.S. Capitol.
--Librarians researched and designed an historically important page
featuring links to the final Resume of Congressional Activity
for each year since the Resume was created in 1947. To maintain
currency, the latest monthly Resume is posted upon publication
in the Congressional Record. Web designers for both LIS and
THOMAS--the public site for legislative status information--
quickly adopted the senate.gov Resume page to enhance their
existing content.
The library's Web experience benefits offices under the Secretary
needing to publish Internet information. The library designed a page
for Senate Printing and Document Services that provides location,
hours, and contact information, including an e-mail address for public
document requests. The page also includes links to guides on
identifying bill numbers and online texts of legislation, and provides
definitions of the various categories of legislation. Librarians also
coordinate with several Secretary's offices in the posting of monthly
senate.gov articles, which complement Senate business. For instance,
presidential cabinet nominations or an article announcing the United
States Senate Catalogue of Fine Art, was prominently featured for Web
visitors.
The importance of long-range planning to meet the rapidly changing
technical environment was the subject of a series of senate.gov vision
meetings conducted this year. The meetings focused on four topics: the
value of a taxonomy for site organization and content access;
developing a structured workflow and standard editing style; acquiring
appropriate software; and designating staff to support the expanding
Web responsibilities.
TABLE 2.--SENATE.GOV AND LIS VISITORS TO LIBRARY RESOURCES IN 2004
------------------------------------------------------------------------
Visitors
------------------------------------------------------------------------
Active Legislation on Senate.gov........................ 213,014
Reference homepage on Senate.gov........................ 281,836
Virtual Reference Desk on Senate.gov.................... 86,637
Hot Bills List on LIS................................... 11,363
Appropriations Tables, Fiscal Year 1987-2005 on LIS..... 9,386
---------------
TOTAL............................................. 602,236
------------------------------------------------------------------------
Legislative Information System (LIS)
The Legislative Information System (LIS) serves as a gateway to
electronic resources critical to the work of legislative branch staff.
The Senate Library serves on an editorial committee with Congressional
Research Service (CRS) staff tasked to meet the constantly changing
information needs of legislative staff. The committee responds to
congressional staff needs by adding features, reorganizing and
improving content, and enhancing design elements. Among the library's
most popular LIS products for Senate staff are the Hot Bills List and
Appropriations Tables.
The library is also working on improvements in LIS nomination and
treaty chronologies. The project will ensure that all Senate hearing
information is fully identified, regardless of when the hearing was
conducted. The research and data entry strategies will be determined in
2005.
Webster
A major accomplishment in 2004 was the establishment of Senate-wide
access to the online library catalog via Webster--the Senate's
Intranet--which required a coordinated effort by staff from the Office
of the Secretary, the Sergeant at Arms, and the catalog vendor. On-site
installation and reliability testing of the catalog began in January.
The server was transferred to Postal Square in July, where subsequent
security testing was completed before the October 25, 2004 official
release. The catalog provides staff with desktop access to more than
158,000 bibliographic records. These records include legislative
materials dating from the 19th century, executive and judicial branch
documents, and more than 35,000 books on the Senate, American history,
politics, political biography, and legislative issues. Staff may
request same-day book delivery via a catalog link. The catalog also
provides full-text electronic access to selected congressional
hearings, executive branch documents, and periodicals.
The Webster home page announcement feature was successfully used to
promote service seminars, National Library Week events, and the release
of the library catalog. More than 150 staff attended the Webster-
announced events.
Instructional Services
The Information Services team serves as the Search Help Desk for
the Front Page on Webster. Front Page is an information gateway to
commercial databases such as LexisNexis, Westlaw, ProQuest, Leadership
Directories, Congressional Quarterly, Bureau of National Affairs,
National Journal, Federal Document Clearinghouse, Associated Press, and
Reuters. This responsibility requires that each librarian maintain
expert search skills and the ability to instruct staff in the use of
these electronic resources.
Library staff, in conjunction with the Joint Office of Education
and Training (JOET), provide monthly LIS training sessions in which
Senate staff are instructed in the latest electronic research
strategies. Students learn efficient LIS search strategies for the
Congressional Record, bill summary and status reports, roll call votes,
and committee actions. As the LIS Help Desk, the library continues
staff training by answering content and search strategy questions and
providing personalized instruction. The JOET also requested the
library's assistance in developing a survey to determine the best
strategies for delivering information to Senate staff.
Public Relations
The library hosted 25 public relations events in 2004, including
``Services of the Senate Library'' seminars, new staff and state staff
orientations, Senate Page School seminars, and a Secretary of the
Senate ``block party.'' The library also provided tours to several
visiting groups, including Catholic University, University of Maryland,
University of North Carolina, federal librarians, GPO staff, and a
delegation from Japan.
Technical Services
Acquisitions
The library received 11,553 new acquisitions in 2004. Of this
number, 7,523 were congressional documents, 3,314 were executive or
judicial publications, and the remaining 716 items were books related
to politics, American history, or biography. There were several major
acquisitions in 2004, including 127 bound volumes of Senate and House
bills from the 107th Congress; a 42-volume reprint of the Annals of
Congress, containing the congressional debates from 1789-1824; and a
significant portion of the 28 volumes of the John C. Calhoun papers.
As a participant in the Federal Depository Library Program (FDLP),
the library receives categories of legislative and executive and
judicial branch publications from the Government Printing Office (GPO).
In 2004, the library received 3,314 items through FDLP. The trend to
distribute government publications electronically has significantly
reduced the number of paper documents issued. GPO reports that 86
percent of new government documents will only be distributed
electronically. The library responded by adding more than 8,300
government document links to the online catalog. The links provide
Senate staff with immediate desktop access to the materials.
A major project is the ongoing review of the items received through
FDLP. During this fourth year of the project, 2,031 items were
withdrawn from the collection and 1,660 (79 percent) of the items were
donated to requesting federal libraries. The project's final phase
improves document access by integrating executive branch documents with
other collections under a single library classification system. This
year the cataloging staff reclassified and integrated 326 government
documents.
The library's acquisitions committee meets monthly to review and
approve all book purchases. The committee is composed of the Librarian,
two reference librarians, and the acquisitions librarian. Library staff
make recommendations to the committee through a Web-based selection
tool that allows staff to suggest titles for possible purchase.
Cataloging
The library's highly productive cataloging staff draws on years of
experience to produce and maintain a catalog of 158,111 items. During
the year, 8,172 items were added to the catalog and an overall 8
percent increase in titles cataloged was realized.
Cataloging efforts in 2004 focused on historic treaties, Senate
executive reports, and older Senate hearings. In many instances, the
Senate's collection holds the only known copy of the document. This
work contributed to a 33 percent increase over the previous year in
cataloging historic material. As a result, the library contributed 636
new personal and treaty name records through the Name Authorities
Cooperative program (NACO), a total that exceeds that of many larger
institutions. The privilege to participate in NACO recognizes the
professional expertise of the library's catalogers.
Offsite Storage and Collection Maintenance
A warehouse facility, scheduled for completion in 2005, will
provide the Senate with permanent, well-designed offsite storage. The
facility will meet the library's long-term need to preserve the
Senate's archival collections. The warehouse will provide storage for
50,000 volumes, security and fire suppression, museum-standard humidity
and temperature control, and air filtration. An archive of 20,000
historic and rare congressional documents is scheduled for the initial
transfer to the warehouse. To meet Continuity of Operations Plan (COOP)
requirements, the warehouse will have access to the Senate network and
telecommunications systems. Space for collections and equipment
belonging to the Historical Office and Office of Conservation and
Preservation will also be provided.
An important preservation project in 2004 involved 19th century
editions of the Annals of Congress--the official record of
congressional debate from 1789-1824. Multiple sets were carefully
examined to identify the best candidates for preservation. The selected
sets were cleaned, wrapped, boxed, and labeled for eventual rebinding.
Another aspect of collection maintenance is binding contemporary
materials for permanent retention. These materials include the
Congressional Record, Federal Register, and committee publications. In
2004, five shipments of 685 volumes were processed for binding at GPO.
Administrative
Budget
Budget reductions in 2004 totaled $11,009.52. Eight years of
aggressive budget monitoring has resulted in reductions totaling
$70,940.37. Continual review of purchases has eliminated materials that
do not meet the Senate's current information needs. This oversight is
also critical in offsetting cost increases for core materials and for
acquiring new materials. The goal is to provide the highest service
level using the latest technologies and best resources in the most
cost-effective way.
Professional Staff Development
During 2004, Library staff participated in 124 training sessions,
workshops, conferences, tours, and professional development seminars.
The emphasis on continuing education and training is necessary to
maintain and upgrade skill levels, particularly in the ever-changing
field of technology. In addition to classes on news and legal
databases, staff attended technical training sessions that included Web
design, Internet research, taxonomy construction, cataloging
techniques, and book preservation. Senior staff also conducted several
review sessions on the application of cataloging rules.
Library staff toured the Senate Page School, the National Archives,
and several Library of Congress divisions including Maps, Photographs
and Prints, Loan, and Recorded Sound. Staff also attended several
professional conferences including Computers in Libraries, Federal
Depository Library, and the American Association of Law Libraries.
Unum, Newsletter of the Office of the Secretary of the
Senate
Unum staff coordinated a photo of the entire Secretary's staff, the
first since April 1994. The photo was published in the Autumn 2004
issue. The Secretary's quarterly newsletter, produced by Senate Library
staff since May 2000, is a continued success. With distribution to
approximately 1,200 readers, Unum serves as an historic record of
accomplishments, events, and personnel in the Office of the Secretary
of the Senate.
Major Library Goals for 2005
Acquire an XML editing tool for Web publishing.
Implement an organizational structure for the library's home page
on Webster.
Complete integration of library resources onto the Secretary's
network.
Implement an LIS standard for committee hearing data entry.
Transfer 20,000 volumes to the new warehouse.
SENATE LIBRARY STATISTICS FOR CALENDAR YEAR 2004--ACQUISITIONS
--------------------------------------------------------------------------------------------------------------------------------------------------------
Books Government Documents Congressional Publications
----------------------------------------------------------------------------------------
Reports/ Total
Ordered Received Paper Fiche Hearings Prints Bylaw Docs
--------------------------------------------------------------------------------------------------------------------------------------------------------
January.............................................. 25 67 275 103 192 15 74 113 839
February............................................. 5 30 176 76 204 14 68 112 680
March................................................ 20 69 243 103 313 25 208 202 1,163
--------------------------------------------------------------------------------------------------
1st Quarter.................................... 50 166 694 282 709 54 350 427 2,682
==================================================================================================
April................................................ 14 70 171 56 212 15 138 292 954
May.................................................. 33 75 167 0 334 27 88 158 849
June................................................. 18 51 151 6 331 20 119 192 870
--------------------------------------------------------------------------------------------------
2nd Quarter.................................... 65 196 489 62 877 62 345 642 2,673
==================================================================================================
July................................................. 16 62 237 0 281 32 77 295 984
August............................................... 12 37 134 166 392 23 80 316 1,148
September............................................ 15 42 222 242 233 14 61 354 1,168
--------------------------------------------------------------------------------------------------
3rd Quarter.................................... 43 141 593 408 906 69 218 965 3,300
==================================================================================================
October.............................................. 15 90 160 43 203 10 115 289 910
November............................................. 30 66 173 80 252 16 75 343 1,005
December............................................. 22 57 220 110 233 6 68 289 983
--------------------------------------------------------------------------------------------------
4th Quarter.................................... 67 213 553 233 688 32 258 921 2,898
==================================================================================================
2004 Total..................................... 225 716 2,329 985 3,180 217 1,171 2,955 11,553
2003 Total..................................... 355 1,034 2,484 992 3,171 266 596 3,155 11,698
==================================================================================================
Percent Change....................................... -36.62 -30.75 -6.24 -0.71 +0.28 -18.42 +96.48 -6.34 -1.24
--------------------------------------------------------------------------------------------------------------------------------------------------------
SENATE LIBRARY STATISTICS FOR CALENDAR YEAR 2004--CATALOGING
--------------------------------------------------------------------------------------------------------------------------------------------------------
Bibliographic Records Cataloged
S. ------------------------------------------------------------------
Hearing Government Documents Congressional Publications Total
Numbers ------------------------------------------------------- Records
Added to Books Docs./ Cataloged
LIS Paper Fiche Hearings Prints Pubs.
--------------------------------------------------------------------------------------------------------------------------------------------------------
January......................................................... 21 97 5 0 327 7 20 456
February........................................................ 39 16 1 0 188 108 60 373
March........................................................... 12 22 5 0 393 2 60 482
---------------------------------------------------------------------------------------
1st Quarter............................................... 72 135 11 0 908 117 140 1,311
=======================================================================================
April........................................................... 2 32 6 1 221 6 45 311
May............................................................. 15 30 4 0 267 0 65 366
June............................................................ 5 33 2 0 284 19 65 403
---------------------------------------------------------------------------------------
2nd Quarter............................................... 22 95 12 1 772 25 175 1,080
=======================================================================================
July............................................................ 3 24 8 0 338 2 35 407
August.......................................................... 26 28 5 8 187 6 21 255
September....................................................... 24 81 5 0 277 4 75 442
---------------------------------------------------------------------------------------
3rd Quarter............................................... 53 133 18 8 802 12 131 1,104
=======================================================================================
October......................................................... 17 23 9 9 385 0 60 486
November........................................................ 67 21 28 7 186 7 69 318
December........................................................ 9 18 10 16 276 3 87 410
---------------------------------------------------------------------------------------
4th Quarter............................................... 93 62 47 32 847 10 216 1,214
=======================================================================================
2004 Total................................................ 240 425 88 41 3,329 164 662 4,709
2003 Total 221 618 159 81 2,713 490 294 4,355
=======================================================================================
Percent Change.................................................. +8.60 -31.23 -44.65 -49.38 +22.71 -66.53 +125.17 +8.13
--------------------------------------------------------------------------------------------------------------------------------------------------------
SENATE LIBRARY STATISTICS FOR CALENDAR YEAR 2004--DOCUMENT DELIVERY
----------------------------------------------------------------------------------------------------------------
Micrographics Photocopiers
Volumes Materials Facsimiles Center Pages Pages
Loaned Delivered Printed Printed
----------------------------------------------------------------------------------------------------------------
January........................................... 125 219 173 523 5,128
February.......................................... 148 227 81 421 6,320
March............................................. 222 376 260 599 9,834
-------------------------------------------------------------
1st Quarter................................. 495 822 514 1,543 21,282
=============================================================
April............................................. 152 288 160 318 11,705
May............................................... 210 283 158 143 8,444
June.............................................. 195 308 208 707 12,818
-------------------------------------------------------------
2nd Quarter................................. 557 879 526 1,168 32,967
-------------------------------------------------------------
July.............................................. 193 322 235 640 5,435
August............................................ 179 260 112 275 9,588
September 215 240 175 225 8,009
-------------------------------------------------------------
3rd Quarter................................. 587 822 522 1,140 23,032
=============================================================
October........................................... 220 241 112 146 7,983
November.......................................... 168 259 112 323 7,250
December.......................................... 138 242 118 202 7,122
-------------------------------------------------------------
4th Quarter................................. 526 742 342 671 22,355
=============================================================
2004 Total.................................. 2,165 3,265 1,904 4,522 99,636
2003 Total.................................. 1,664 4,078 2,747 6,945 156,891
=============================================================
Percent Change.................................... +30.11 -19.94 -30.69 -34.89 -36.49
----------------------------------------------------------------------------------------------------------------
11. SENATE PAGE SCHOOL
The United States Senate Page School exists to provide a smooth
transition from and to the students' home schools, providing those
students with as sound a program, both academically and experientially,
as possible during their stay in the nation's capital, within the
limits of the constraints imposed by the work situation.
Summary of Accomplishments
Accreditation by the Middle States Commission on Secondary Schools
continues until December 31, 2008.
Two page classes successfully completed their semester curriculum.
Closing ceremonies were conducted on June 4, 2004, and January 14,
2005, the last day of school for each semester.
Orientation and course scheduling for the Spring 2004 and Fall 2004
pages were successfully completed. Needs of incoming students
determined the semester schedules.
Extended educational experiences were provided to pages. Twenty-one
field trips, two guest speakers, opportunities to compete in writing
and speaking contests, to play musical instruments and vocalize, and to
continue foreign language study with the aid of tutors of four
languages were all afforded pages. Nine field trips to educational
sites were provided for summer pages as an extension of the page
experience. National tests were administered for qualification in
scholarship programs as well.
Effective and efficient communication and coordination among SAA,
Secretary, Party Secretaries, Page Program, and Page School continues.
The community service project embraced by pages and staff in 2002
continues. Items for gift packages were collected, assembled, and
shipped to military personnel in Afghanistan, Iraq, and the USO in
Frankfurt, Germany where distribution of the boxes to troops en route
to war zones take place. Pages included letters of support to the
troops serving in Operation Enduring Freedom. Several recipients of
gift packages wrote letters to Pages expressing appreciation.
The evacuation and COOP plans have been reviewed and updated. Pages
and staff continue to practice evacuating to primary and secondary
sites.
Staff and pages participated in escape hood training.
Tutors were trained in evacuation procedures.
Updated materials/equipment were purchased. These included math
software, ten graphing calculators, supplemental English textbooks, a
chemistry textbook, and three pieces of equipment to provide for
computer experiments in science.
Faculty have pursued learning opportunities. The entire faculty and
principal attended a Learning and the Brain conference. Michael Bowers,
history instructor, participated in a seminar conducted in
Williamsburg, VA: ``The Unpleasantness in the Colonies: The American
Revolution From A British Perspective.'' Raymond Cwalina, math
instructor, completed three graduate courses in mathematics and
attended an Advanced Placement calculus seminar. He also attended the
regional and national conventions of the National Council of Teachers
of Mathematics.
Facility re-design to maximize space was completed.
Upgrading science laboratory equipment was accomplished which
allows computer labs to be performed and reduces quantities of supplies
used.
Summary of Plans
Our goals include:
--Individualized small group instruction and tutoring by teachers on
an as-needed basis will continue to be offered.
--Foreign language tutors will provide instruction in French,
Spanish, German, and Latin.
--The focus of field trips will be sites of historic, political, and
scientific importance which complement the curriculum.
--Staff development options will include attendance at a technology
conference, seminars conducted by the Joint Office of Education
and Training, and subject matter conferences conducted by
national organizations.
--The community service project will continue.
12. PRINTING AND DOCUMENT SERVICES
The Office of Printing and Document Services (OPDS) serves as
liaison to the Government Printing Office (GPO) for the Senate's
official printing, ensuring that all Senate printing is in compliance
with Title 44, U.S. Code as it relates to Senate documents, hearings,
committee prints and other official publications. The office assists
the Senate by coordinating, scheduling, delivering and preparing Senate
legislation, hearings, documents, committee prints and miscellaneous
publications for printing, and provides printed copies of all
legislation and public laws to the Senate and the public. In addition,
the office assigns publication numbers to all hearings, committee
prints, documents and other publications; orders all blank paper,
envelopes and letterhead for the Senate; and prepares page counts of
all Senate hearings in order to compensate commercial reporting
companies for the preparation of hearings.
Printing Services
During fiscal year 2004, the OPDS prepared 4,515 printing and
binding requisitions authorizing the GPO to print and bind the Senate's
work, exclusive of legislation and the Congressional Record. Since the
requisitioning done by the OPDS is central to the Senate's printing,
the office is uniquely suited to perform invoice and bid reviewing
responsibilities for Senate printing. As a result of this office's cost
accounting duties, OPDS reviews and assures accurate GPO invoicing and
plays an active role in providing the best possible bidding scenario
for Senate publications.
In addition to processing requisitions, the Printing Services
Section coordinates proof handling and job scheduling and tracking for
stationery products, Senate hearings, Senate publications and other
miscellaneous printed products, as well as monitoring blank paper and
stationery quotas for each Senate office and committee. The OPDS also
coordinates a number of publications for other Senate offices, from the
Curator, Historian, Disbursing, Legislative Clerk, and Senate Library
to the U.S. Botanic Garden, U.S. Capitol Police and Architect of the
Capitol. These tasks include providing guidance for design, paper
selection, and specifications for quotations, monitoring print quality
and distribution. Last year's major printing projects included the
Report of the Secretary of the Senate, the Semiannual Report of the
Architect of the Capitol and a variety of printed materials required
for the Presidential Inauguration including invitations, parking
passes, maps, tickets and signage. The office also provided guidance
and informational packets for new Senate office staff. Current major
projects for the office include a full color version of the ``History
of the U.S. Botanic Garden 1861-1991'' and the ``U.S. Senate Catalogue
of Graphic Art'' a companion volume to the fine art catalogue produced
by the Senate Curator's office in 2003.
Hearing Billing Verification
Senate committees often use outside reporting companies to
transcribe their hearings, both in-house and in the field. The OPDS
processes billing verifications for these transcription services
ensuring that costs billed to the Senate are accurate.
During 2004, OPDS provided commercial reporting companies and
corresponding Senate committees a total of 787 billing verifications of
Senate hearings and business meetings. This translated to an average of
41.4 hearings/meetings per committee, an eight percent decrease from
2003, typical of an election year. Over 56,000 transcribed pages were
processed at a total billing cost of approximately $367,000.
The OPDS utilizes a program developed in conjunction with the
Senate Sergeant at Arms Computer Division that provides more billing
accuracy and greater information gathering capacity, and adheres to the
guidelines established by the Senate Committee on Rules and
Administration for commercial reporting companies to bill the Senate
for transcription services. During 2004 the office reached its goal of
increasing efficiency and accuracy by processing all file transfers
between committees and reporting companies electronically. Department
staff continue training to apply today's expanding digital technology
to improve performance and services.
HEARING TRANSCRIPT AND BILLING VERIFICATIONS
----------------------------------------------------------------------------------------------------------------
Percent change
2002 2003 2004 2004/2003
----------------------------------------------------------------------------------------------------------------
Billing Verifications........................... 953 975 787 -8.0
Average per Committee........................... 50 51.3 41.4 -8.0
Total Transcribed Pages......................... 71,558 70,532 56,262 -8.0
Average Pages/Committee......................... 3,766 3,712 2,961 -8.0
Transcribed Pages Cost.......................... $471,807 $461,807 $366,904 -8.0
Average Cost/Committee.......................... $24,832 $24,288 $19,311 -8.0
----------------------------------------------------------------------------------------------------------------
Additionally, the Service Center within the OPDS is staffed by
experienced GPO detailees that provide Senate committees and the
Secretary of the Senate's Office with complete publishing services for
hearings, committee prints, and the preparation of the Congressional
Record. These services include keyboarding, proofreading, scanning, and
composition. The Service Center provides the best management of funds
available through the Congressional Printing and Binding Appropriation
because committees have been able to decrease or eliminate additional
overtime costs associated with the preparation of hearings.
Document Services Distribution, Inventory & On Demand Publication
The Document Services Section coordinates requests for printed
legislation and miscellaneous publications with other departments
within the Secretary's Office, Senate committees, and the GPO. This
section ensures that the most current version of all material is
available, and that sufficient quantities are available to meet
projected demands. The Congressional Record, a printed record of Senate
and House floor proceedings, Extension of Remarks, Daily Digest and
miscellaneous pages, is one of the many printed documents provided by
the office on a daily basis.
CONGRESSIONAL RECORD STATISTICS
----------------------------------------------------------------------------------------------------------------
2002 2003 2004
----------------------------------------------------------------------------------------------------------------
Pages Printed:
For the Senate.............................................. 14,489 16,835 12,642
For the House............................................... 15,201 16,259 14,243
-----------------------------------------------
Total Pages Printed....................................... 29,690 33,094 26,885
===============================================
Copies Printed & Distributed:
To the Senate............................................... 439,953 307,917 227,192
To the House................................................ 301,383 441,735 331,165
To the Executive Branch and the Public...................... 532,813 449,750 323,957
-----------------------------------------------
Total Copies Printed & Distributed........................ 1,268,603 1,199,402 882,314
===============================================
Production Costs:
Senate Costs................................................ $6,339,539 $9,886,805 $7,961,741
House Costs................................................. $6,609,307 $9,563,592 $9,026,893
Other....................................................... $539,535 $693,141 $555,010
-----------------------------------------------
Total Production Costs.................................... $13,488,381 $20,143,538 $17,543,644
===============================================
Costs Per Copy Cost............................................. $12.14 $16.79 $19.88
----------------------------------------------------------------------------------------------------------------
Although accessing legislative documents through the Internet is
popular, there is still a strong need for printed documents, especially
for larger sized legislation like the omnibus conference reports. The
OPDS continually tracks demand for all classifications of congressional
legislation and twice yearly adjusts the number of documents ordered in
each category to closely match demand. Document waste has decreased
significantly over the past several years.
The office supplements depleted legislative documents where needed
by producing additional copies in the DocuTech Service Center which is
staffed by experienced GPO detailees that provide Member offices and
Senate committees with on-demand printing and binding of bills and
reports. In March 2004, the office coordinated the installation of a
new and improved DocuTech high speed digital copier and production
publisher. This machine helps to decrease the quantities of documents
printed directly from GPO and increases the ability to reprint
documents on-demand on a larger scale. In 2004, the DocuTech Center
produced 471 tasks for a total of 660,554 printed pages. The DocuTech
is networked with GPO allowing print files to be sent back and forth
electronically, which provides an advantage of quickly printing
necessary legislation for the Senate floor and other offices in the
event of a GPO COOP situation.
The primary responsibility of the Documents Services Section is to
provide services to the Senate. However, the responsibility and this
office's dedication and assistance to the general public, the press,
and other government agencies is virtually indistinguishable from the
services provided to the Senate. Requests for material are received at
the walk-in counter, through the mail, by fax, and online. In addition,
the office handled over 20,000 phone calls in 2004 pertaining to
document requests and legislative questions. Recorded messages, fax,
and e-mail operate around the clock and are processed as they are
received along with mail requests. The office stresses prompt,
courteous and accurate answers to the various public and Senate
requests.
SUMMARY OF ANNUAL CUSTOMER SERVICE STATISTICS
----------------------------------------------------------------------------------------------------------------
Congress/ Public FAX Counter
Calendar year session mail request E-mail request
----------------------------------------------------------------------------------------------------------------
2002..................................................... 107/2nd 3,637 1,866 662 55,930
2003..................................................... 108/1st 1,469 2,596 735 53,040
2004..................................................... 108/2nd 1,137 2,229 564 36,780
----------------------------------------------------------------------------------------------------------------
On-line Ordering
The past year has brought significant changes in providing new
services and improving existing ones. In 2004 many more Senate offices
have taken advantage of the on-line blank paper ordering system
implemented in 2003. With help from the Secretary's Office of Web
Technology Department, OPDS expanded its content on senate.gov
including new links to other sources of legislative information. The
ability to order documents on-line, once reserved for staff only, has
been opened for public use. The Legislative Hot List Link, where
Members and staff can confirm arrival of printed copies of the most
sought after legislative documents is still very popular. The site is
updated several times daily--each time new documents arrive from GPO in
the Document Room. The Office of Printing and Document Services
continues to seek new ways to use technology to assist Members and
staff with added services and improved access to information.
13. OFFICE OF PUBLIC RECORDS
The Office of Public Records receives, processes, and maintains
records, reports, and other documents filed with the Secretary of the
Senate involving the Federal Election Campaign Act, as amended; the
Lobbying Disclosure Act of 1995; the Senate Code of Official Conduct:
Rule 34, Public Financial Disclosure; Rule 35, Senate Gift Rule
filings; Rule 40, Registration of Mass Mailing; Rule 41, Political Fund
Designees; and Rule 41(6), Supervisor's Reports on Individuals
Performing Senate Services; and Foreign Travel Reports.
The office provides for the inspection, review, and reproduction of
these documents. From October 2003, through September 2004, the Public
Records office staff assisted more than 2,000 individuals seeking
information from reports filed with the office. Additional assistance
was provided by telephone, and given to lobbyists attempting to comply
with the provisions of the Lobbying Disclosure Act of 1995. A total of
93,655 photocopies was sold in the period. In addition, the office
works closely with the Federal Election Commission, the Senate Select
Committee on Ethics and the Clerk of the U.S. House of Representatives
concerning filing requirements.
Fiscal Year 2004 Accomplishments
The Public Records office revised and improved the lobbying pages
on senate.gov based upon recommendations of an independent survey of
North American disclosure web sites. The office also completed
transition to the next generation of server hardware. During the ricin
incident, the office COOP plan was activated and operational in three
hours.
Plans for Fiscal Year 2005
The office intends to develop on-site redundancy in conjuncture
with other offices under the Office of the Secretary that have scanning
functions. The office also plans to modernize the on-site public access
software.
Automation Activities
During fiscal year 2004, the Senate Office of Public Records
automated the Foreign Travel Reports filed under the Mutual Security
Act of 1954. This is the first time that these records have been
automated. The value to the Senate is that in the event of a COOP
activation, they become easily accessible off-site.
Federal Election Campaign Act, as Amended
The Act requires Senate candidates to file quarterly reports, and
pre and post election reports in the case of candidates running for
office in 2004. Filings totaled 4,677 documents containing 290,592
pages.
Lobbying Disclosure Act of 1995
The Act requires semi-annual financial and lobbying activity
reports. As of September 30, 2004, 6,231 registrants represented 19,758
clients and employed 30,402 individuals who met the statutory
definition of ``lobbyist.'' The total number of lobbying registrations
and reports was 51,496.
Public Financial Disclosure
The filing date for Public Financial Disclosure Reports was May 17,
2004. The reports were available to the public and press by Friday,
June 11th. Copies were provided to the Select Committee on Ethics and
the appropriate state officials. A total of 2,692 reports and
amendments were filed containing 15,695 pages. There were 328 requests
to review or receive copies of the documents.
Senate Rule 35 (Gift Rule)
The Senate Office of Public Records has received over 1,392 reports
during fiscal year 2004.
Registration of Mass Mailing
Senators are required to file mass mailings on a quarterly basis.
The number of pages was 519.
14. SENATE SECURITY
Introduction
The Office of Senate Security (OSS) was established under the
Secretary of the Senate by Senate Resolution 243 (100th Congress, 1st
Session). The Office is responsible for the administration of
classified information security programs in Senate offices and
committees. In addition, OSS serves as the Senate's liaison to the
Executive Branch in matters relating to the security of classified
information in the Senate.
Personnel Security
Five hundred twenty-three Senate employees held one or more
security clearances at the end of 2004. This number does not include
clearances for employees of the Architect of the Capitol nor does it
include clearances for Congressional Fellows assigned to Senate
offices. OSS also processes these clearances.
In the past year, OSS processed 1,904 personnel security actions, a
21.3 percent decrease from 2003. One hundred twenty-two investigations
for new security clearances were initiated last year, and 61 security
clearances were transferred from other agencies. Senate regulations, as
well as some Executive Branch regulations, require that individuals
granted Top Secret security clearances be reinvestigated at least every
five years. Staff holding Secret security clearances are reinvestigated
every ten years. During the past year, reinvestigations were initiated
on 62 Senate employees. OSS processed 137 routine terminations of
security clearances during the reporting period and transmitted 310
outgoing visit requests. The remainder of the personnel security
actions consisted of updating access authorizations and compartments.
The length of time required for the Department of Defense (DOD) and
the Federal Bureau of Investigation (FBI) to process Senate staff for
security clearances has increased from 207 days to 260 days. The
average time for investigations has increased by 25.6 percent relative
to 2003. Since the previous increase for 2002 to 2003 was 66.7 percent,
this represents a very significant increase in the last two years. The
average time for an initial investigation conducted and adjudicated by
the Department of Defense (DOD) is 256 days from the date that OSS
requests the investigation until the letter from DOD granting the
clearance is received in Senate Security. The average time for DOD
initial investigations increased 30.6 percent. The periodic
reinvestigation process averages 270 days, a increase of 2.7 percent
relative to 2003. The average time for an initial investigation
conducted by the Federal Bureau of Investigation (FBI) and adjudicated
by DOD is 252 days while the periodic reinvestigation process averages
264 days. The FBI times represent an decrease of 5.6 percent and 29.0
percent respectively.
Two hundred seven records checks were conducted at the request of
the FBI. This represents a 4.0 percent increase in records checks
completed by OSS.
Security Awareness
OSS conducted or hosted 63 security briefings for Senate staff.
Topics included information security, counterintelligence, foreign
travel, security managers' responsibilities, office security
management, and introductory security briefings. This represents a 20.3
percent decrease from 2003.
Document Control
OSS received or generated 2,802 classified documents consisting of
86,109 pages during calendar year 2003. This is a 5.0 percent increase
in the number of documents received or generated in 2003. Additionally,
63,750 pages from 2,670 classified documents no longer required for the
conduct of official Senate business were destroyed. This represents an
18.2 percent decrease in destruction. OSS transferred 1,185 documents
consisting of 43,970 pages to Senate offices or external agencies, up
57.2 percent from 2003. These figures do not include classified
documents received directly by the Appropriations Committee, Armed
Services Committee, Foreign Relations Committee, and Select Committee
on Intelligence, in accordance with agreements between OSS and those
Committees. Overall, Senate Security completed 6,657 document
transactions and handled over 193,829 pages of classified material in
2004, a decrease of 0.4 percent.
Secure storage of classified material in the OSS vault was provided
for 107 Senators, committees, and support offices. This arrangement
minimizes the number of multiple storage areas throughout the Capitol
and Senate office buildings, thereby affording greater security for
classified material.
Secure Meeting Facilities
OSS secure conference facilities were utilized on 1,145 occasions
during 2004. Use of OSS conference facilities decreased 16.7 percent
from 2003 levels. Six hundred seventy-three meetings, briefings, or
hearings were conducted in OSS' three conference rooms. Of those, nine
were ``All Senators'' briefings and five were hearings. OSS also
provided to Senators and staff secure telephones, secure computers,
secure facsimile machine, and secure areas for reading and production
of classified material on 472 occasions.
15. STATIONERY ROOM
The mission of the Keeper of the Stationery is:
--To sell stationery items for use by Senate offices and other
authorized legislative organizations.
--To select a variety of stationery items to meet the needs of the
Senate on a day-to-day basis and maintain a sufficient
inventory of these items.
--To purchase supplies utilizing open market procurement, competitive
bid and/or GSA Federal Supply Schedules.
--To maintain individual official stationery expense accounts for
Senators, Committees, and Officers of the Senate.
--To render monthly expense statements.
--To insure receipt of reimbursements for all purchases by the client
base via direct payments or through the certification process.
--To make payments to all vendors of record for supplies and services
in a timely manner and certify receipt of all supplies and
services.
--To provide delivery of purchased supplies to the requesting
offices.
------------------------------------------------------------------------
Fiscal Year Fiscal Year
2004 2003
Statistical Statistical
Operations Operations
------------------------------------------------------------------------
Gross Sales............................. $4,740,221 $4,843,716
Sales Transactions...................... 58,682 61,140
Purchase Orders Issued.................. 6,741 7,545
Vouchers Processed...................... 7,485 8,689
Metro Fare Media Sold................... 67,836 52,279
$20.00 Media........................ 60,564 46,260
$10.00 Media........................ 4,124 3,023
$5.00 Media......................... 3,148 2,996
===============================
Full Time Employees (FTE)............... 13 13
------------------------------------------------------------------------
Fiscal Year 2004 Highlights and Projects
Communications.--The Stationery Room stressed communication with
the Administrative Managers Steering Group to keep in touch with the
customers' needs.
Flag Modernization Project.--The Stationery Room was tasked to
serve on a committee with the other three business unit owners of the
flag process. This effort was facilitated by staff of the Senate
Sergeant at Arms and a consultant. The consultant was contracted by the
SAA to outline all of the processes involved and to identify how each
user of the process interacted with the other business unit owners. The
consultant was also tasked to make recommendations to streamline the
process.
Mass Transit Electronic FORM.--During the first quarter of the
fiscal year, the Stationery Room began a pilot project to expedite and
streamline the purchase processes of the Mass Transit Subsidy Program.
Evolving from the pilot, the concept was to develop a Web-based
application that could provide the same functionality and ease of use
by the Program Administrators, yet be supported within the Senate
community. In cooperation with the SAA IT Development Group, the
application was written as a Web-based product. This electronic version
is now being deployed through the use of the Senate's intranet server.
Computer Modernization Project.--During the first half of fiscal
year 2004, Stationery Room staff spent considerable time working with a
consultant to develop a requirements document, to outline the
technological needs of the Department in order to move from technology
now two decades old to a more robust application. As a result of the
requirements document, in May 2004, Stationery Room staff began working
with key staff members of the Secretary's Executive Office and the SAA
Procurement staff to develop a ``Statement of Work'' to be used for the
Request for Proposal phase and awarding of a contract. In September
2004, a contract was executed to provide software tailored to the needs
of the Senate Stationery Room.
Warehouse Project.--The Senate Stationery Room has been involved in
this long-term SAA project. The project mission was to determine the
warehouse needs by each business user and then find a facility to meet
those needs. Current usage, along with future requirements were
determined with the assistance of SAA staff and consultants.
Additionally, the Stationery Room took the opportunity to factor in
COOP requirements that could support this department should a
displacement occur.
16. WEB TECHNOLOGY
The Office of Web Technology is responsible for web sites that fall
under the purview of the Secretary of the Senate, including: the Senate
Web site, www.senate.gov (except individual Senator and Committee
pages); the Secretary web site on the Senate intranet, Webster; an
intranet site currently used for file-sharing by Secretary staff only;
and a LegBranch web server housing web sites and project materials
which can be accessed by staff at other Legislative Branch agencies.
Senate Web Site (www.senate.gov)
Senate Web site content is maintained by over 30 contributors from
7 departments of the Secretary's Office and 3 departments of the
Sergeant at Arms. Throughout 2004, senate.gov content providers focused
on fine-tuning and reorganizing content for usability, based on
personal experience and feedback from the public. Collaboration
continued throughout the year resulting in the coordinated posting of
monthly feature articles in the major areas of the site.
Several new items were added to the site as well, including: A new
subsection in the Reference Section called ``Statistics & Lists''; the
Placement Office web page posting their brochure & employment bulletin;
and a collection of several Classic Senate Speeches.
Activities contemplated and/or underway at year's end include: A
search feature, already available to Senate offices for use on their
own sites; a redesign of the Homepage, bringing additional content up
to the front page; several multimedia/animated presentations: The
Political Cartoons of Puck--completed and soon to be posted; the
Drawings of Lily Spandorf--75 percent complete; and Issac Bassett's
papers Senate Desks Redesign and expansion of the Virtual Tour.
The Senate Web site (www.senate.gov) content is managed using the
Documentum Web Content Management System which allows content providers
to create and post information to the web site without knowing the
format language of the web, HTML. The Department of Web Site Technology
completed several system-enhancing development projects in 2004.
--Creation of a Java Servlet Page (JSP) Slideshow application
--Development of templates for Statistical Tables
--Authoring in XML--The Cloture Motions Project
--Sending Graphic Art Prints Data to GPO
--Upgrading Documentum 4i to Documentum 5i
--Publishing to Webster from Documentum--the Library Catalogers
Project
Below is a description of several projects and how specific
problems were solved or the Documentum content management system was
enhanced to provide more functionality for the content providers.
JSP Slideshow
The Request: Several offices requested a slideshow application
where images could be shown in an effective and interesting manner. The
original template was designed for the Inaugural Print Objects the
Curator's Office planned to exhibit for the inauguration.
The Solution: All needed objects from the Curator's database were
exported into an XML format. Then, using another style sheet,
individual XML files and all associated files (five different-sized
graphics for each print, and an XML file that contains descriptive
information about the graphics and links the graphics to the CMS
object) were created. This method was highly effective since it allows
the Curator's Office to keep information only in one place and then
offers unlimited repurposing of this information by sending the data in
an XML format to the Content Management System.
The Slideshow template makes an actual JSP, java servlet page, file
that includes all necessary information about the slideshow. This
project was the first time JSP technology was used on the Senate's
central site, which was recently made possible through the upgrade of
the Cold Fusion Application Server. Besides being able to offer users
more interaction, and thus a more enjoyable web visit, using JSP
technologies was also a proof of concept for using Java through Cold
Fusion.
Individual instances of the slideshow template were made for each
inauguration in the exhibit, 1853-1905. The Curator's Office can easily
modify the data in any part of the exhibit without knowledge of web
technologies. The final aspect of this project was to make a slideshow
of the slideshows, thus connecting each small slideshow into one large
cohesive exhibit. This was done through the modification of the
original slideshow template to allow seamless integration as users
click through the exhibit.
Moving Forward:
The Curator's Office has already found other uses for the slideshow
template, such as a timeline for the unveiling of two portraits in the
Senate Reception Room and is now in the midst of an exhibit on Daniel
Webster. The slideshow template has been enhanced in several different
ways to allow for other purposes. The Historical Office used a simpler
version for their Capitol Scenes: 1900-1950, on-line exhibit. The
Historical Office also plans to use a slightly modified version of this
same template for two upcoming online exhibits.
Many more slideshows will be appearing on the Senate web site
through the extension of the JSP Slideshow template.
Examples:
``I Do Solemnly Swear'': A Half Century of Inaugural Images http://
www.senate.gov/artandhistory/art/common/image_collection/inauguration_
slideshow.htm
Capitol Scenes: 1900-1950 RLINK"http://www.senate.gov/
artandhistory/history/common/slideshow/capitol_scenes.jsp" http://
www.senate.gov/artandhistory/history/common/slideshow/
capitol_scenes.jsp
Vandenburg and Wagner Time Line http://www.senate.gov/
artandhistory/art/common/slideshow/vandenburg_wagner.jsp
Daniel Webster Objects http://www.senate.gov/artandhistory/art/
common/slideshow/daniel_webster.jsp
Statistical Tables
The Request: The Senate Library requested a way to post their
statistical information online. None of the currently existing
templates gave them the control they desired for their information.
The Solution: New content templates were created specifically for
tables. These ranged from two-column tables up to seven-column tables
that offer controls to the content authors on how the information is
displayed. For example, they can choose to have a print friendly
version, if the information is applicable, or to include standard
header information, which is encapsulated separately and thus reusable,
or to display vertical lines to make the information more readable.
This office worked very closely with the Senate Library to make
these various table templates work for all their complex information
needs. Through XML we are able to offer multiple renditions of the same
information for different displays (i.e., viewing online, printing, or
pdf formats). This solution greatly appealed to the librarians since it
now enables them to update the information in just one file and have
all the various presentations of this information updated automatically
from their one source file.
Moving Forward:
The Senate Historical Office has plans to begin using these same
templates to disseminate some of their data well suited for a table.
Additionally, they would like to have more renditions made from the
same data source, XML file, such as a rich text format (RTF) for
internal use.
The Senate Curator's Office has asked for the same abilities,
arranging data in columns for some of their information. Pieces of the
program for the original tables have been reused to accomplish their
goals.
Examples:
Statistics & Lists Home Page (two-column) http://www.senate.gov/
pagelayout/reference/two_column_table/stats_and_lists.htm
Measures Proposed to Amend the Constitution (three-column) http://
www.senate.gov/pagelayout/reference/three_column_table/
measures_proposed_ to_amend_constitution.htm
Votes by Vice Presidents to Break Tie Votes in the Senate (four-
column) http://www.senate.gov/pagelayout/reference/four_column_table/
Tie_Votes.htm
Sunday Sessions of the Senate (since 1861) (five-column) http://
www.senate.gov/pagelayout/reference/five_column_table/
Sunday_Sessions.htm
George W. Bush Cabinet Nominations (six-column) http://
www.senate.gov/pagelayout/reference/six_column_table/Bush_cabinet.htm
Inaugural Luncheons (Curator's Office) http://
wip.cmsprod.senate.gov/artandhistory/art/common/collection_list/
inaugural_luncheons.htm
Authoring in XML--The Cloture Motions Project:
The Request: The Senate Library maintains statistical information
on the various Cloture Motions filed during a Congress. This
information is very complicated in terms of the special cases that
occur with these proceedings. This statistical information is highly
sought after and required in several different formats. Due to the
complexity of this information none of the previously created table
templates would suffice and a new solution was requested.
The Solution: The seven-column table template was used as a base
for the cloture motion tables. Using the advances made in the seven-
column table we were able to greatly reduce the development time of the
cloture motion table template.
One of the major obstacles to overcome was how to fit all the
information within the normal width of the screen. We worked very
closely with the Library Staff to find a solution acceptable to all.
These solutions included using footnotes for certain sections, legends,
hyperlinks to measures and bills, and customized codes for indenting
and spacing issues. These are highly specialized tables that contain
advanced business logic to most accurately display the information in a
very useful manner.
Since this information is so useful to a variety of organizations
we also enabled the publishing of the XML document directly. This
allows other groups to take the data maintained by the Senate
librarians and to utilize the data in a manner most efficient for them
(i.e., database querying and RSS feeds). Organizations can access this
information online, so no files will need to be transferred through
other means, and the most current information is always available.
An additional advance accomplished through this project was the
authoring of the XML data. Since many cloture motions may exist in a
single Congress and each one can contain a great deal of information it
became impractical to use the XML editor that came packaged with the
Content Management System. We explored several other options for the
librarians to edit the data and came up with two solutions that are
acceptable to all offices involved.
Moving Forward:
Information that changes often, is displayed in several different
formats, and that could possibly be used by other organizations is an
excellent candidate for XML technologies. Creating the XML application
that delivers Active Legislation/Hot Bills information to
www.senate.gov and INK"http://webster"http://webster was a springboard
for this application. As content authors experience the reduction of
tedious work, updating the same information in many files, more and
more of these types of XML applications will prove themselves
invaluable. The Library is always adding additional categories of
information they maintain that would be enhanced through these
applications. Additionally, the Historical Office would like to keep
similar information in a rich text format (RTF) to be used by word
processors. This is a relatively simple extension of the already
existing application.
Examples:
Cloture Motions--108th Congress http://wip.cmsprod.senate.gov/
pagelayout/reference/cloture_motions/test_108_2.htm
Cloture Motions--108th Congress (Print Version) http://
wip.cmsprod.senate.gov/pagelayout/reference/cloture_motions/
test_108_2.shtml
Cloture Motions--108th Congress (Raw XML Data) http://
wip.cmsprod.senate.gov/pagelayout/reference/cloture_motions/
test_108_2.xml
Graphic Art Prints to GPO
The Request: The Curator's Office needed to provide to the
Government Printing Office the information about their graphic art
prints for the Senate Graphic Art Catalogue. All information about the
graphic art objects is currently maintained in their database. The
titles of each one of these objects are very specific and have many
styles applied to them inside the database to ensure their proper
presentation. Upon exporting this information all the style information
was lost and would have needed to be reentered. This opened up the
possibility of unnecessary additional work for the Curator.
The Solution: An XML application was developed that was able to
preserve the styles of the data, along with all other relevant
information. The first step was to export the data into XML. Then,
using FileMaker Pro's built-in website functionality, a web page
displaying only the object titles was created. Using a product that
automates computer keystrokes, a program was written to cycle through
each title on the generated website, copying each title to a Word
document (still preserving style data), advancing one record, and
repeating the process until it traversed through all 1,000 Graphic
Print Objects. The Word document containing the titles was converted to
an XML file using a third-party product and was merged with the
original XML data export, thus producing one XML file with all the
style information preserved.
The final XML file was transformed into a word document and a PDF
file sent to GPO. Development of this automated conversion process
greatly reduced the amount of work that needed to be performed,
decreasing the time required to generate the necessary data and
improving the quality of the data sent to GPO.
Moving Forward:
Since the Curator's Office uses a FileMaker Pro database, which
produces XML reports, this was a great proof of concept of how we can
manipulate the data into necessary forms. Some third party software was
used due to the complexity of the project, but the knowledge gained of
these add-on XML tools will assist toward solving complex formatting
and printing needs in the future.
Library Catalogers Publishing to Webster
The Request: The cataloging group in the Senate Library wished to
have certain pdf files and graphics of book covers available to the
Senate Community. They wanted something that was easy to use and thus
did not require much training.
The Solution: We added a new cabinet to the Content Management
System just to be used by the catalogers. Next, we created a new web
publishing configuration to push the content from the newly created
cabinet to the Secretary's portion of http://webster. This required the
installation of software on the Webster Server, which we accomplished
by working closely with the developers and administrators of that
server.
Moving Forward:
Establishing this link between http://webster and our Documentum
Content Management System opens up many possibilities for the future.
We now could utilize the same system to manage the Secretary's portion
of Webster. This would enable non-technical employees to control the
information disseminated to Senate Staff without involving a
programmer. Additionally we can add more complexity for the catalogers
as their needs grow.
Web Site Activity Statistics
Senate Web Site Statistics
In 2003, only 24 percent of visitors to the site saw the main
Senate Homepage, the majority coming to the site via a bookmarked page
(possibly directly to their Senator's site) or to a specific page from
a search engine. That figure rose to 35 percent in 2004, as more people
found the main Senate Homepage. Statistics on individual page activity
show substantial increases in all areas of the main Senate site.
In 2004 the number of visitors to the entire web site (Senators'
and Committees' sites included) increased about 9 percent, however, the
number of visitors to the Senate Homepage increased by 57 percent.
----------------------------------------------------------------------------------------------------------------
2003 Visitors/ 2004 Visitors/ Percent
Title of Web Page Month Month Increase
----------------------------------------------------------------------------------------------------------------
Visits--Entire Site............................................. 3,029,666 3,293,721 9
Senate Homepage................................................. 734,094 1,152,367 57
Senators Home................................................... 264,190 273,841 4
Legislation & Records Home...................................... 65,904 84,765 29
Committees Home................................................. 60,747 73,147 20
Reference Home.................................................. 20,593 23,486 14
Art & History Home.............................................. 14,807 20,413 38
Visitors Home................................................... 12,095 16,123 33
----------------------------------------------------------------------------------------------------------------
Reviewing statistics on web page usage help the content providers
better understand what information the public is seeking and how best
to improve the presentation of that data. The main Senate homepage and
the homepages of the six subject areas (buckets) receive the most
visits as people navigate around the site (see chart above). Within the
buckets we find that visitors are consistently drawn to the following
content items, listed in order of popularity.
----------------------------------------------------------------------------------------------------------------
Percent
2004 Top Pages 2003 Visitors/ 2004 Visitors/ increase 2003-
Month Month 2004
----------------------------------------------------------------------------------------------------------------
Roll Call Votes................................................. 34,860 39,408 13
Leadership Page................................................. 12,789 17,469 37
Active Legislation List......................................... 12,311 17,751 44
Session Schedule for 2004....................................... 10,121 15,219 50
Organization Chart.............................................. 11,405 14,140 24
Committee Hearing Schedule...................................... 10,552 13,318 26
Bill and Resolutions Page....................................... 7,289 12,806 76
Statistics & Lists.............................................. .............. 12,005 ( \1\ )
Congressional Record Page....................................... 5,247 11,899 127
Virtual Tour of the Capitol..................................... 7,335 11,052 51
Individual States Page.......................................... 5,437 10,139 86
Calendars & Schedules........................................... 7,425 10,081 36
Historical Office Page.......................................... 5,341 9,608 80
Nominations Page................................................ 6,682 8,813 32
Virtual Reference Desk.......................................... 4,561 7,182 57
----------------------------------------------------------------------------------------------------------------
\1\ New in 2004.
Webster Statistics
Statistics for the Secretary's web site on Webster, the Senate
Intranet, show that the vast majority of visitors go directly to the
Disbursing Office section. This section contains information on
Employee Benefits (insurance, retirement, payroll, etc.) and provides
access to the many forms employees need to complete to obtain or modify
these benefits. Other popular items include the Office of Printing and
Document Services Document Order and Print Order Forms, and the page
that lists all Secretary of the Senate services.
E-Mail to the Webmaster
The nature of e-mail to the webmaster has changed over the past two
years. The improved site navigation has reduced, to only one or two a
day, the number of questions regarding how to find information on the
main site. In late 2003 improved error-handling was added to the site
to prevent a visitor from getting the standard ``page not found'' error
when a broken link was encountered. A message is now displayed that
provides the Webmaster's e-mail address and the visitor is
automatically directed back to the main Senate Homepage or the
Senator's Homepage, depending on where the error occurred. Many
visitors take the opportunity to write the Webmaster alerting us to
broken links. This, in turn, has fostered more communication between
this office and Senators' System Administrators as we work together to
clean up the broken links on the entire site.
Search Engine Implementation
In 2003 a search engine was installed, configured, and tested for
senate.gov. In 2004 testing has continued, focusing on how to improve
the search results by adding or editing metadata associated with the
content items. It was hoped that more relevant and standardized
keywords, and better descriptions and titles would improve the
relevance ranking of the search results. Further research and
investigation is required as to how to configure the search engine for
best results. Meanwhile, the search engine has been made available to
Senate offices for use on their own web sites.
Training
In December 2004 the Web Site Technology staff and several content
providers in the Secretary's office joined SAA staff in an onsite three
day XML class. In addition to teaching valuable technical skills and
familiarizing staff with XML tools, this class gave content providers a
good understanding of the power and scope of XML.
LEGISLATIVE INFORMATION SYSTEM (LIS) PROJECT
The Legislative Information System (LIS) is a mandated system
(Section 8 of the 1997 Legislative Branch Appropriations Act, 2 U.S.C.
123e) that provides desktop access to the content and status of
legislative information and supporting documents. The 1997 Legislative
Branch Appropriations Act (2 U.S.C. 181) also established a program for
providing the widest possible exchange of information among legislative
branch agencies. The long-range goal of the LIS Project is to provide a
``comprehensive Senate Legislative Information System'' to capture,
store, manage, and distribute Senate documents. Several components of
the LIS have been implemented, and the project is currently focused on
a Senate-wide implementation and transition to a standard system for
the authoring and exchange of legislative documents that will greatly
enhance the availability and re-use of legislative documents within the
Senate and with other legislative branch agencies. The LIS Project
Office manages the project.
Background: LISAP
An April 1997 joint Senate and House report recommended
establishment of a data standards program, and in December 2000, the
Senate Committee on Rules and Administration and the Committee on House
Administration jointly accepted the Extensible Markup Language (XML) as
the primary data standard to be used for the exchange of legislative
documents and information.
Following the implementation of the Legislative Information System
(LIS) in January, 2000, the LIS Project Office shifted its focus to the
data standards program and established the LIS Augmentation Project
(LISAP). The over-arching goal of the LISAP is to provide a Senate-wide
implementation and transition to XML for the authoring and exchange of
legislative documents.
The current focus for the LISAP is the development and
implementation of an XML authoring system for legislative documents
produced by the Office of the Senate Legislative Counsel (SLC) and the
Office of the Enrolling Clerk. The XML authoring application is called
LEXA, an acronym for the Legislative Editing in XML Application. LEXA
features many automated functions that provide a more efficient and
consistent document authoring process. The LIS Project Office has
worked very closely with the SLC to create an application that meets
the needs for legislative drafting.
In early January 2004, LEXA was installed throughout the SLC, and
the 40-member office of attorneys and staff assistants participated in
a two-day training course, designed by a contractor, to transition from
XyWrite to LEXA and from locator codes to XML. It takes several months
for a drafter to learn to use XyWrite and the locator formatting codes.
Following the two-day LEXA training course, SLC staff immediately began
producing XML documents using LEXA, and the first XML draft to become a
bill was introduced on January 22, 2004. The SLC first used LEXA to
draft short and simple bills and resolutions, gradually adding longer,
more complex documents. The SLC also offered valuable feedback
throughout the year regarding LEXA's continued development as existing
features were enhanced and additional document types, such as
amendments and reported bills, were added to LEXA. Following the
January training course, the contractor also created a reference
manual. As new features were added to LEXA, the LIS Project Office
continued to update the manual. The updated, comprehensive manual was
distributed in January 2005. The manual provides screen shots and step-
by-step instructions for all LEXA features. The Office also developed
additional training materials and provided a one day training session
in December for all SLC staff on new LEXA features, including a one-
click process to change a document prepared for the 108th Congress to
one for the 109th Congress. The SLC intends to use LEXA for as many
drafts as possible and will gradually increase the number throughout
2005. Through April 1, 2005, 75 percent of the 770 introduced and
reported bills and resolutions for the 109th Congress have been created
as XML documents.
The LIS Project Office worked closely with several key House,
Library of Congress, and Government Printing Office (GPO) groups
involved in the XML project to ensure that changes to the House and
Senate XML authoring applications do not adversely affect the exchange
of electronic documents among all organizations processing the
documents. A new document type definition (DTD) change and approval
process was developed so that all parties have an opportunity to test
and comment on all proposed changes to the exchange DTDs before changes
are made and distributed.
Another important joint project of Senate and House offices
involves the conversion of locator documents to XML. The locator
conversion software was recently updated to provide a more robust tool,
and a joint project is underway to convert the compilations of current
law to an XML format. The compilations are updated by both the House
and Senate Legislative Counsel Offices and are used as the basis for
many legislative drafts. The compilations conversion project will be
completed by July 2005.
As LEXA becomes more widely used in the SLC and other offices,
support of the application becomes increasingly important. The 2004
Legislative Branch Appropriations Act directed the GPO to provide
support for LEXA much as they have for XyWrite for many years, and GPO
has made steps toward providing that support. GPO purchased Xmetal, the
base software, and installed LEXA in late July. In August, the LIS
Project Office conducted two evenings of LEXA training for the second
shift of GPO staff who support the bill printing process. GPO now uses
LEXA to update XML documents as requested via the Senate Bill Clerk,
and the XML drafts are used to create the printed and locator versions
of bills. In October, GPO took over maintenance and support of the
coding and style sheet portion of LEXA that converts an XML document to
locator for printing through Microcomp. GPO has also developed a style
sheet that is used to display XML documents on the LIS website
(www.congress.gov) and on thomas.loc.gov. The XML display more closely
resembles the printed version (without page and line numbers). House
XML bills are currently being tested, and once a majority of Senate
bills are available in XML, the Senate XML versions will be posted on
LIS as well.
The LIS Project Office provides support for LEXA via the LEXA
HelpLine and LEXA web site. The HelpLine is provided through a single
phone number that rings on all the phones in the office, and the
website is located on a server accessible by the legislative branch.
The website, legbranch.senate.gov/lis/lexa, is used to distribute
updates of the application to GPO and provides access to release notes,
the reference manual, and other user aids.
The document management system (DMS) for the SLC will be
implemented once the SLC has completed the transition from XyWrite to
LEXA and a substantial number of drafts are created in XML. Since mid-
2004, the Systems Development Services group of the Office of the
Sergeant at Arms has been working on updating the DMS to the most
recent release of Documentum which was a major change for the base
software of the DMS. The Systems Development Services group provides
support and maintenance for the LIS/DMS, and that group will also
support the DMS for the SLC once it is deployed. The LIS Project Office
has been monitoring the upgrade effort and will contract for transition
training to be developed and delivered prior to implementation. The DMS
will be integrated with LEXA and will provide a powerful tracking,
management, and delivery tool.
The LIS Project Office will continue to work with the SLC to refine
and enhance LEXA, including developing software to create and print
conference reports and to use and update the XML versions of the
compilations of current law. The team will next address the specific
needs of the Office of the Enrolling Clerk. Additional functionality to
produce engrossed bills and amendments and enrolled bills will be added
to LEXA, and that office will receive training. Other Senate offices
that do drafting with XyWrite may follow, including the Committee on
Appropriations.
The legislative process yields other types of documents such as the
Senate and Executive Journals and the Legislative and Executive
Calendars. Much of the data and information included in these documents
is already captured in and distributed through the LIS/DMS database
used by the clerks in the Office of the Secretary. The LIS/DMS captures
data that relates to legislation including bill and resolution numbers,
amendment numbers, sponsors, co-sponsors, and committees of referral.
This information is currently entered into the database and verified by
the clerks and then keyed into the respective documents and reverified
at GPO before printing. An interface between this database and the
electronic documents could mutually exchange data. For example, the
LIS/DMS database could insert the bill number, additional co-sponsors,
and committee of referral into an introduced bill while the bill draft
document could supply the official and short titles of the bill to the
database.
The Congressional Record, like the Journals and Calendars, includes
data that is contained in and reported by the LIS/DMS database.
Preliminary DTDs have been designed for these documents, and
applications could be built to construct XML document components by
extracting and tagging the LIS/DMS data. These applications would
provide a faster, more consistent assembly of these documents and would
enhance the ability to index and search their contents. The LIS Project
Office will coordinate with the Systems Development Services Branch of
the Office of the Sergeant at Arms to begin design and development of
XML applications and interfaces for the LIS/DMS and legislative
documents. As more and more legislative data and documents are provided
in XML formats that use common elements across all document types, the
Library of Congress will be able to expand the LIS Retrieval System to
provide more content-specific searches.
ARCHITECT OF THE CAPITOL
STATEMENT OF ALAN HANTMAN, ARCHITECT OF THE CAPITOL
Senator Allard. I think we'll start, Mr. Hantman, with your
testimony, and we may have to interrupt it shortly, but let's
go ahead and see.
Mr. Hantman. Thank you, Mr. Chairman. I, too, look forward
to working with you as the new Chair of the subcommittee.
There's an awful lot for us to talk about, and I certainly look
forward to that opportunity to do so.
I want to thank the subcommittee for its support in the
past, without which we could not have completed many critical
projects, continued to provide exemplary services, and assured
continuity of operations in the U.S. Capitol, Senate office
buildings, and throughout the Capitol complex.
Mr. Chairman, the AOC has served Congress since 1793, the
year President Washington helped lower the cornerstone into
place and construction of the Capitol began. Today, the AOC's
responsibilities include the care and maintenance of nearly 300
acres and approximately 15 million square feet of historic
buildings, which will soon include the Capitol Visitor Center.
ARCHITECT OF THE CAPITOL STRATEGIC PLAN
When we implemented our strategic plan 2 years ago, we
developed four goals that guide us in setting priorities when
submitting budget requests, balancing our workload, and
assessing and measuring our accomplishments. As we work to
achieve these goals, we evaluate our efforts to improve and
excel in growing as an organization; thereby, meeting and
exceeding customer expectations. Accordingly, we're requesting
$506 million across all AOC-managed appropriations to provide
operations and renovation activities, while also focusing on
security, upgrading fire and life-safety elements, and
addressing customers' requests and priorities.
FISCAL YEAR 2006 MAJOR PROJECTS
Major capital projects included in this budget are the
construction of Library of Congress storage modules 3 and 4
that you mentioned, the planned construction of the U.S.
Capitol Police offsite delivery center, the installation
upgrade of fire and life-safety and security measures,
completion of additional fire egress and protection projects,
and a variety of other renovations and upgrades throughout the
Capitol complex.
Noteworthy, of course, is the Capitol Visitor Center
project, which is the largest addition to the U.S. Capitol in
its history, increasing the size of the existing building by
some 70 percent. Included in the 580,000 square foot center is
the construction of 170,000 square feet of expansion space for
the Senate and House. Construction completion of the visitor
center portion of the project is scheduled for September 2006.
With regard to the Senate office buildings, in fiscal year
2004 we completed 45,892 work orders requested by Senators and
their staffs. So far this fiscal year, we have completed some
22,250 Senate work orders to date. In addition, we've been
working on a number of priority projects, including modernizing
elevators, upgrading public restrooms, opening and maintaining
the Senate staff exercise facility, completing election year
moves in record time, and renovating, restoring, and upgrading
several committee rooms to accommodate state-of-the-art
equipment.
With the increased need for perimeter security measures,
we're installing new security features throughout Capitol Hill.
In addition to bollards and other features compatible with
Senate building design installed to date along Constitution
Avenue, we anticipate similar installations to complete the
outer Senate perimeter over the next 2\1/2\ years.
EMPLOYEE FEEDBACK PROGRAM
Our strategic plan contains two goals which focus on our
employees, while providing the highest-quality services. One of
our objectives was to develop a comprehensive employee feedback
program. Accordingly, in September 2004, I invited more than
300 employees from across the AOC to participate in 25 focus
group sessions. We asked them to identify problems and
challenges, to help us find ways to solve them, and to make
improvements within the organization. In October 2004, the
Human Resources Management Division surveyed all employees,
asking them to pinpoint specific areas where we needed to
improve customer satisfaction. Our employees spoke, and we are
listening.
Over the next several months, we will be rolling out action
plans, meeting with our employees to address the issues they
raised, and share concerns, ideas, and suggested solutions with
one another to continuously improve the organization.
In conclusion, over the past several years, the AOC has
undergone significant change, and we have reaffirmed our
commitment to providing superior services for the Congress and
the American people. My team of 2,000 dedicated employees and I
are committed to fulfilling our objective, to ensure our
continuous improvement across all of our areas of
responsibility.
Our request for funds for fiscal year 2006 supports our
activities as good stewards to maintain and preserve the
national treasures under our care, as well as to respond to our
customers' requests for priority projects and programs. In
addition, we continue to strive to achieve the level of safety,
security, preservation, and cleanliness expected across the
Capitol complex.
We have completed tens of thousands of work orders, to our
clients' satisfaction, and have achieved many of our goals due
to the hard work and dedication of AOC employees. I am very
privileged and honored to lead such a professional team. The
subcommittee's support in helping us achieve these goals is
greatly appreciated.
PREPARED STATEMENT
Once again, I thank you for this opportunity to testify
today. I'd be happy to answer any questions you might have. And
good morning, Senator Durbin. Thank you for your support.
[The statement follows:]
Prepared Statement of Alan M. Hantman, FAIA
Mr. Chairman, Senator Durbin, members of the Committee, thank you
for this opportunity to testify today. I want to thank the Committee
for its support, without which we could not have completed many
critical projects, continued to provide exemplary services, and assured
continuity of operations in the U.S. Capitol, in the Senate Office
Buildings, and throughout the Capitol complex.
The Office of the Architect of the Capitol (AOC) has served
Congress since 1793--the year President George Washington helped
tradesmen lower the cornerstone into place and construction of the U.S.
Capitol began. Since that time, the men and women who make up the AOC's
workforce have focused on preserving, maintaining, and enhancing the
national treasures entrusted to us. Today our responsibilities include
the care and maintenance of approximately 300 acres and nearly 15
million square feet of historic buildings, with the newest increment of
growth being the upcoming Capitol Visitor Center (CVC).
STRATEGIC PLANNING
When we implemented our Strategic Plan two years ago, we developed
four goals that encompass the primary responsibilities of our
organization. They are: Facilities Management, Project Management,
Human Capital, and Organizational Excellence. These goals drive our
day-to-day activities. They guide us in setting priorities with regard
to submitting budget requests, balancing our workload, and assessing
and measuring our accomplishments. As we work to achieve these goals,
we evaluate our efforts so we continue to excel, meet and exceed
expectations, and grow as an organization.
OVERVIEW OF BUDGET REQUEST
The AOC fiscal year 2006 budget incorporates the needs of our
clients, including the Library of Congress and the U.S. Capitol Police.
We believe we have met the challenge of building a budget that supports
stewardship of our national treasures, while balancing fiscal
responsibility and the needs of the Congress. Our fiscal year 2006
budget was developed to continue to provide routine operations and
renovation activities while also focusing on security, upgrading fire
and life-safety elements, addressing clients' requests and priorities,
and identifying operational, transitional, and cost-to-complete needs
associated with the CVC.
Accordingly, we are requesting $506 million across all AOC managed
appropriations ($438 million not including items specific to the House)
for fiscal year 2006 to support the maintenance, care, and operations
of the buildings and grounds of the Capitol complex, which consists
primarily of the Capitol, Senate and House Office Buildings, Library of
Congress, U.S. Capitol Police headquarters, Botanic Garden, and Capitol
Power Plant. This includes a request for an operating budget of $280
million ($242 million not including operations specific to the House),
$17 million for annually funded projects, $137 million for capital
projects ($107 million not including items specific to the House), $37
million for the completion of the construction of the CVC, and $35
million to transition to operating the CVC.
OPERATING BUDGET
The request for an operating budget of $280 million (less CVC
operations) includes mandatory payroll increases; price level
inflationary increases for materials, services, and utilities, and
other general operations increases. Additional increases in our
operating budget incorporate client-driven requirements for leases of
facilities and related operations and maintenance costs.
ANNUAL PROJECTS BUDGET
The fiscal year 2006 budget for annually funded projects totals $17
million. Noteworthy proposed annual projects include: Copyright Office
Move/Reconfiguration for the Library of Congress Buildings ($5.5
million); Conservatory Claim for the Botanic Garden ($3.5 million);
Restoration of East Front Bronze Doors for the Capitol Building
($702,000); and the Upgrade Filtration Efficiency Project for the
Library of Congress Buildings ($700,000).
CAPITAL PROJECTS BUDGET
Two key elements used in preparing our capital budget are the
Capitol Complex Master Plan and the Facility Condition Assessments
(FCAs). The Capitol Complex Master Plan identifies preservation and
maintenance requirements for proposed new facilities, while FCAs
determine preservation and maintenance requirements for existing
facilities. Based on the Capitol Complex Master Plan and FCAs, all
proposed and existing facility requirements feed into the Capital
Improvement Plan (CIP) which prioritizes and incorporates project needs
over a five-year period (fiscal year 2006 through fiscal year 2010).
Accordingly, the CIP process was utilized in determining the fiscal
year 2006 Capital Projects multi-year request of $122 million, $72
million of which directly addresses specific client needs. Noteworthy
proposed capital projects include:
--The Library of Congress Modules 3 & 4 ($40.7 million) entailing the
construction of two environmentally-controlled storage
buildings to be located in Fort Meade for the storage of
Library of Congress collections.
--The U.S. Capitol Police Off-Site Delivery Center ($23 million)
which includes the acquisition of land, design, and
construction of an off-site delivery facility.
--Life-safety and security projects ($14.5 million) which include
requirements for emergency exit signs and lighting upgrades,
upgrades to air filtration systems, and building upgrades to
address other life-safety issues.
--Fire egress and protection projects ($12.6 million) which address
deficiencies in egress from buildings, stairwells, and fire
wall boundary protection.
--Renovation projects ($24.7 million) to include renovations in
emergency electrical service, refinishing historic woodwork,
legislative call system upgrades, restroom upgrades, high-
voltage switchgear replacement, and heating ventilation/air
conditioning replacement.
CAPITOL VISITOR CENTER BUDGET
The CVC project is the largest addition to the U.S. Capitol in its
history. Included in the 580,000 square foot Visitor Center is the
construction of 170,000 square feet of expansion space for the Senate
and House. Building a major underground three-story facility, adjacent
to the world's most recognizable symbol of democracy, which is a fully
functioning office building, conference center, and museum, is truly a
significant challenge. The project is now 55 percent done and scheduled
for completion in fall 2006.
Many obstacles have been faced since we broke ground in 2000. Yet,
despite these challenges, our project team recently met a critical,
major milestone. On January 20, 2005, President Bush exited the Capitol
onto the Rotunda steps where he reviewed the troops marching across the
new granite pavers installed across the East Front Plaza, thereby
continuing an Inaugural tradition.
The Sequence 1 contractor responsible for excavation and structural
work has essentially completed its tasks. The Sequence 2 contractor has
been working to install fireproofing, masonry block, interior wall
stone, mechanical ductwork, and piping. The award of construction
contracts is imminent for the exhibit space and the Senate expansion
space.
My budget request for the CVC consists of several major components,
the most significant being the construction cost-to-complete of $36.9
million. While no Congressional decision has been made regarding
governance, startup and operational costs of $15.3 million are
anticipated. Therefore, until such decision is reached, the AOC has
included these expenses in its budget submission. This incorporates
initial estimated costs associated with the daily care, maintenance
activities, operation of the facility, and associated payroll and
benefits costs. Additionally, the multi-year project budget of $20
million supports the required activities and programs for the
transitional and start-up costs for visitor services, exhibits, food
services, gift shops, telecommunications, and information technology
infrastructure support.
Mr. Chairman, the progress made on the CVC in just the past 12
months has been remarkable. At the same time, the Capitol building has
been open, fully functional, and accommodating of Members and staff, as
well as the visiting public throughout construction and during these
times of heightened security. When the CVC opens, it will complement
and support the U.S. Capitol as the ``People's House,'' offering free
and open access for all people so they may learn about, and experience,
our legislative process.
SENATE OFFICE BUILDING IMPROVEMENTS
In fiscal year 2004, we completed 45,892 work orders in the Senate
Office Buildings. To date, we have completed nearly 22,250 work orders
in fiscal year 2005. In addition, we have been working on a number of
important projects including:
--Modernizing elevators.--The Hart Office Building Elevator
Modernization Project was completed in December 2004, six
months ahead of schedule and on budget. The Russell Office
Building elevators have been completely modernized. The Dirksen
Office Building Elevators Cab Modernization Project will begin
this summer.
--Upgrading public restrooms.--The Hart Office Building northwest
restroom stack and the Dirksen Office Building north stack was
completed last year. Currently, the Dirksen Office Building
basement level restrooms are under construction, which will be
followed by the ground floor restrooms, which will complete the
renovations in that building. There are two remaining stacks to
be completed in the Hart Office Building, which will begin this
year and be completed in fiscal year 2006.
--Staff Exercise Facility.--In May 2004, our office opened the Senate
Staff Exercise facility.
--Russell Office Building Basement Corridor Renovation.--The
renovation of the C Street corridor of the Russell Office
Building was completed and the Delaware Avenue corridor is
currently being renovated.
--Renovation of the Dirksen Swing Suite Space.--The renovation of
this space provides for the consolidation of support functions
and adds two swing suite spaces thus improving the temporary
office conditions for newly-elected Senators and speeding the
Senate move process.
--Election Year Moves.--Election year moves were completed on
February 26--the earliest we have ever accomplished this task.
--Committee Room Renovations.--Room 106 in the Dirksen Building and
Agriculture Committee Hearing Room were completely renovated to
upgrade the infrastructure, and add state-of-the-art sound and
video capabilities, while at the same time, preserving the
historic architecture of the rooms. In fiscal year 2005, five
committee rooms will be renovated, followed by an additional
five in fiscal year 2006.
CAPITOL BUILDING
The U.S. Capitol has been the stage for several high-profile events
this past year. In June 2004, the world's eyes turned to us as we bid
farewell to President Ronald W. Reagan. Our employees, working together
with Congressional leadership and other Legislative branch
organizations, did a tremendous job to ready the building and grounds
for the respectful and historic lying-in-state ceremonies.
In January, the West Front of the Capitol was readied for the 55th
Presidential Inaugural ceremony. Our team worked diligently to design,
plan, and construct the platform; contract for the sound system,
Jumbotron screens, and ramps and crossovers; install security fencing
and crowd control features; set up 28,000 chairs; build the media
platform; hang flags, draperies, and bunting; prepare Statuary Hall for
the inaugural luncheon, and draft a contingency plan to move the
ceremony to the Rotunda in case of inclement weather. Most importantly,
on January 19, we worked throughout the night to remove all the snow
from the Grounds, leaving a pristine setting for the Inaugural on the
East and West Fronts of the Capitol.
In fiscal year 2004, we completed more than 20,000 work orders in
the Capitol Building. To date this fiscal year, we have completed more
than 10,000.
CAPITOL POWER PLANT
An on-going project, designed to meet the current and future needs
of the Capitol complex, is the expansion of the West Refrigeration
Plant at the Capitol Power Plant. This project addresses the advancing
age of the East Refrigeration Plant, and the need to reliably meet
future cooling requirements of the expanding Capitol complex. The
chilled water capacity will be online by November 2005, with the
overall project scheduled for completion in April 2006. When finished,
the expanded facility will enable the Capitol Power Plant to reliably
meet cooling requirements through 2025 and will significantly increase
overall plant efficiency.
In addition to addressing future energy needs, the Power Plant
staff is also working to beautify the facility and the grounds
surrounding it. This month, we began efforts to install 20-foot-wide,
brick-paved sidewalks, which will be shaded by two rows of trees,
alongside the Plant's newly-created park area. In addition, a
decorative wrought iron fence will be erected to replace the security
fence now surrounding the Power Plant. The AOC has been working closely
with the Ward 6B Advisory Neighborhood Committee, the National Capital
Planning Commission (NCPC), and other agencies to improve and transform
the South Capitol Street corridor into a grand urban boulevard.
PERIMETER SECURITY
With the increased need for permanent security measures throughout
the Capitol complex, we are installing effective, aesthetically-
pleasing, perimeter security features on Capitol Hill. Senate perimeter
security efforts completed over the last year include the installation
of bollards along Constitution Avenue, extending from the Russell,
Dirksen, and Hart Senate Office Buildings. We also installed 14
hydraulic vehicle barriers stations in Constitution Avenue. Over the
next year, we anticipate installing the remaining bollards and vehicle
barriers that complete the outer Senate perimeter.
PROJECT DELIVERY
We have taken several steps to improve our project delivery. Last
September, we established a pilot Project Management organization
comprised of project managers, construction managers, and construction
inspectors. The proposed alignment establishes clear performance
expectations for delivering projects on time and within budget now that
the project and construction management functions reside, for the first
time, within the same organization.
A good design equals good construction. Construction management is
intrinsically linked to project management. Through this new project
management organization and process, we will ensure that the design and
construction teams interact daily. This alignment is endorsed by the
Government Accountability Office (GAO) to, ``align project management
staff and resources with AOC's mission-critical goals.''
In accordance with our Strategic Plan, an annual ``lessons
learned'' exercise is conducted for projects identified by our clients.
During this time a comprehensive assessment of each project is
undertaken to apply lessons learned to future projects and facilitate
continuous improvement.
HUMAN CAPITAL/ORGANIZATIONAL EXCELLENCE
Our Strategic Plan contains Human Capital and Organizational
Excellence goals which focus on employees and providing the highest
quality services to both our internal and external clients through
improved business programs, processes, and systems.
One of our objectives under the Human Capital Strategic Plan goal
was to develop a comprehensive employee feedback program that will
utilize focus groups, surveys, and other related mechanisms. In
September 2004, I invited more than 300 employees from across the AOC--
all divisions, levels, and shifts--to participate in 25 focus group
sessions. We asked them to identify problems, help us to find ways to
solve them, and make improvements within the organization. In October,
the Human Resources Management Division (HRMD) asked all employees to
share their opinions in a customer satisfaction survey. The questions
focused on the services HRMD provides and how well they deliver those
services.
By coupling the feedback and the survey results, we were able to
pinpoint specific areas where we needed to take action. In other words,
our employees spoke and we listened.
They told us that we needed to do a better job communicating, that
we needed to provide clearer, easier-to-understand information, and
that we needed to better explain work processes, policies, and
procedures. They also indicated that we needed to provide clearer
direction with regard to expectations and job performance, and
recognize employee accomplishments more often. These issues also
applied to setting internal standards so our employees receive
satisfactory customer support from our Human Resources, EEO, and other
service organizations.
Over the next several months, we will be rolling out action plans
and meeting with employees to address the issues they raised. This
effort will help us to continue to foster an environment where we can
share concerns and ideas with one another to continue to improve the
organization.
EMPLOYEE SAFETY
One area we continue to make great strides in is our effort to
reduce the injury and illness rate. I am pleased to report that for the
fourth consecutive year, our rate decreased dramatically. During fiscal
year 2004, we saw a 26 percent reduction in the injury and illness
rate. Since fiscal year 2000, this rate has been reduced by 67 percent
and is now below the Federal average.
We attribute this reduction to a number of initiatives, including
inspections of project worksites, daily safety discussions in our shops
at the beginning of each shift, the posting of monthly safety messages
throughout our shops and offices, active participation by employees in
our Jurisdictional safety committees, and most importantly, to the
constant diligence of each AOC employee and supervisor who is committed
to doing their job safely and correctly. To assure that our employees
have the requisite skills and equipment needed to do their jobs safely,
I will continue to maintain robust training and safety budgets.
While I am very proud of my workforce and our past accomplishments,
I will not be satisfied until we achieve our ultimate goal of a
workplace free of injury and illness. Toward this end, I have
challenged my colleagues to reduce the injury rate by an additional 10
percent. I look forward to reporting on our progress toward an injury-
and illness-free workplace to this Committee next year.
CONCLUSION
Over the past several years, the AOC has undergone significant
change, and we have reaffirmed our commitment to providing high-quality
service to Congress and the American people. In its August 2004 report
to Congress, the GAO indicated that:
--``AOC has made progress in preparing agency-wide financial
statements; supporting an audit of its September 30, 2003,
balance sheet; and establishing related internal control
policies and procedures.''
--``. . . AOC has made progress addressing employee communications by
developing a number of policies and procedures, such as a
strategic communications plan, a draft employee feedback
manual, a customer satisfaction survey manual, and a focus
group guide.''
--``Our January 2003 report provided AOC with recommendations for
establishing and implementing an effective information security
program. In our January 2004 report, we noted that AOC had made
progress toward implementing these recommendations.''
--``AOC has fulfilled our worker safety recommendation by developing
performance measures to assess the long-term impacts and trends
of workers' compensation injuries and costs.''
--``During the six-month review period, AOC took steps to develop the
Capitol Complex Master Plan.''
--``AOC made progress in the development of its environmental program
and its movement toward a more strategic approach. In
particular, AOC has completed the baseline assessment as well
as the waste stream analysis for its facilities and
operations.''
Although we still have much more to accomplish as outlined in our
Strategic Plan, GAO has noted, ``organizational transformation does not
come quickly or easily and the changes underway at the AOC would
require a long-term, concerted effort.'' My team and I are committed to
fulfilling our responsibilities over the long-term to ensure that our
transformation continues as planned.
Our request for funds for fiscal year 2006 is in direct response to
our responsibility to maintain and preserve the facilities under our
care, as well as to respond to our customers' requests for priority
projects and programs. In addition, we continue to strive to achieve
the level of safety, security, preservation, and cleanliness expected
across the Capitol complex. We have completed tens of thousands of work
orders to our clients' satisfaction and have achieved many of our goals
due to the hard work and dedication of AOC employees. I am very
privileged and honored to lead such a professional team.
The Committee's support in helping us achieve these goals is
greatly appreciated. Once again, thank you for this opportunity to
testify today. I'd be happy to answer any questions you might have.
Senator Allard. I'd like to also welcome Senator Durbin. I
had indicated earlier, Senator Durbin, that, when you arrived,
we'd give you an opportunity to make some opening comments if
you wish. And then, also, I just wanted to thank both Ms.
Reynolds and Mr. Hantman for taking the time to testify here
before us today.
We're ready to move to a question and response period, but
I wanted to give you an opportunity to present your opening
statement first. So why don't you proceed?
STATEMENT OF SENATOR RICHARD J. DURBIN
Senator Durbin. Mr. Chairman, first let me welcome you to
the subcommittee.
Senator Allard. Thank you.
Senator Durbin. It's an honor to serve with you. I think
you are the third Chair that I've served with on this
subcommittee, and I'm looking forward to working with you. And
in the interest of time, let me put my statement in the record,
and you can go straight to questions, and I'll follow you.
[The statement follows:]
Prepared Statement of Senator Richard J. Durbin
Mr. Chairman, first of all I'd like to welcome you,
Chairman Allard, to the Legislative Branch subcommittee. I had
the pleasure of working with your former colleague from
Colorado, Senator Campbell, as the last Chairman of this
subcommittee and I look forward to working with you.
Thank you, Mr. Chairman, for scheduling today's first
budget oversight hearing of fiscal year 2006 where we will hear
testimony on the budget requests of the Secretary of the Senate
and the Architect of the Capitol.
I want to join the Chairman in welcoming today's witnesses,
Emily Reynolds, Secretary of the Senate, and Alan Hantman,
Architect of the Capitol.
Thanks to both of you for attending this morning.
Ms. Reynolds, welcome back to the subcommittee for your
third year as Secretary of the Senate. I think that you and
your staff are doing a superb job and your budget request looks
very straightforward.
My staff and I greatly appreciate your guidance and
leadership in the CVC decision-making progress. I realize that
this is a long, difficult, and at times frustrating process.
Your dedication and determination are very admirable.
I would appreciate any comments you might wish to include
with regard to the CVC.
Mr. Hantman, good morning and welcome. Your budget request
this year is $506 million, which is an increase of $156.5
million or 44 percent over fiscal year 2005 enacted. I realize
that a large portion of your request is for Library of Congress
and Capitol Police project items. All in all, your operating
budget request seems fairly straightforward.
I was encouraged to read that the rate of accidents and
injuries within the Architect's office continues to improve.
This has been a major area of concern to me, as you know, and I
am glad to see these numbers are coming down so dramatically.
I hope you will talk a little about the Capitol Visitor
Center project. I hope you will update the Subcommittee on when
you believe the CVC will open and what the final cost will be.
I realize that the project has grown in size and scope from the
original design when we broke ground back in 2000, but I don't
think those changes account for the magnitude of the delay and
cost overruns.
Last year, I asked you if you thought the spring 2006
estimated completion date for the CVC was accurate. While I
don't recall your answer off-hand, I think I know what your
answer would be if I asked you the same question today. So now
I'd like to ask you if you think the fall 2006 date is
accurate. In your testimony you state that since breaking
ground in 2000, the CVC is now 55 percent complete. I find it
hard to believe that the remaining 45 percent of this project
can be finished in the next 17 months.
Mr. Hantman, as you know, this subcommittee is responsible
for providing adequate funding to complete AOC projects such as
the CVC. However, in order to do that, it is critical that we
receive the most accurate information available from you and
your staff. It appears that the Government Accountability
Office has been far more effective than your office in
providing accurate information to the members of this
subcommittee and our staffs on your funding requests.
I was very concerned to read a February 23, 2005 article
from ``The Hill'' newspaper entitled, ``Fear and Loathing at
the AOC,'' which addressed the results of a 22-page survey
taken by 300 of your employees. I hope that you and your
management team are making every effort to address the
allegations of abuse and mismanagement alluded to by these
employees. It troubles me that some long-standing issues at AOC
continue to exist, such as poor communications and very low
morale. You are responsible for 2,000 employees. It is critical
that these employees feel they can trust you and your front
office. Without the trust and confidence of your employees, you
cannot effectively run this organization.
Finally, Mr. Hantman, I'm eager for you to update the
Subcommittee on your progress in making the Capitol complex a
safer work environment.
Thank you Mr. Chairman.
INAUGURAL ADDRESS EFFORTS
Senator Allard. Very good, thank you.
Ms. Reynolds, you did mention, in your testimony, that you
did a lot of work on the inaugural, and I want to just thank
you, your staff and the Architect of the Capitol, for your work
during the Inaugural Address. I think it was a very successful
effort, and I think most Members appreciate all the fine work
that went into that. And I just think that's worth mentioning
at this particular point in time.
Which leads me into a question, Ms. Reynolds, what were all
your responsibilities in coordinating that effort? I'd like to
know some of the challenges you faced. We just had an election,
and then we had the inaugural in January. And if you can share
some challenges with us, we'd appreciate it, perhaps suggestion
of what might be done differently at the next inaugural.
Ms. Reynolds. No, I appreciate that. We certainly took our
lead from the Joint Committee on the Inaugural, from Senator
Lott and his team. And I think one thing that we found--
clearly, the Joint Committee did a beautiful job, and came, to
us with the numerous things that were needed. I think, for us,
one legacy I'd like to leave behind is a very distinct record
of the precise things that the Secretary's office is involved
with in that inaugural effort. For example, the official
reporters of debates actually have a position on the platform
so that they're there to transcribe the inaugural. For me, it's
the first time I've been through that, while, again, the
institutional memory, that important part of our staff that
have been here for years, they know the things they do every 4
years, but we found that it wasn't in our own operation in any
sort of concise record.
One thing I'd like to leave behind for the next Secretary
is that concise record of exactly what expectations that a
joint committee on the inaugural will have for us. The second
piece of that is, we were delighted to work with the committee
on the inaugural luncheon, which is staged in Statuary Hall.
That was a huge effort on the part of our staff; again, taking
the lead from Senator Lott and his team. But they did an
extraordinary job in executing the lunch. And, most especially,
the Curator's Office takes the lead in whichever historical
painting is displayed at that luncheon, which is a reflection
of the theme of the inaugural itself.
So, we're involved in a variety of different levels, a
variety of different ways. It was a learning experience for me,
as well. And I would add, also, that many of our staff, and
myself included, had the opportunity and the high honor to
serve as escorts that day; again, assisting the Joint
Committee.
So, we play in this at a variety of different levels. Some,
were well informed going in; others, learned along the way. But
with the Joint Committee providing the leadership, I think
we're even better prepared to step up to the plate in the next
4 years and have that clear and concise knowledge, of precisely
what our role is.
CURATORIAL ADVISORY BOARD AND PRESERVATION BOARD OF TRUSTEES
Senator Allard. You mentioned, in your testimony, the new
boards, the Curatorial Advisory Board and the Preservation
Board of Trustees. What, specifically, are you doing to promote
the efforts to the Senate community and beyond that these two
boards were set up to carry out?
Ms. Reynolds. Thanks for asking that, because this is
such--as I said, it's such an important initiative for all of
us. And much of this really is an education process, it's a
building process. The Curatorial Advisory Board, again, as I
mentioned--12 really outstanding individuals, 13 counting our
curator, who serves as its chair--they have already been a
significant help to us in helping us identify possible
acquisitions, in spreading the word, with all of them as
professionals, whether it's from Monticello, Winterthur, the
retired White House curator--their network of associates,
people they've worked with through the years, has already been
very helpful to us in identifying some possible acquisitions,
and we've relied on their counsel very heavily already.
The Preservation Board, which, as I said, will meet in
May--I'm anxious for that meeting--again, an esteemed group of
individuals, who will come at this from both a business
perspective, a philanthropic perspective--so I'm interested in
working with them, at their first meeting, to begin to paint
that blank canvas, if you will, of what specific direction that
board takes.
Within our Senate community, we unveiled the Brumidi oil
sketch that I mentioned, very recently, thanks to Senator
Stevens, in the President pro tempore's office, and Roll Call
covered that. We've done a feature in our Secretary newsletter
of UNUM, which we do every quarter, and will continue to
educate our own community about the efforts underway. And,
again, through both of these boards, people who have a reach,
not only within our Senate community, but certainly well
beyond, I anticipate that we'll continue to see renewed
interest in the possibility of both returning some historic
artifacts to the Senate that perhaps we've lost through the
years, and also pinpointing acquisitions that will reflect the
history and the tradition of this institution.
CHANGING TECHNOLOGIES
Senator Allard. Technology is changing all our lives
rapidly, both at home and, I think, here in the Capitol. And
I'll have to admit that I have a certain fixation for high
technology, myself, and am not reluctant to step into some of
the challenges of new technology in my own personal office. I'm
curious to know how you stay on top of those advances, and
then, once you decide to bring them in, how can we be assured
that they're going to operate as advertised.
Ms. Reynolds. Well, probably, to the latter portion of your
question, the best way we're assured that they operate as
advertised is the feedback from our own Senate community, and
that's why having folks, for example, like the administrative
managers involved with our FMIS, the various pilot projects
that we roll out. Having folks involved early on to help us in
knowing what works and what doesn't is key.
But, quickly, I would say, in terms of how we stay abreast
of technological developments, it's really threefold.
First of all, we have, internally, a top-notch information
systems department that's on the cutting edge and that helps
us, across the board, in remaining there and providing that
sort of service internally to the Secretary's office.
Second of all, our department heads are all continually
looking for better ways to do business, whether it's, as I
said, working through the process of putting the library
catalog online, to something as simple as providing an online
service for individuals to order their paper through printing
and document services, but, again, those simple things that now
can be done with the click of button, if you will. And our
department heads are very much involved in that process.
And, finally, again, part of that collaborative effort,
since our Sergeant at Arms takes the lead on technology in the
Senate, we, again, work very closely with them on technological
advances. They're a huge help to us in that regard.
Senator Allard. Now I would like to go ahead and call on
Senator Durbin. And Mr. Chairman, I'm glad that you're able to
join us this morning, chairman of the Appropriations Committee,
Senator Cochran.
SENATE CLERKS
Senator Durbin. Thank you, Mr. Chairman.
Ms. Reynolds, thank you for being here, and thank you for
your service to the Senate.
In your capacity, you're responsible for the professional
staff that supports our legislative activity in the Senate. The
clerks process the work we perform on the floor. What is the
current status of that group, in terms of hires and
qualifications and vacancies?
Ms. Reynolds. Right now, we are fully staffed on that
legislative team. And I appreciate you asking about them,
because they are really, in so many ways, the quiet, unsung
heroes of the Senate. You know, because you're there, the hours
that they put in on a daily basis. And, at the end of the day,
when the Senate adjourns, when those four bells go off, their
work, in essence, really begins, in so many ways. They return
to their offices to prepare the Calendar of Business, the
Executive Calendar, to complete the transcriptions and send
those to the Government Printing Office for the printing of the
Congressional Record overnight, the completion of the Daily
Digest, which, of course, is completed in that record. So it
really is a remarkable team.
But it's important, with that team, because of the
importance of the Senate's constitutional responsibilities, to
make sure that we have a balance of Senate professionals, many
of whom have 20 plus years of experience in that team, and also
constantly bring in fresh blood--younger people, if you will,
folks who are here to serve the Senate in a nonpartisan way,
and hopefully make it a career so that we have that continuity.
It's so important on that team, when you look at--in the
fact that, within the last two decades, there have been 11
Secretaries, so you see the importance of that institutional
memory, that constant learning process. For example, in one of
our departments, where we knew we had a retirement coming in a
very critical position, we began the transition process, if you
will, the succession planning, 1 year in advance, so that we
were assured, on the day that that individual departed, we
weren't going to miss a beat; again, in that very critical
service. So we try to look--we try to look to the future, we
remain as constant as we possibly can; again, recognizing that
your constitutional responsibilities are first and foremost in
our minds.
STUDENT LOAN REPAYMENT PROGRAM
Senator Durbin. And, of course, in addition to long hours
and important job responsibilities, they face the cruel and
unusual punishment of listening to our speeches all day, so
they deserve some recognition and reward for that. How is the
Student Loan Repayment Program coming along?
Ms. Reynolds. It's coming along. It's growing.
Senator Durbin. Tell me how you use it.
Ms. Reynolds. The legislation specifies that the program be
used for retention and recruitment; and, that, of course, is
the byword for the Senate offices. As you well know, with each
Member as his or her own employing office, it is up to each
office, at the current time, to decide how they administer the
program. And you and I have spoken about this before in--I
think, at last year's hearing. We conducted a fairly in-depth
survey now about 1 year ago. We had 60 something odd offices,
out of the 140 in the Senate, respond. But we found, obviously,
great support for the program. We found that folks--they set
their parameters in different ways as to how they employ the
program. Many require at least 6 months of service before the
individual is eligible for the student loan. Some set various
and different caps within the office as to how much they
actually give for the loan. I think the amount is up to $500.
But that will vary among offices. So the administration of it
is actually driven by each individual office.
What we are constantly looking for are ways to streamline
the process, because it can be a cumbersome process. And, to be
honest, you know, sometimes we're chasing up to as many as 100
lenders, if you will, to make sure those payments are going to
the right place. And, obviously, loans, of course, within the
industry are constantly being sold and repackaged. That's a
challenge for us. And within the course of the last few months,
we've introduced a paperwork process that we hope will help
both the disbursing office and the individual receiving the
loan.
We currently have just under 900 individuals participating
in the program, at a cost of about just over $3 million to the
Senate right now. And, at last report, Senator Durbin, we had
about 126 offices participating. That's roughly the same number
as the previous year.
RETENTION AND RECRUITMENT
Senator Durbin. What has been your personal experience
about the retention and recruitment angle? When I first brought
this up, it was in the hopes that student loan repayment would
be an incentive for good, talented graduates to come work here
on Capitol Hill and not be discouraged by the, perhaps, lower
startup pay than they might find in another place, or to retain
those who enhance their education, and we'd like to keep on and
use their talents. So what has your experience been in that?
Ms. Reynolds. I think, again, I'm going to refer back to
the surveys that we received, because that's one area that we
specifically addressed in the surveys of the offices. Many
offices--and, again, this is anecdotal evidence--but they
mentioned to us instances where they wanted to hire--you know,
an office wanted to hire a young lawyer, obviously who had
significant bills from law school, and they said, frankly, that
without the opportunity to use that as a recruitment tool, they
might have lost that talent somewhere else; again, because of
the pay structure here.
So while much of this is anecdotal evidence, it was very
strong anecdotal evidence that the offices take that retention
and recruitment tool seriously, as do we in the Secretary's
office, as well. So we employ the program, as well, and use it
in the same ways.
Statistical evidence, hard to come by on that; but the
anecdotal evidence from the offices, very positive in using it
as a tool.
Senator Durbin. Mr. Chairman, I don't know, maybe it's been
2 or 3 years since we've had this, and it kind of started in an
odd way; let a thousand flowers bloom, we said to each office,
``Here's what we're--here are the goals. See how they work with
your policies, personnel policies.'' I'm hoping that we can
gather this information and maybe harmonize some of this. I
don't want a top-down rulemaking procedure, but if there are
ways to put in some safeguards, to avoid abuses, to make sure
there's no waste, to enhance the initial goals of the program,
I'd like to do that, too.
Thank you, Ms. Reynolds.
Ms. Reynolds. We look forward to working with you on that.
Thank you, sir.
Senator Durbin. Thank you.
Senator Allard. Well said. And I would note that we do have
a lot of people here today that are part of the office of the
secretary, the parliamentarian, enrolling clerk, Senate
security, and they do a tremendous job. I don't know how they
keep the place running sometimes, but they're able to do it,
and with a good deal of grace and finesse, keeping a lot of big
egos happy, and they're to be commended for their job.
Mr. Chairman.
Senator Cochran. Mr. Chairman, thank you very much.
Congratulations to you are in order for----
Senator Allard. Thank you.
Senator Cochran [continuing]. Your assuming the
chairmanship of this important subcommittee. We welcome you,
not only to the Committee on Appropriations, but in your new
undertaking as chairman of this subcommittee, and we look
forward to working closely with you and trying to support you
in every way.
Senator Allard. Thank you.
THE SENATE DISBURSING OFFICE, ``THE FRONT COUNTER''
Senator Cochran. Welcome to the subcommittee, Ms. Reynolds
and Mr. Hantman. We appreciate very much your cooperation with
our Legislative Branch Appropriations Subcommittee and the good
work that each of you do in carrying out your responsibilities.
These are very important jobs. I am impressed. When I read
the summary of your responsibilities, I always come across some
item of information that surprises me. Today, for example--and
I don't know why I had overlooked this in the past--I found out
that the front counter is the place where the financial
business of the Senate is handled, and that's under the
jurisdiction of the Secretary. Could you tell us what the
origin of the phrase ``the front counter'' is?
Ms. Reynolds. That is a great question, and I'm going to
defer to our financial clerk, Tim Wineman, to answer that.
Mr. Wineman.
Mr. Wineman. It is literally just that, a front counter. It
kind of resembles an old banking organization. We used to be
located in the second floor of the Capitol Building, right down
from the Senate Chamber, and there was a huge counter that
Senators and staff would come in to conduct daily business with
the Disbursing Office, and we'd have staff behind the counter.
And it's just evolved over the years as, kind of, the receiving
point for the work that comes in from the Senate offices.
General business is conducted there, inquiries, new staff are
sworn in there, financial transactions, as far as issuing cash
advances for travel. So it's kind of similar to a bank lobby
atmosphere, and it literally is just that, there's a big
counter there, and that's the term that's been used over the
years.
Senator Cochran. But it doesn't function as the House Bank
used to.
Mr. Wineman. No, sir.
Senator Cochran. No.
I just want to be sure that----
Mr. Wineman. In fact, I'd like to be very clear on that.
Having been here during that time, and there was a
significant amount of publicity, no, it does not function as
the House Bank.
Senator Cochran. Right. Well, it is, obviously, an
important responsibility, and the offices are physically
located in the Hart Senate Office Building?
Mr. Wineman. First floor of the Hart Building, yes, sir. We
were asked to move a number of years ago, after spending a lot
of time in the Capitol, when we--we literally outgrew the space
that was in the Capitol building. And so, when the Hart
Building was opened, in 1982, we moved over there and are
located on the first floor, yes, sir.
Senator Cochran. Well, we appreciate your good work in
supervising that operation.
Mr. Wineman. Thank you, sir.
Senator Cochran. Is there sufficient request in the budget
for the operation of the front counter?
Mr. Wineman. Yes, sir. The Secretary has been very
supportive of, not only the entire Disbursing Office, but our
front-counter operation, as well.
Senator Cochran. That's great. Well, we thank you for that
explanation and information.
Mr. Wineman. Yes, sir.
Senator Cochran. Now, could I ask a question of the
Architect?
Senator Allard. You may, Mr.----
Senator Durbin. Mr. Chairman, would you yield for a moment?
Senator Cochran. Sure.
Senator Durbin. I just wanted to make a record here that
when I was elected to the Senate, in 1996, and came to sign up
for my payroll, they said, ``You've worked here before,'' and I
said, ``Yes, I was an intern here in 1966, 30 years ago.'' And
they said, ``Yes, we kept your file,'' and they brought it out.
So pretty good file work there.
Senator Cochran. Very good, thank you.
CAPITOL VISITOR CENTER
Mr. Hantman, thank you for being here and participating in
this exercise, too. I think the biggest challenge you're facing
is the new visitor center. I appreciate very much your taking
time to take me on a tour recently and show me the work that
was in progress. It is really quite an impressive undertaking.
And, of course, it's very expensive, as well.
What efforts are you making to try to hold down the costs?
I hear rumors about overruns and schedule deadlines not being
met. What are you personally trying to do to help get control
over that project?
Mr. Hantman. Mr. Chairman, it is, as you know, a very
complex project. And perhaps what we can best explain it by
using some things that I don't expect you to be able to
visualize or see very clearly from the dais.
If we could just set up a board or two over here.
This project, as you know, Mr. Chairman, has evolved since
its inception. The budget for the CVC was first set in 1998. We
talked a little bit about the inaugural, with the Secretary a
little while ago, and the inaugural that we just celebrated was
really key to how the entire visitor center was framed.
Before I get into that, if I may, I think I would be
remiss, if I could----
Senator Cochran. Well, I'd just rather for you to
succinctly respond to the question that I asked, rather than go
into the history and the description of the project in detail.
That'll come later, I'm sure, when the chairman is asking
questions.
Mr. Hantman. Well, we have a full-time accountant on the
job, Mr. Chairman. Every change order or any purchase order
that comes on through is reviewed by our accounting group. Our
project executive, Mr. Bob Hixon, who is behind me right now,
reviews all of those, and we make sure that we pay only those
that are really appropriate and that we authorized the work for
in the first place.
What we are trying to do is get the remaining contracts on
the street and awarded as soon as we can, because the inflation
rate continues to rise. And if we can award them, we can hold
the rates that we currently have; otherwise, we might have to
rebid areas such as the expansion spaces for the Senate, for
the House, for the exhibition areas, for the tunnel under the
House office--House Capitol side of the connector.
So we're trying to move forward as quickly as we can to
make sure that we lock in the prices and the bids that we have
at this point in time, to make sure that the contractors
understand that we're going to be holding them to their
responsibilities, as well, and that we monitor that effectively
on a day-to-day basis.
Senator Cochran. Thank you very much.
Thank you, Mr. Chairman, for the opportunity to be here and
participate in the hearing.
Senator Allard. Well, thank you, Mr. Chairman. And I
appreciate you taking a personal interest in this. I had an
opportunity to have a tour by Mr. Hantman.
I thought it was a very good tour. I'm, like you, very
impressed with the scope of the facility. I look forward as I
think many members do, at getting into that facility. The
sooner we can get there, the better I think everybody will
feel.
BUDGET AND CAPITAL IMPROVEMENTS PLAN (CIP) PROCESS
I know that it's a particular challenge for you, Mr.
Hantman. You are requesting a pretty sizeable increase--45
percent--over the current budget. That type of increase does
catch the attention of all of us. How have you scrubbed that
budget? Have you tried to set priorities within the budget so
that if we're unable to meet your request, where would you
recommend that we make reductions?
Mr. Hantman. Mr. Chairman, you alluded, in your opening
statements, on the issues of project management and master
planning, two very key areas, in terms of improving our control
and our projections on what the costs will be going forward,
not only on individual projects, but in budgets that we will be
bringing forward to this subcommittee in years to come. So, we
have a CIP process, which is a Capital Improvements Plan. In
that process, we rank all of the proposed projects that come
forward, on a strong basis. If we could put up that board, that
would be pretty helpful, I think. But what we do is, first, we
have to identify projects, we have to evaluate those projects,
we have to rank them and rate them before going into the budget
process. So this CIP process that we have used this year for
the first time is something that gives us a prioritization of
those projects based on fire and life-safety issues, based on
physical security issues, historic preservation and stewardship
issues, impact on our mission, and the economics of it. We rank
all of these projects on a scale that gives a real value to
each one of them as they relate to each other and to those five
key areas.
So, if we were told to cut back on our projects at this
point, Mr. Chairman, what we would do is go back down to our
list of elements we currently have been asking for, and start
at the bottom. Those things that are ranked the lowest in the
project budget, we would start eliminating, to the point at
which you are willing to fund the rest of it.
Senator Allard. And does our staff have this list and these
rankings on these projects that we can look at, at some point
in time?
Mr. Hantman. We certainly could review all of those
projects with a full background, in terms of how we prioritized
them in the first place. And we'd be happy to sit down and
review that. And certainly we wouldn't cut anything unless we
specifically worked with you and your staff.
Senator Allard. We could be facing a pretty tight budget
here.
Mr. Hantman. Yes.
Senator Allard. And it would be nice if we could give it
some thought ahead of time. And so, the sooner you could share
where your priorities are with our staff, I think it would be
very helpful to them, and helpful to members on this
subcommittee, to see where you're thinking is on those
reductions.
Mr. Hantman. We have that prioritization, already, sir.
It's how we established the budget request. We'd be more than
happy to sit down and review it. We can start from the bottom
up, and whatever we have to eliminate because of budget
criteria, we'd be ready to do that.
Senator Allard. Very good.
[The information follows:]
TABLE 2.--FISCAL YEAR 2006 LINE ITEM CONSTRUCTION PROGRAM SUBMITTED TO THE CONGRESS
--------------------------------------------------------------------------------------------------------------------------------------------------------
PROJECT EVALUATION SCORING
PROJECT PROJECT TITLE PROGRAM AREA JURISDICTION PROJECT PROJECT COST -------------------------------------------- NOTES
NUMBER MANAGER \1\ A B C D E TOTAL
--------------------------------------------------------------------------------------------------------------------------------------------------------
SECTION 1--
PROJECTS
(EXCLUDING SUPREME
COURT) ATTAINING A
SCORE OF 90 OR
HIGHER IN AT LEAST
ONE EVALUATION
CATEGORY \2\
000231D Smoke Detector BIM-SER....... LOC............. PRichards..... $3,700,000 80 90 80 80 20 350 ..........
Upgrades, JAB
000231E Smoke Detector BIM-SER....... LOC............. PRichards..... 3,700,000 80 90 80 80 20 350 ..........
Upgrades, JMMB
020188 Emergency BIM-SER....... USC............. JScuderi...... 2,980,000 40 90 60 80 60 330 ..........
Electrical
Service Upgrade,
USC
970711D High Voltage BIM-SER....... SOB............. ZBajbor....... 540,000 ..... 90 80 70 40 280 ..........
Switchgear
Replacement, HSOB
970711E High Voltage BIM-SER....... HOB............. ZBajbor....... 2,120,000 ..... 90 80 70 40 280 ( \3\ )
Switchgear
Replacement, FHOB
& RHOB
Ford House .............. ................ .............. (1,070,000) ..... ..... ..... ..... ..... ....... ..........
Office
Building
(FHOB)
Rayburn House .............. ................ .............. (1,050,000) ..... ..... ..... ..... ..... ....... ..........
Office
Building
(RHOB)
970711F High Voltage BIM-SER....... LOC............. ZBajbor....... 2,270,000 ..... 90 80 70 40 280 ( \3\ )
Switchgear
Replacement, TJB
& JMMB
Thomas .............. ................ .............. (1,090,000) ..... ..... ..... ..... ..... ....... ..........
Jefferson
Building
(TJB)
James Madison .............. ................ .............. (1,180,000) ..... ..... ..... ..... ..... ....... ..........
Memorial
Building
(JMMB)
970269GA Compartment BIM-GEN....... USC............. KSchonbgr..... 2,630,000 50 90 40 60 30 270 ..........
Barriers and
Horizontal Exits,
USC
970269GB West Terrace REG-FIR....... USC............. KSchonbgr..... 1,700,000 ..... 90 10 ..... 20 120 ..........
Egress Doors and
Stairs, USC
SECTION 2--
REMAINING PROJECTS
(EXCLUDING SUPREME
COURT)
020238 Book Storage BIM-GEN....... LOC............. MVarga........ 40,700,000 80 40 80 70 10 280 ..........
Modules 3 & 4,
Fort Meade, LOC
000018A Emergency Lighting REG-FIR....... HOB............. SSethi........ 4,790,000 ..... 80 40 10 40 170 ..........
Upgrade, RHOB
000018C Emergency Lighting REGFIR........ HOB............. SSethi........ 2,700,000 ..... 80 40 10 40 170 ..........
Upgrade, LHOB
000018D Emergency Lighting REG-FIR....... HOB............. SSethi........ 1,030,000 ..... 80 40 10 40 170 ..........
Upgrade, FHOB
000207B Emergency Lighting REG-FIR....... SOB............. RSoriente..... 3,600,000 ..... 80 40 10 40 170 ..........
Upgrade, HSOB
020202A Emergency Exit BIM-SER....... USC............. JScuderi...... 1,000,000 ..... 80 40 10 20 150 ( \4\ )
Signs and
Lighting, USC
030293 East Front BIM-SIT....... CG.............. ACoulson...... 740,000 80 ..... 60 ..... ..... 140 ..........
Plantings, CG
030130 Window BIM-SHL....... HOB............. RIngram....... 3,710,000 ..... 30 20 60 20 130 ..........
Replacement, FHOB
930281D Public Restrooms BIM-INT....... SOB............. KOlmsted...... 2,400,000 10 20 40 20 ..... 90 ..........
Upgrade, South
Stack, HSOB
020100B Public Restrooms BIM-INT....... HOB............. KOlmsted...... 1,500,000 10 20 40 20 ..... 90 ..........
Upgrade, Phase I,
FHOB
960043 Off-Site Delivery/ BIM-GEN....... USCP............ WPerlenfn..... 23,000,000 ..... ..... ..... ..... ..... .......
Screening
Facility, USCP
----------------------------------------------------------------------------------------------------------------
SUBTOTAL--Se .............. ................ .............. 104,810,000 ..... ..... ..... ..... ..... ....... ..........
ctions 1
and 2
SECTION 3--SUPREME
COURT PROJECTS \2\
030302 Building Security BIM-SEC....... SC.............. ACopeland..... 1,800,000 ..... 20 30 20 90 160 ( \5\ )
Upgrade, SC
----------------------------------------------------------------------------------------------------------------
SUBTOTAL--Se .............. ................ .............. 1,800,000 ..... ..... ..... ..... ..... ....... ..........
ction 3
================================================================================================================
TOTAL--Secti .............. ................ .............. 106,610,000 ..... ..... ..... ..... ..... ....... ..........
ons 1, 2
and 3
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ ``Project Costs'' shown represent funding as identified in the fiscal year 2006 Budget Request; with the exception of the last three
projects in Section 2, ``Project Costs'' are ``Final Project Estimates'' as developed by the AOC's Cost Estimating Group based on completed
drawings and a completed Project Check List.
\2\ Projects receiving a score of ``90'' or higher in one or more of the Project Evaluation Categories are considered highly desirable for
accomplishment within the fiscal year identified.
\3\ Project Nos. 970711E and 970711F have been separated into two parts so as to accommodate notation of costs associated with each building
comprising the project.
\4\ Original funding request in fiscal year 2005 was $2 million; only $1 million was approved; this project covers the additional $1 million
still needed to accomplish the project.
\5\ This is the Second Phase of a 2-phase project; the 1st phase was approved in the fiscal year 2005 LICP of the Supreme Court.
Senator Allard. Senator Durbin.
Senator Durbin. Thank you, Mr. Hantman. And, being a
liberal arts major, I don't have a clue what that chart means,
so I'm just going to ask you some general questions here.
What's the final cost of the Capitol Visitor Center?
CAPITOL VISITOR CENTER COST CHANGES
Mr. Hantman. The final cost of the visitor center, as being
projected by GAO right now, is $517 million.
Senator Durbin. Can you recall the first estimated cost and
what the difference might be?
Mr. Hantman. The original estimate for the visitor center,
set back in 1998, was $265 million.
Senator Durbin. And if you were asked, and you're about to
be, how would you explain the difference?
Mr. Hantman. I think that one of the charts we can put up
right now is one--as the chairman mentioned earlier, the
Government Accountability Office has been sitting with us since
the inception of the job. This is basically, a report that they
are just putting out right now, which talks about the summary
of the construction cost increases.
The first bullet talks about three-quarters of the $250
million increase is due to ``factors beyond, or largely beyond,
the AOC's control.'' Scope additions is the first item. The
first is the House and the Senate expansion space. When the
original project was designed, Mr. Durbin, we were going to be
designing just shells, just the concrete floors, no electrical,
no mechanical systems. There was no program to tell us what the
Senate space might ultimately be, what the House space might
ultimately be. After 9/11, we were given $70 million to finish
off those spaces. That was without a program, without a design.
As the design evolved, as the House and the Senate approved the
programs and we went out to bid on those, that $70 million was
found to be low, in terms of the quality of materials and the
type of program that we were directed to do. So even that $70
million was not inadequate, but that essentially added to the
base of $265 million. New scope of work.
The next bullet item is the security and life-safety
enhancements. Mr. Chairman, Mr. Durbin, Mr. Cochran, this
project has really lived through the same type of loss of
innocence, if you could say, that our country has, due to the
9/11 attacks and the anthrax attack on the Senate office
buildings. We have seen multiple infusions of new dollars for
new criteria go into this project.
Another one of the changes, certainly after the anthrax
incident, was, to redesign our mechanical room once again to
incorporate major filtration systems to take care of the type
of threats that we were facing.
Security threats throughout the history of this project
have been added to its costs, just as Homeland Security has
been adding to their responsibilities. And the big challenge,
Mr. Durbin, that we've had on this project has been that it's
no longer the same project we started with. We're talking about
adding $140 to $150 million of new work to the project that we
had to do, while we were under contract. After the design was
done, we had to try to get change orders and all of this new
work incorporated and still try to meet a schedule for an
inaugural in 2005. And that basically became fairly impossible
to do with all the mechanical changes.
So, these changes forced us, basically, to split what we
anticipated originally as a single contract for the whole
project into several pieces. First of all, we split it into a
preconstruction contract so that our construction manager,
Gilbane, could remove all of the utilities from inside the
footprint of the project, so that we would not slow up the work
of the major contractors, to come later. Then, because of the
multiple redesigns of the mechanical spaces, we had to break
out the excavation, the foundations, the structural work so
that we could begin to work on that right away and try, still,
to keep our schedule to complete this project within the
parameters of the 2005 inaugural. So, that contract went ahead.
In the next contract, which we were redesigning for the
changed mechanical spaces, we gave a criteria to the bidders to
meet the 2005 inaugural. Out of five bidders, three dropped
out, saying that was impossible. And in order to change--to at
least retain competitive bidding, we said, okay, we need to
support the inaugural in 2005, we recognize we're not going to
be finished, and we need to work on an extended schedule to be
able to do that. And that's essentially what we did. We did a
top-down construction, put on all the granite. The President
actually stood on the central rotunda steps, as you know, and
the troops passed in review. We got that work done.
So the challenge has been----
Senator Durbin. That was a pretty expensive review, wasn't
it?
Mr. Hantman. In terms----
Senator Durbin. Never mind. We set that as your goal. And I
know you were living up to it. And I'm glad we did it. It
apparently called for additional work and expense. And you
lived up to your responsibility there. The President--the
inaugural went off, I think, flawlessly in that regard, except
for the outcome of the election, which I won't get into.
Let me ask you, when will the CVC be open to the public?
Mr. Hantman. Our construction schedule calls for us to be
completed in the fall of 2006. We're looking at--our contractor
schedule talks about September 2006 right now.
CAPITOL VISITOR CENTER FTES
Senator Durbin. So why would you have such a dramatic
increase in a request for FTEs if we're--for this next fiscal
year, when the CVC won't be open until the very end of that
fiscal year?
Mr. Hantman. We're actually phasing that in, Mr. Durbin.
We're taking a look at--right now, our operations plan--and we
have consultants, Zell Corporation, that came in, folks who are
experts in visitor flow and operations of major spaces like
this, and we've been meeting with Emily Reynolds and people
from the Capitol Preservation Commission, 1\1/2\ years now,
with the Zell group. What they're recommending is that we
actually have an executive director for that group and a core
staff. They should be onboard right now, basically, planning
for the ultimate phasing in of the 260 people that Zell
projects will need. And that executive director could certainly
look at the Zell report and say that that number is off this
way----
Senator Durbin. These 260 are for the CVC exclusively.
Mr. Hantman. That's correct.
Senator Durbin. And you're asking for those FTEs in this
year's fiscal appropriation, though the center will not be open
until September of this next fiscal year?
Mr. Hantman. We have authorization now, I believe, for 16
of those 260 people. And of those 16, what we've started to do
is actually hire--rather interview people--we can't hire them
until we have an obligation plan signed for us--the people who
are looking at the operations of the building. Potentially an
assistant superintendent for the Capitol Building so that he or
she could get together a staff that will make sure that the
mechanical systems, the electrical systems, all of the things
that are being installed correctly. They will be able to review
that, be familiar with the systems when the building is
essentially turned over. Those are the first people we want to
bring on.
CAPITOL VISITOR CENTER COMPLETION AND OPERATIONS
Senator Durbin. Open to the public September 2006 is what
you're saying?
Mr. Hantman. From a construction perspective. From an
operational perspective, Senator, the issue is, we have not yet
hired that executive director. We've not been authorized to
bring on any staff to do the operations side of it. We need
that component, as well, so that whatever the operations group
brings to the building, we'll be able to integrate it.
And I don't know if, Ms. Reynolds, you have anything to say
about that. We talked about this just this Monday evening.
Senator Allard. If I might interrupt, Senator Durbin, and
follow up on this, you're certain, from a construction aspect,
that September 2006 would be when it's completed, open for
occupancy.
Mr. Hantman. That will depend, again, on the operations
team, when they come on and what kind of work they can do early
enough. In the best of all possible worlds, Mr. Chairman, this
operations group would come on, and they would work in parallel
with us, in terms of their programs--and the hiring that they
need to do to get their staff together.
STRATEGIC PLAN NEEDED
Senator Allard. Do you have a strategic plan in place
where, when you reach this stage, we have some assurance that
there's a step-by-step approach on how everybody's going to
move into the offices and, a time schedule in which you
anticipate that's going to happen? If you could elaborate
further on whether you have the strategic plan.
Mr. Hantman. Two points. First of all, let me clarify the
September date again, in terms of construction. We have not
gotten authority yet to award the expansion space for the
House, for the Senate, for the exhibits.
So I'm not sure. As soon as we can award that, we can
assess what their completion date for those components of it
will be. But in terms of the operations of the visitor center,
the Congress has not yet determined who will be responsible for
operating the visitor center, who they will report to, what
committee they will report to; and, therefore, no decision has
been made whether it will be an AOC responsibility or it will
be another committee's responsibility, another group.
Senator Allard. And why aren't those decisions being made?
Ms. Reynolds. With your permission, let me just add a note
here, Mr. Chairman.
Those decisions have not been made. They are an ongoing
discussion between Senate leadership, House leadership, and
members of the Capitol Preservation Commission. They've been
going on for several months now, most predominantly at the
staff level, obviously with feedback to the respective members.
I think, clearly, if we're looking at an 2006 opening date,
clearly the need for those decisions is sooner, rather than
later. Suffice it to say, we're working closely with the
Architect on it, and it's--this is another one that's a team
effort. We'd certainly appreciate your advice and counsel on
this, as well, but, again, being done at the leadership level
and with the Capitol Preservation Commission.
Senator Durbin. Mr. Chairman, I just might say that we hold
our witnesses and agencies accountable. Now we ought to hold
ourselves accountable. I think the leadership on both sides of
the Rotunda need to get together immediately and work this out.
And I know it's contentious, and it hasn't been easy, but we
can't blame them if the CVC doesn't open because we can't
explain who's going to be in charge and make these key
decisions. So, if you would like to reach out to Senator Frist,
I'll reach out to Senator Reid, and let's see--Senator
Cochran--maybe we can get some movement here on this.
Senator Allard. I do think that we need to sit down with
the leadership and put together some kind of strategic plan on
how we're going to go through this and make these decisions,
step by step. Has any kind of proposal been made to the
leadership at all from your office? Have we suggested anything
to them? Say, ``Look, we think this is realistic now. Can you
agree to this?'' Have we taken that step?
Ms. Reynolds. We took a step about 6 months ago, I think,
and went back to the leadership with--not so much with an
overall governance proposal, but we did provide to the
leadership on both the Senate and the House side, really, more
of an update, a working update, as a result of the operational
meetings that have been held over the course of the last year
with Zell, with this consultant, and really just looking
broadly at the organization itself. As I said, the
conversations have taken place over the last few months, with
both Senate and House officers and staff. Obviously, this--
because it is an extension of the Capitol, this will be,
presumably, a decision of the joint leadership and the CPC, of
course, which has members from both sides.
We've made progress. We are not yet prepared, I will say,
at least at the staff level, with an overall recommendation.
Again, we'd be--I'd love the opportunity to brief you all on
the various and different proposals that have been made, the
various and different discussions. And, you're absolutely
right, this is one that needs our time and attention.
CAPITOL VISITOR CENTER CONSTRUCTION MANAGEMENT
Senator Allard. Mr. Hantman, I know when the project
started out we had a couple of different contractors, and they
didn't get along very well at the very start. Do we have an
overall contractor that's in charge right now? It seems to me
one of the things that needs to happen in a project, you need
to have one contractor that's in charge, and you put incentives
in place for them to perform and carry out what they say they
will do. And it seems to me if we have one contractor who's in
charge, he can be helpful to the staff in putting together some
sort of strategy on how we can get this thing wrapped up in a
timely manner, while holding down our costs.
Mr. Hantman. Mr. Chairman, with the help of the General
Services Administration, we conducted a nationwide search for a
construction manager. We hired the Gilbane Corporation to be
that construction manager and make sure that they coordinated
the work of all of our contractors on the job. Our first-phase
contractor for the excavation, for the structure, for all of
that work, Centex Corporation, has completed their work.
They're off the job. Our second-phase contractor, who is doing
all the electro-mechanical and architectural finishes work, is
Manhattan Corporation. And, in terms of coordination for the
expansion spaces, to minimize complications, we're expecting
that they, also, would be running the work, although we go for
competitive bids on the expansion spaces, on the exhibit areas,
things of that nature.
So, yes, we do have people in place, both from Manhattan
and the Gilbane side, and we are giving whatever advice that we
possibly can to the Capitol Preservation Commission about
what's going to be in place at what point in time, and how we
can phase this work, so that we can get that center opened
appropriately and in good order.
Senator Allard. Well, then, who's ultimately accountable
for getting this done on time? Is this Gilbane?
Mr. Hantman. Our construction manager, Gilbane, is
accountable to us. We have the fiduciary responsibility,
certainly. And under our project executive, Bob Hixon, they
report through to Bob Hixon, and Bob Hixon reports through to
me.
Senator Allard. Gilbane--are they doing their job? It seems
to me this is their responsibility, to help you put together a
strategic plan. Are they doing their job in that regard?
Mr. Hantman. Well, in terms of strategic plan, relative to
operations, that is not their responsibility. It is the
construction side of it only, Mr. Chairman.
Senator Allard. Go ahead, Senator Durbin.
Senator Durbin. Are there any incentives or penalties in
the contract with Gilbane, for performance?
Mr. Hantman. For the contractors, we have liquidated
damages. For Gilbane, they are a fee-based organization, and if
they're not performing--it's up to us, basically, to make sure
that they do perform or to take away work from them and give it
to somebody else who can perform, when they don't.
Senator Durbin. How much has Gilbane been paid?
Mr. Hantman. I believe it's something like $15.5 million
for the CVC Base and $2 million for the Senate shell.
Senator Durbin. Okay.
Mr. Hantman. I can verify that number.
[The information follows:]
As previously stated, I would like to verify the
information referring to the amounts paid to Gilbane. In
reference to the CVC base contract with Gilbane $15.5 million
has been obligated and $13 million has been paid or expended.
For the Senate shell space $2 million has been obligated and
$1.6 million has been expended.
Senator Durbin. But there are no incentives for them, as
the management side of this. The incentives relate to the
actual construction.
Mr. Hantman. We have incentives for the contractors, in
terms of--if they meet their schedules, they move ahead. We
have awards for them, yes.
Senator Allard. You know, it's not entirely clear to me who
figures out the costs and the timeline schedule. Is that
Gilbane, or is that your office or one of the contractors? Who
puts that schedule together and says that it gets us to
September, gets us to some kind of date after that, which we
don't seem to be able to get specified.
Mr. Hantman. Gilbane has the responsibilities for the
master schedule. We have a schedule that came in from Manhattan
Corporation, who is the contractor onsite now charged,
basically, with all the work to finish the job. The issue,
then, is--what Gilbane needs to do is take the schedules for
the expansion space, for the exhibit areas, areas that we've
not yet awarded, integrate them into a schedule, and make sure
that we can all finish when we need to finish.
Senator Allard. And why haven't those other spaces been
awarded yet?
Mr. Hantman. We need to have obligations plans signed by
the House and the Senate to allow us to spend the dollars to do
that, and we've not yet got those signatures.
Senator Allard. I see. Okay.
CAPITOL VISITOR CENTER SCHEDULE
Senator Durbin. Mr. Chairman?
If I might ask Mr. Hantman--the GAO, when they took a look
at this, agreed with your final cost figure, but disagreed with
the occupancy--or maybe not disagreed, but said they felt that,
by schedule, it wouldn't be completed until March 2007. Do you
take issue with that date that they came up with?
Mr. Hantman. Again, when we talk about the project, if we
could define the nature of the project. The Capitol Visitor
Center portion of it, the area that will welcome visitors,
where people will walk down the entry ramps--and I'd welcome
the opportunity to take you on a tour, Mr. Durbin--be screened,
come into the great hall, go to the information booths, go see
the orientation film, go on the tour, go to the cafeteria, go
to the restrooms--all of that is projected in the current
contracts that we have with Manhattan Corporation. The part
that has not yet been awarded, and the part that will not be
ready, at this point in time, in the fall of 2006, is, in fact,
the expansion space, which has not yet been awarded. And that's
where GAO is going and pushing that off. And until we get the
contractor onboard and we work with them, we don't know what
the schedule is for that work.
Senator Durbin. And the contractor decision depends on
leadership in Congress to decide responsibility----
Mr. Hantman. We have bids on that now, Senator. The issue
is--we can't award those bids, because we don't have the
obligation plans signed to award them. Then we could move ahead
and move with that contractor to nail down a completion time.
Senator Durbin. Okay.
CAPITOL VISITOR CENTER EXHIBITION SPACE
Senator Allard. Well, are there other things, other than
the expansion space, that could be causing a delay on this
project?
Mr. Hantman. The exhibit areas, Mr. Chairman. There's a
wonderful exhibit area, which I showed you as we walked
through--and, again, I'd welcome the opportunity for anybody
who's not seen it, to take them through that again--we have not
been able to award the contract for the construction of the
exhibition areas. The Secretary of the Senate and the whole
senior staff on the Capitol Preservation Commission, has the
concern of, should we open the visitor center if the exhibition
area is not ready to be opened, as well? And that's a debate
that the Preservation Commission staff have been having. From
my perspective, the best of all possible worlds, it should all
be ready. We should be able to have full exhibits, have the
air-conditioning system tested, so the original documents,
amendments to the Declaration, amendments to the Constitution,
all of those original documents that we're planning to put into
the exhibition area, would safely be able to be installed
there. We need to award the contract and move ahead and see
just how we can shake it out. We still think we can make that.
Senator Allard. I want to move on, but Ms. Reynolds, did
you want to respond?
Ms. Reynolds. I just wanted to add a word to what Mr.
Hantman said, in terms of bringing the documents into the
building and readying the exhibition space. And I certainly
appreciate the commitment and the drive that the Architect has
to get this facility up and running for all of us. It will be
tremendous when it's done. But from an archival standpoint,
both the Clerk of the House and I have the responsibility to
work with the National Archives, who, of course, are the
repository of the records of Congress. So one thing we would
like very much to do--and I believe we have a meeting scheduled
in this regard--is to have Mr. Hantman fully brief both the
Archives and the Library of Congress, from whom we anticipate
we will also borrow some documents, so that those
preservationists, those archivists, can understand both the
project in full, how the work will proceed, potentially, around
the exhibition space, so that they have the assurance, before
they loan precious documents to us, that they have the
assurance and feel good about the prospect that those documents
will be protected in this exhibition space if we still have
ongoing work going on in other aspects of either the CVC or the
expansion space itself.
So, again, we'll keep you posted on that, but I think we
have one additional important step to make, if you will, and I
certainly didn't want to leave the impression that there's a
delay, if you will, from our end. But we do have that
responsibility, to protect the records of Congress, and need to
make that one additional stop with those archival experts.
Senator Allard. I think it would be helpful for this
subcommittee if we can get some sort of timeline set down here
with some estimated costs, and then we can check it off as we
go along. And if for some reason AOC doesn't meet the timeline,
we can ask why. And if you're under budget, we can have a
celebration, when we reach those various milestones. I think a
lot of Members in the Senate would feel more comfortable if we
could have some sort of timeline out there to get things nailed
down as best as we possibly can.
Mr. Hantman. Absolutely.
ARCHITECT OF THE CAPITOL MANAGEMENT
Senator Allard. I think it would make life much easier.
The other thing that I would want to bring up, there's an
article here about the AOC staff survey, and your staff
expressed some dissatisfaction. I think you need to have
workers that have bought into what you're doing. Noting some of
the things several employees expressed concern about charges of
favoritism and uneven and unfair work distribution, hire and
promotions that were not necessarily based on qualifications
and experience but based on personal connections. Those are the
kind of comments that have been pulled out and that I have
before me here. Is that a problem that you think truly exists?
And even if it's a few employees, perhaps it is something to
correct. I'd like to know what your suggestions are in that
regard.
Mr. Hantman. Mr. Chairman, we take those kind of charges
very seriously, and we investigate every one of them. What we
have tried to do, over the 8 years that I have been here, is to
create a human resources division that is responsible, not only
to external clients, but to internal clients. Our staff are the
backbone of the agency. The AOC is a service agency, and the
2,000 people we have essentially are our most valuable
commodity. So, we are making sure that we have fair and open
hiring practices, promotion practices, that we post jobs
between jurisdictions, which never used to happen. Basically--
somebody who worked for the House office buildings wouldn't
apply for a job in the Senate office buildings. They do that
now. We make sure that the benefits are the same. If you're
doing the same work, you get the same benefits. The
classification of all jobs are just the same. So anytime that
we hear something like that--and I hear it, I will talk to
people, we will talk to our human resources folks and make sure
that we get a full answer and that these people are treated as
fairly as possible within the guidelines of the Federal
Government-type regulations.
Senator Allard. I do recognize there is a challenge----
Mr. Hantman. There is.
Senator Allard. But I'd encourage you to sit down and work
with the employees and see if we can get it resolved. It sounds
to me like maybe you've made some efforts in that regard, and I
appreciate that.
Mr. Hantman. If I could make a statement, Mr. Chairman,
that was a very disturbing newspaper article. The headline was
``Fear and Loathing in the AOC.'' Those are very, very heavy
words. I had our folks go back to all the surveys. First of
all, please be aware, we initiated 25 task groups; 300 people
around our agency from all areas were invited in to talk, to
give their points of view in an open manner, with an outside
facilitator, impartial people, to talk about, what was wrong
with their jobs. We wanted to know basically what the problems
were, what the challenges were, how we can start addressing
those challenges. We also conducted a survey that went across
the entire agency, talking about the quality of services and
how we can improve them.
As a result of the surveys we've set up eight committees on
communications--no question about that, we have to improve our
communications--human resources, procurement, senior
leadership, strategic planning, all of these issues. We have
groups that have been set up to address these issues.
But I think it's important to note that we went back to the
surveys, and we studied these words that we saw. And the word
``loathing,'' ``repercussions,'' ``payback,'' those with
negative connotations did not appear in any of the surveys that
came back from our employees. Ninety-six employees, out of 215
participating, used the word ``fear.'' But the word ``fear''
was used regarding their concern about having their jobs
outsourced following a study we're conducting as a
congressional mandate. They did not use it in the context of
fear in the workplace. I'm thinking that, clearly, there are
some people who are not open enough or secure enough to express
their opinions. We had a celebration for people who have
Government service of, 30 to 35 years, last week. And I told
the people in the labor division who were talking there that we
want them to speak openly and talk about that. But I think it's
important to note that that headline had nothing to do with
what the surveys and the focus groups showed.
So, basically, our conclusion really is, the journalist's
choice of words were the journalist's choice of words. The fear
was--related to outsourcing, not to the way people are treated.
Most people stated that they liked their jobs. There was
certainly room for improvement in communications and other
areas, but it was a totally inappropriate headline.
Senator Allard. I wanted to give you an opportunity to
respond to that, because I think that you needed to have that
opportunity.
CAPITOL VISITOR CENTER GOVERNMENT ACCOUNTABILITY OFFICE REPORT
Now, let me go on to the GAO report. And I know you have a
chart over here. You just must be itching to use that chart.
I want to give you an opportunity to respond to some of the
criticism from the GAO report, and I think that's what that
chart's all about. So why don't you go ahead and respond to
those comments from the GAO report?
Mr. Hantman. Mr. Chairman, the Capitol Visitor Center, I
call it a magnificent challenge. It truly is that. As I
indicated earlier Senator Durbin, the nature of the project has
changed significantly since its inception, adding roughly $150
million of new work to the project as it was under design and
construction.
If we could put the GAO summary of reasons back again,
please.
The GAO does talk about management. They talk about--we
could have done a better job doing management. In retrospect,
when you look at the issues that we have to deal with, managing
all the changes, the multiple changes--from the security
perspective, from the expansion perspective--we needed to
manage them, and we could have managed them more effectively,
but we have managed them very well right now.
So where we talk about three-quarters of the $250 million
increase due to factors, ``beyond, or largely beyond, AOC's
control,'' that's GAO's language, ``77 percent of their $250
million increase was beyond our control.'' The next line talks
about design-to-budget items impacted by market conditions.
The market volatility--since the budget for the House and
the Senate expansion spaces was established in 2001, there have
been material price increases. We have two estimates done for
every piece of costs, Mr. Chairman. One of them is done by
Gilbane, our construction manager; another is done by an
outside firm, Hanscomb Corporation. We compared the two
estimates for the work. With the escalating costs, the Hanscomb
group indicates, in the Washington metropolitan area, some 22
percent escalation has occurred within the last 12 months,
alone. So when you've established a budget years ago, and you
see that kind of escalation, the $35 million budget set for
each of the expansion spaces for the House and the Senate did
not conceive of that level of additional dollars. So that has
impacted us tremendously.
Limited competition due to a saturated construction market.
You can see construction cranes all over the Washington
metropolitan area. The pool of labor is down. The competitive
bidding is down also, because there's enough work to go around,
and contractors don't have to cut their prices; they can pick
their jobs.
Added costs to bidders due to security. As you know, Mr.
Chairman, we have trucks being checked on The Mall. Thousands
of trucks are being inspected by--and going through a big
screening area--by the Capitol Police. They're double-checked
when they come onto First Street, before they come on site. All
of the workers that come onto our site are screened. They
undergo retinal scans and police background checks. People in
the construction industry who have a police record are not able
to work on our job. That's a premium that contractors add to
their contracts.
Added--low estimates, and design not changed to meet the
budget. When our numbers have come in higher than we
anticipated, higher than our outside contractors and cost
estimators have said, we come up with lists of things that
could be eliminated from the project, could be changed. One of
the things, which you may be aware of, we have a Buy America
situation. If we had been able to bid our stone work on the
international market, our contractors tell us, we could have
saved $10 million. We have stone from Tennessee, from Ohio,
from Pennsylvania. We fabricate in Wisconsin, in Vermont. All
of this is American, and we're paying for that premium.
So the issue is, we could cut out some of that stone, we
can go to sheetrock, we can go to wood. What we're doing here,
Mr. Chairman, is, we're building for the future. This is not a
speculative office building. This is not a normal building.
This is something that complements and supports the Capitol
that's survived for 200 years; and, with the good Lord's grace,
will survive for hundreds more. So this is a complement. It
supplements what, in fact, is happening in the building. And
the quality of the finishes--the stone, the bronze work, there
is stone on the floor, there are quality woods, there are
materials that make sense, and that your great-grandchildren
will be proud to visit in future years. So, if we come up with
lists of things to cut because our numbers come in high, we are
told, no, we cannot cheapen the work. And I don't want to
cheapen it, either.
So the budget cannot be, as a normal job would be, one
where you cut things out, you change it, you eliminate
components of it. That is not an option open to us right now.
So we are living with what the--essentially, the industry tells
us the costs are going to be by those who choose to bid our
projects.
Senator Allard. Based on the GAO report and your experience
up to this point, what have been your lessons learned? If you
were to start back over with the project again, what would you
do differently to make it a better project than what it is
today?
Mr. Hantman. Mr. Chairman, any architect or engineer who
does a major project, and it's underway, under construction,
has a tremendous fear of the words, ``While you're at it, why
don't you''--add a piece to the exhibit areas, add new security
criteria, change this, do a change order to your contract,
because I don't like the way that's coming in. With the outside
pressures we've had since 9/11, Mr. Chairman, nobody could have
foreseen all the security issues that we have.
As far as the expansion spaces are concerned, there's no
doubt in my mind that those were meant to be future expansion
spaces. When 9/11 hit, we got the money to finish them off, we
made basic changes. We had to redesign our structure so that
hearing rooms could have the long spans that they now have
while they were under construction basically, this is in terms
of the structure.
So have your programs set on everything that you're going
to do. Go to a single contractor--that was our original goal,
but, because of the timeframe--and that was the timeframe that
Senator Durbin referred to--we had this inaugural date to hit.
It turned out to be impossible once all of these $150 million
worth of changes were put in the project. Yet, we were still
driving our contractors to do that, and we put out bids on that
basis. We shouldn't have put out bids on that basis. We should
have recognized earlier that that's a criteria that will lose
us the bidders and the competitiveness of the bidding process.
Senator Allard. I think that's a comment well made. As soon
as you start changing the original order, you open up the
contract, and it just becomes a blank check, and it's very
difficult to control costs once you've done that. I've been in
the position where I had a construction project. You know, I
was building a veterinary hospital. And as soon as I started
requesting a change here or there, you just open the whole
thing up. And I can imagine, with this size of a project,
that's a huge, huge issue. Do you think there might be any more
major changes coming forward that could impact cost?
Mr. Hantman. Well, as was indicated in your opening
remarks, GAO, last time around, when we came before the
subcommittees for costs, they said, ``There's further risk out
there.'' GAO still indicates that there is further risk out
there. Hopefully, not on the magnitude that we're talking about
to date.
We need to award the contracts that we have yet to award,
and make sure that we can move ahead as expeditiously as
possible. That's the best way to control the costs.
Senator Allard. Mr. Chairman, do you have any questions or
comments while we wrap this up?
Senator Cochran. Mr. Chairman, I'm very glad that we've had
an opportunity to have this exchange, and the question and
answers have been very informative and helpful to our
understanding of where we are with the visitor center project
and the responsibilities of these fine individuals, who serve
as Architect and Secretary of the Senate. We appreciate your
service and your cooperation with our efforts to help make sure
we're getting what we're paying for and we are not being frugal
and living up to our responsibilities to the general public and
to the Congress, itself, and the American people, in
particular.
Thank you, Mr. Chairman.
Senator Allard. Mr. Chairman, I couldn't agree more with
your comments, and I also understand the frustration when you
have numerous bosses, like the Architect of the Capitol has. We
all have our own views, and I understand the challenges of your
position, but I do think the more we can get down as a plan,
the better off we'd all be so we can understand that. So,
again, I would encourage you to get something in writing to us,
some kind of a plan. It would be helpful, I think, for the
subcommittee.
I agree with the chairman, this has been a very helpful
hearing, from both of you. And I know there's a lot of
dedicated people here that want to do the right thing for
Congress, and want to do the right thing for the people. We do
want this to be something we're all proud of, and I do see a
lot of things in that visitor center that are just great. I
want to make sure we can get through this with as few bumps as
we possibly can toward completion.
I want to thank all of you for your effort. Thank you.
Mr. Hantman. Thank you, Mr. Chairman.
Ms. Reynolds. Thank you.
ADDITIONAL COMMITTEE QUESTIONS
Senator Allard. And I would request, of the witnesses,
that, within 1 week, if you could respond to additional
questions in writing, then we'll make those a part of the
record.
[The following questions were not asked at the hearing, but
were submitted to the Offices for response subsequent to the
hearing:]
Questions Submitted to Emily Reynolds
Questions Submitted by Senator Wayne Allard
Question. What are your recommendations for the closed captioning
of Senate hearings based on the pilot project your office conducted in
conjunction with the Judiciary Committee?
Answer. In September, 2003, the Office of the Secretary, in
coordination with the Judiciary Committee, agreed to implement a pilot
program for the closed captioning of Senate committee hearings, based
on language included in the fiscal year 2003 Legislative Branch
Appropriations report.
The pilot is summarized based on the request given to us by your
committee to assess the feasibility, use and cost of the closed
captioning pilot for committee hearings.
The original plan called for the pilot to run for a period not to
exceed 90 days with the Secretary's Office of Captioning Services to
provide the hardware and software using voice recognition technology, a
technology selected at the suggestion of the Judiciary Committee. The
Judiciary Committee provided funding for the product contract.
The Secretary's office invested almost $18,000 in support of the
project, which included equipment and training. In addition, the
director of captioning services served as the project manager and
provided extensive counsel and training. A room on the mezzanine level
of Hart 216 was prepared and furnished by the Architect of the Capitol
and the Sergeant at Arms for the captioners' work given the need for a
noise-free environment. The Senate Recording Studio also assisted in
providing the necessary feed and encoding equipment.
The project concluded on October 6, 2004, following the completion
of two captioned hearings for the Judiciary Committee. Unfortunately,
the project encountered delays involving both the contractor and the
technology, which eventually led to the selection of a second
contractor in order to complete the pilot.
The first contractor began work on January 21, 2004, and conducted
its first dry run on a committee hearing on February 25. A second dry
run followed approximately one week later on March 3. The contractors
were not familiar with the realtime captioning software, and on-site
training was provided. In addition, software bugs with the technology
had to be addressed and remedied. The contractors also experienced
numerous hardware problems, making it difficult to determine at times
whether the problems were software or hardware related. An overall lack
of experience in the use of voice recognition technology led to a high
error rate, so high the captions could not be understood.
The Judiciary Committee opted to terminate their contract with the
first contractor in mid-March, 2004, and proceeded to engage a second
operator just over one month later. The second contractor began
training in late August, and two dry runs of committee hearings were
conducted in September.
The contractor employed the voice recognition technology on
September 22 and again on October 6 to cover two Judiciary Committee
hearings that were broadcast on the Senate's internal television
committee channel. In the first hearing, the average percentage of
sentences with recognition errors was 55 percent. In the second
hearing, the captioners showed improvement with the technology reducing
the average percentage with recognition errors to 42 percent. (As a
standard of comparison, captioning services for Senate broadcasts posts
an accuracy rate of 99 percent).
The second contractor's captioners continued to experience setbacks
with both the software and hardware, and have rendered their opinion
that at least currently, the realtime captioning project is not
appropriate for Senate committee work, particularly given the unique
language of the Senate and the requirement for accuracy.
The Secretary's office provided a means for the Senate community to
respond to the pilot, with comments, creating an e-mail address,
ccpilot@sec.senate.gov. Two e-mail notices were sent prior to the
internal broadcasts of the two closed captioned hearings.
Four responses were received at the e-mail address. One was an
inquiry as to how to access the hearing; a second was from a committee
staffer inquiring further about the pilot. Two responses came from a
Congressional Research Service staffer who suggested transcript
corrections.
To the best of our knowledge, voice recognition technology has not
yet been employed to realtime caption television programming. In
addition, the availability of voice writers is minimal in the region,
particularly those with captioning experience. While the technology may
hold promise for the future, on the basis of the pilot project, it is
not a feasible technology for the Senate's use at this time.
Question. What information can your office provide to Senate
offices on employment compensation, hiring and benefit practices,
particularly for those newly-elected Senators who are in the process of
setting up shop? Would it be useful for Senate offices to have an
outside organization study compensation, hiring and benefit practices
for Senate staff, and in your view, would it be appropriate for us to
fund such a study?
Answer. Two departments under the direction of the Secretary, the
Disbursing Office and the Senate Chief Counsel for Employment (SCCE)
can and do provide information to Senate offices, including newly-
elected Senators' offices, regarding compensation, hiring and benefit
practices.
With respect to hiring and benefit practices, the SCCE does the
following: (1) informs offices about how and where to advertise job
openings, how to interview candidates, how to conduct reference and
background checks, how to establish appropriate criteria for selecting
among job applicants, and how to finalize and document job offers; (2)
provides each office with dozens of sample employee policies that are
used across the Senate and assists the office with customizing the
policies; (3) assists offices with preparing employee policy manuals
and supervisors' manuals; (4) educates the offices about the range of
benefits customarily offered by Senate offices, such as the number of
days of paid leave, paid holidays, and paid FMLA leave, and assists
offices in establishing their benefits; (5) educates the offices about
all of their legal obligations and employees' legal rights under
employment laws, which include compensation, hiring and benefit
practices.
Like the SCCE, the Disbursing Office provides extensive and
detailed information to newly elected Senators' offices during the
Senators-elect orientation program and in one-on-one training with all
new offices. The training includes both written and verbal information
on the budget structure and available funds by fiscal year for the
office, the salary limitations for the office, the appointment and
hiring procedures including the statutory prohibitions on when
appointments and transfers can be effective, other employment
restrictions, procedures and requirements for salary adjustments and
termination processing, guidelines and procedures for processing
overtime and paying for unused annual leave, and any other relevant
employment and payroll procedures. Counseling on all federal benefits
(retirement, Thrift Savings Plan, health insurance, life insurance,
flexible spending accounts) is also provided to all new Senate
employees.
With respect to compensation, because each member's office is, by
law, an individual employer, each office establishes its own salaries.
Twice each fiscal year, the Report of the Secretary of the Senate is
published in compliance with Section 105 of Public Law 88-454, approved
August 20, 1964, as amended. The Report is a full and complete
statement of the receipts and expenditures of the Senate.
Based on the work of both the Disbursing Office and the Senate
Chief Counsel for Employment, it would be neither useful or necessary
to hire an outside organization to study compensation, hiring and
benefit practices. Because each office is an individual employer,
employee positions and job responsibilities are not the same across
offices, and salaries and benefits often reflect issues unique to each
state. To the extent policies and benefits are common across offices,
that information is already shared across, and provided to, Senators'
offices.
______
Questions Submitted to Alan Hantman
Questions Submitted by Senator Wayne Allard
BUDGET
Question. AOC is in the process of conducting a mid-year review of
the current year budget. Based on this analysis, do you believe there
will be any funding this year that could be reprogrammed to any
projects AOC is requesting in the fiscal year 2006 budget? If there are
savings, please explain why.
Answer. The mid-year review resulted in satisfying some emerging
fiscal year 2005 needs and a few fiscal year 2006 needs as well. The
review identified potential sources of funding to pay the Botanic
Garden claim, the closing costs for the ACF purchase and the Capitol
Power Plant-Replace Ash Handling.
STRATEGIC PLAN
Question. In December 2003, AOC issued a strategic plan for the
agency. How is the implementation of that strategic plan specifically
affecting your organizational structure and the resources you need for
fiscal year 2006?
Answer. Resources in terms of both dollars and FTEs are needed to
continue to make progress in implementing improvements (outlined in our
Performance Plan) in key areas such as project management, IT security,
Enterprise Architecture, worker safety, financial controls, and
employee communications. We have not requested additional FTEs to
implement these improvements and have ensured that the dollars
requested in our budget are aligned with our strategic action plans. As
part of our internal process to develop our budget, we require each
responsible manager to include discussion on how the requested budget
is linked to accomplishing one or more of AOC's Strategic goals.
In addition, the AOC proposed organizational structure would allow
us to more effectively manage day-to-day operations and achieve our
strategic goals. It will facilitate delegations of authority and
clarify lines of communications by formally recognizing the official
management structure of the agency.
Question. In your testimony you say ``we are continuously
evaluating our efforts so that we continue to excel, meet and exceed
expectations.'' On what basis can you say AOC is excelling, meeting and
exceeding expectations?
Answer. The AOC is constantly reviewing our progress and looking
for ways to improve our operations. Examples of improvements that allow
us to excel, meet, and exceed expectations include:
--Financial Management
--Developed a Management Control Program Policy--currently in the
review and approval process. Implementation team is forging
ahead as the policy receives final approval. The team has
completed the initial review of the first two internal
control cycles: payroll and procure-to-pay.
--Project Management
--Implemented a ``pilot'' PM organization to align staff with
mission critical goals.
--Continued to implement a Program Development Process that
includes the prioritization of projects by a senior-level
panel comprised of all jurisdictional superintendents. The
project prioritization process was most recently used in
the summer of 2004 in conjunction with determining the
fiscal year 2006 Line Item Construction Program (LICP) as
recently submitted to The Congress.
--Developed tools to effectively communicate priorities and
progress of projects. Formal Program Development Process
procedures have been developed and communicated to all
parties through various means. Briefings have occurred.
Portions of these procedures, as appropriate, have been
included in AOC manuals. The process, to include its
specific application to the recommended fiscal year 2005
Line Item Construction Program (LICP), has further been
communicated through the AOC's Capital Improvement Plan
(CIP) prepared in February 2004. These procedures, to
include their application to the recommended fiscal year
2006 LICP, are similarly being captured and communicated
through the revised CIP currently nearing completion.
--Created an employee feedback process manual (undergoing final
review of procedures for implementation).
--Conducted Focus Groups and a Human Resources Management Division
Customer Satisfaction Survey--action plans are being developed
to address opportunities for improvement especially in the
areas of communication, on a wide variety of AOC issues,
policies and procedures.
--Completed the 2004 Building Services Customer Satisfaction Survey
(BSCSS) and reported findings and action plans to stakeholders.
--Linked senior executive and employee performance management systems
to our strategic goals and objectives.
--Launched our workforce planning office which is currently
developing a workforce plan/strategy to outline the process for
AOC long-range workforce planning.
--Continued to implement IT Investment Management, Enterprise
Architecture and Security programs.
Question. What are the most significant challenges you face in
meeting your strategic plan goals and how does your budget attempt to
address these priorities?
Answer. One of the biggest challenges we face, like many government
agencies, is the aging of our workforce and the need to transfer
knowledge to the next generation of skilled workers.
Maintaining our aging and historic facilities is another challenge
we face. This is why the Facility Condition Assessment (FCAs) are so
critical to achieving our Facilities Management Goal. The funding
request for a FCA of the Library of Congress is an example of this.
In our fiscal year 2006 budget development process, we aligned the
requests by budget line item to ensure our budget was consistent with
the Strategic Plan goals and objectives. This was our first attempt to
move towards a performance based budget. We are continuing to refine
this process as we prepare future budgets.
As outlined in our strategic plan, a significant impact on the
achievement of these goals is the time and money spent responding to
data calls, and meeting with various groups that are conducting reviews
of the AOC. The AOC staff is devoted to ensuring these various groups
have the most accurate and complete information available to support
the reviews.
CHIEF OPERATING OFFICER POSITION
Question. I understand you are working with a panel made up of the
Public Printer, the Comptroller General, the Chief Administrative
Officer of the House and someone yet to be appointed from the Senate
Sergeant at Arms to select a new Deputy ACO/COO. Could you please
explain to the committee the process you are using to review applicants
and make a selection? Has the panel ever met to discuss and approve
this selection process? Have criteria been established for use by the
panel in evaluating candidates? Did the panel participate in the
establishment of these criteria and approve them? When do you expect a
selection to be made? How many people applied?
Answer. As instructed by the Committees, in mid-December, 2004, we
initiated contact with several executive employment search firms to
identify and select one to conduct a nation-wide recruitment for a new
COO. After a review of several executive employment search firms, we
contracted with Korn/Ferry International on December 22, 2004.
--Korn/Ferry initiated their recruitment search process and suggested
that AOC also initiate a recruitment announcement through the
Federal U.S.A. Jobs system.
--AOC staff coordinated the vacancy announcement language with Korn/
Ferry and the announcement was posted from January 21 through
March 4, 2005.
On March 15, 2005, candidate review criteria, developed by Korn/
Ferry for their use to narrow the number of candidates to be referred
to the panel, were submitted to the panel for review and input.
Received input on the review criteria from each of the panel members,
(last one dated March 30, 2005). In addition to the review criteria
panel members also suggested steps they would like to follow in
completing their review and interview of candidates.
On April 5, 2005, the panel was provided with a matrix documenting
their input on the review criteria to be used by Korn/Ferry in
completing the candidate review process. The panel was also provided
information on suggestions they submitted for ``next steps'', and on
information they requested from Korn/Ferry for the panel's review and
interview of candidates.
On April 14, 2005, the Committees were sent an update on the
process, including the matrix outlining the criteria that Korn/Ferry
would use in their review of candidates; In addition, we have outlined
the ``next steps'' that the panel wanted to follow for their review and
interview of candidates.
While Korn/Ferry was completing their review of the candidates, the
AOC began to work with the panel members' staff to block out times when
the panel could convene to review and interview the candidates. Based
on the initial information received on the panel members' availability,
the earliest date when all the members could convene is May 26, 2005.
On April 28, 2005, I sent a letter to all the panel members asking
that they review their calendars to see if they could meet before May
26. From the information received to date, the panel will have their
initial meeting on May 17. Based on the travel schedule of some of the
panel members, it currently appears that the next date they can convene
is May 26. I anticipate that the panel will likely need to convene
several times to complete their review.
On May 3, 2005, Korn/Ferry delivered the candidate books to the AOC
and they in turn were delivered to the panel the next day.
Next steps (as suggested by the panel):
--The panel reviews the candidate information for the top 12
candidates that have been submitted to them.
--The panel narrows the number of candidates to a short list of best
qualified.
--The panel interviews the best qualified to determine the top
candidates (not less than three).
--The panel refers (not less than three) candidates for my
consideration, interview and selection.
Completion of my part of the review and interview of candidates is
dependent on the panel completing its work. If they cannot complete
their review until late in May or early June, we may need an extension
of time. If it appears that this will be necessary, I will make such a
request for the Committee's consideration as soon as we have that
information.
PROJECT MANAGEMENT
Question. Project management was one of the areas cited by the
Government Accountability Office as needing improvement in its 2003
report on the AOC. What improvements have you made in this area and
what specific examples can you cite of ``lessons learned?'' Over half
of AOC's current construction projects over $250,000 are behind
schedule. Why? What is AOC doing to control schedule overruns? I
understand AOC established a pilot project management organization last
September and that is an improvement over the old way of operating,
including better accountability for managers. Why is it still a pilot
and why are employees reporting to both their ``old'' boss and their
``new'' boss? Isn't it time to move ahead with this and finalize the
structure, as recommended by GAO?
Answer. Organization Improvements: On September 1, 2004 the AOC
implemented a ``pilot'' Project Management organization. This
organization is comprised of Project Managers, Construction Managers,
and Construction Inspectors. The proposed alignment establishes clear
performance expectations for delivering high quality design and
construction projects on time and within budget mainly because the
project and construction management functions reside, for the first
time, within the same organization. The alignment is based largely on
recommendations and observations made by GAO, specifically to ``align
project management staff and resources with AOC's mission-critical
goals'' and that ``too many hats'' are being worn by those assigned
project management responsibilities.
The pilot Project Management organization is tasked with delivering
the projects identified through our Program Development Process that
leads to the development of Capitol Improvement Plans. Smaller projects
are managed by staff in the Engineering and Architecture Divisions, and
some projects are managed directly by staff in the Superintendent's
offices. In addition, there are four projects that are being managed by
dedicated teams hired specifically for these one-time capital
improvements efforts: the Capitol Visitor Center, the West
Refrigeration Plant expansion, the Supreme Court Modernization, and
most recently, the Hill-wide Perimeter Security program. Decisions as
to who manages which projects are made jointly by Project Management,
Architecture and Engineering and Superintendent's management staff. The
primary goal, however, is to have the Project Management organization
manage CIP projects, with the remaining project work being managed by
others. Since September 1, 2004, an effort has been made to transition
the aligned organization and its assigned workload while ``bridging''
those projects in transition to avoid losing institutional knowledge.
Lessons Learned: The AOC continues to show progress in using its
best practices to successfully executing design and construction
projects. Key findings from last year's Lessons Learned surveys (fiscal
year 2004) concluded that the AOC needed to focus on project planning,
scope development, and design coordination. In the ensuing months the
AOC developed critical check lists and sign-off sheets to assure that
all necessary project elements had been considered and appropriately
addressed before proceeding. The Program Development Process leading to
CIP development is serving as a gate-keeping mechanism to assure that
inadequately-developed projects do not proceed forward in the funding
request stream.
In addition, development and publication of the Program of
Requirements (Pre-design Manual) and assuring consistency with IDIQ
design task Orders will also significantly improve project scoping and
documentation before they are sent forward as part of developing the
CIP.
Schedule Overruns: One of the key components to creation of the
pilot Project Management organization was to establish clear
performance expectations for delivering projects on time and within
budget. Success in achieving these performance indicators is
anticipated because the project and construction management functions
reside, for the first time, within the same organization. When
variances with schedule, quality or budget arise, the project team is
required to work together in an attempt to overcome the variance and
keep the customer apprised accordingly.
In addition, each of the jurisdictions at the AOC have been
assigned a Jurisdictional Executive from the Project Management
organization. Each Jurisdictional Executive acts as the liaison between
the customer and the project-delivery organizations for resolution of
project-related issues. The goal with this arrangement is to foster
continuous communications and to keep projects moving forward on-time
and within budget.
Although the pilot organization has made several positive steps
with respect to project delivery and reporting, it must be recognized
that achieving an optimal goal for ``on schedule'' is a multi-step and
multi-year endeavor. As noted previously, many measures and processes
have been put in place, but the AOC has not yet delivered a CIP project
developed with the benefit of the Pre-design Manual, and there are
additional refinements to the Program Development Process that need to
be defined, such as creating an Acquisition Strategy process. The
expectation that a seven-month-old organization can overnight correct
problems inherent in projects developed years ago without benefit of
the new processes and organizational structured and accountability is
overly optimistic. GAO pointed out in its original General Management
Review that such changes take years to accomplish in an orderly and
measured manner. The AOC is confident that it continues to make steady
progress in project delivery and reporting.
Pilot Organization Approval: On April 22, 2005, letters were sent
by the Architect of the Capitol to both Appropriation's Committees,
providing notification of his plan to implement a new organizational
structure for the Agency. The proposed organizational chart delineated
changes to the current, higher-level management structure, which in-
turn would modify the reporting structure for the Project Management
organization, upon implementation. The letters indicated that the
proposed organizational structure would be implemented in May, unless
other feedback was provided by the Committees. It was thought prudent
to await the implementation of the higher-level management structure,
before implementing the pilot organization. Subsequent feedback to the
letters has been received by the Committees and the requested follow-on
information is being provided. Procedures for implementation of the
pilot organization will commence immediately after implementation of
the AOC organizational structure.
When the pilot organization was established in September 2004, it
was made clear to the impacted employees that their official management
structure would remain unchanged and that supervisory actions such as
performance evaluations would continue to be performed by their current
supervisor. This direction has not changed. Communications between the
Acting Director of Project Management and the management of the
impacted employees are continuous in an attempt to minimize confusion
and disruption to the staff. It is acknowledged that implementation of
the pilot organization will eliminate any perceptions of a ``dual''
reporting structure for the employee.
PERIMETER SECURITY
Question. Approximately $120 million has been appropriated for
perimeter security since 1999. I understand on the Senate side, the
work is at least a year behind the schedule that we were given last
year, with completion now planned for fall of 2007. Why has it slipped
by a year? Will additional funds be required to complete the overall
perimeter security work around the Capitol complex? How much and when
is it needed?
Answer. Work was prioritized to complete those items necessary for
the Inauguration. Completion of all remaining work presently funded is
scheduled for fall of 2006, with the exception of First St., N.E.,
which will be complete in fall of 2007 and Maryland Avenue, N.E., which
will be complete the fall of 2008. Additional funding will be required
for the completion of perimeter security for the Capitol Complex. The
total amount and date required, is needed as follows:
------------------------------------------------------------------------
Funding
Jurisdiction Required Date Required
------------------------------------------------------------------------
Senate Office Buildings........... $5,985,000 2007 Budget
House Office Buildings............ 4,319,000 August 2005
Supreme Court..................... 2,885,000 2007 Budget
Library of Congress (Phase 1)..... 5,637,000 June 2005
Capitol Square \1\................ 8,200,000 June 2005
-------------------------------------
TOTAL....................... 27,026,000 ....................
------------------------------------------------------------------------
\1\ Supplemental.
MASTER PLAN AND FACILITY CONDITION ASSESSMENT
Question. In July 2001, this Committee directed AOC to develop a
master plan for the Capitol complex since the existing master plan is
25 years old. What is the status of the master plan? AOC has also been
working to develop condition assessments for each of the buildings.
What is the status of that effort and what are the most significant
capital requirements should we expect over the next 5 years?
Answer. In August 2004, a contract was awarded to a consulting team
to undertake development of the Capitol Complex Master Plan. In
December, a draft Vision Statement for the plan was completed and
reviewed by an Expert Advisory Panel through meetings convened by the
National Academies of Science and Engineering. Based on that meeting,
the consultants moved forward with the development of various complex-
wide concept plans. A second meeting with the Expert Advisory Panel was
convened by the National Academies during the week of March 7, 2005 for
the purpose of reviewing the various concept plans. We are now entering
the stage where more detailed facility plans are developed for each
jurisdiction. This will involve extensive interaction and consultations
so as to accommodate each jurisdiction's facility needs within an
overall Concept Plan for the Capitol Complex. The Capitol Complex
Master Plan initiative is on schedule for completion in late 2006, and
remains within budget.
Contracts for Facility Condition Assessments (FCAs) for the Capitol
Building, House and Senate were completed in early 2005. Projects
identified as a result of these studies will begin to appear with the
AOC's submission of its fiscal year 2007 Budget Request. FCAs for all
other jurisdictions, except for the Library of Congress, are ongoing
with completion of the House, Senate, and Capitol scheduled for
completion Spring 2005 and the remaining jurisdictions are scheduled
for late 2005. Funding for the Library of Congress FCA was requested in
the AOC's fiscal year 2006 Budget Submission and, subject to the
receipt of funding, would start in the fall of 2005.
Capital Projects are classified as one of four types with Deferred
Maintenance (DM), Capital Improvement (CI), and Capital Renewal (CR)
identified primarily through FCAs while Capital Construction (CC),
which is new construction of a building or construction that enlarges
and existing facility, identified primarily through the Capitol Complex
Master Plan. Because the Capitol Complex Master Plan is ongoing, and
because 7 of the 10 jurisdictions do not yet have completed Facility
Condition Assessments, it will be 2 to 3 years before a comprehensive
and complete list of Major Capital Projects, defined as those over $10
million, will be available. In the interim, and based only on the three
FCAs completed to date, the following Major Capital Projects, have been
identified:
[Dollars in millions]
------------------------------------------------------------------------
PROJ NO PROJECT TITLE COST RANGE TYPE
------------------------------------------------------------------------
HB05004A Cable TV System Upgrade, $10-20 CI
Phase I, HOB
950042 Infrastructure 10-20 CI
Improvements, Phase I,
DSOB
SB05004A Cable TV System Upgrade, 10-20 CI
Phase I, SOB
000228 Fire Damper Installation, 10-15 CI
FHOB, RHOB & LHOB
990347 480V Switchgear and 10-20 CR
Transformer Replacements,
RHOB
900265H Dome Rehabilitation, Phase 50-60 CR
II, USC
970280 Interior Renovations, HUGE 40-50 DM
& HUGW
970279 Domestic Hot and Cold 10-25 DM
Water System Replacement,
RHOB
990364 Exterior Stone and Metal 30-50 DM
Preservation, USC
970351 Subway Upgrade, RSOB to 10-25 CI
Capitol, RSOB
030335 Emergency Evacuation and 10-25 CI
Notification System
Upgrade, USC
990401 Window Restoration and 10-20 CR
Replacement, USC
970278 Heating System Conversion-- 10-20 CR
Steam to Hot Water, LHOB
980298 House Chamber Renovation, 25-50 CR
USC
980050 HVAC System Upgrade, Phase 20-30 CR
1, HOB
980433 Garage Concrete 20-40 DM
Replacement , RHOB
990402 Sprinkler System 40-50 CI
Installation, USC
040234F Fire Alarm System Upgrade, 20-30 CI
RHOB
030320 Fire Damper Installation, 20-30 CI
DSOB
030319 Smoke Management System 20-30 CI
Installation, HSOB
030309B Enhanced Filtration for 70-90 CI
Air Handling Systems,
DSOB
030309B Enhanced Filtration for 60-80 CI
Air Handling Systems,
RSOB
030309B Enhanced Filtration for 30-40 CI
Air Handling Systems,
HSOB
030309A Enhanced Filtration for 30-40 CI
Air Handling Systems,
LHOB
030309A Enhanced Filtration for 25-35 CI
AC1-15 & AC22-25, CHOB
030309A Enhanced Filtration for 10-20 CI
Air Handling Systems,
FHOB
000299 Smoke Management System 20-40 CI
Installation, RSOB
980050 HVAC System Upgrade, Phase 20-30 CR
2, HOB
030004 Parking Garage, Lot 9, 30-40 CC
RHOB
------------------------------------------------------------------------
CAPITOL POWER PLANT
Question. GAO recently made recommendations to cut operating costs
at the Power Plant. Do you have any plans to implement these
recommendations in fiscal year 2006? How much funding might be saved by
proceeding with GAO's recommendations?
Answer. The start-up, testing, and post construction activities for
the expansion of the West Refrigeration Plant and the new plant central
control system will commence in the 1st quarter of fiscal year 2006 and
tentatively complete in the 3rd quarter. Due to the nature of these
manpower intensive activities, it is unlikely that we will implement
manpower changes until fiscal year 2007. The major cost saving
recommendation for the efficient use of fuel has been implemented and
we expect to save approximately $3,000,000 in fiscal year 2006.
FIRE AND LIFE SAFETY PROJECTS
Question. AOC has been provided close to $190 million in the past 5
years for fire and life safety projects to ensure the buildings in the
Capitol complex meet appropriate codes and standards. How much more
needs to be done and at what cost? What is the schedule for completion
of all fire and life-safety related projects?
Answer. Considerable improvements in Fire Protection and Life
Safety of the buildings in the Capitol complex have been completed and
implementation of others continue throughout the complex. As shown in
the Capital Improvements Plan there are numerous additional projects
including fire alarm, smoke detector and fire sprinkler upgrades,
emergency lighting and exit light upgrades, firefighter telephone
installations, audibility and intelligibility upgrades, kitchen exhaust
system upgrades, and egress improvements which remain to be completed.
For fiscal year 2006 there are nine projects totaling $24,850,000. The
total projected cost for projects included in fiscal year 2007 through
fiscal year 2010 in the CIP ranges from $264 million to $499 million.
It will take approximately 8 years to complete all currently defined
projects. In addition, there are several egress studies and designs
which will be completed in fiscal year 2007 for which cost and schedule
projections cannot be made at this time.
CAPITOL POLICE OFF-SITE DELIVERY FACILITY
Question. The pending supplemental appropriations bill in the
Senate includes $23 million as requested by the Capitol Police Board
for a new off-site delivery facility for the police. This project was
first identified as a ``top 5 priority'' in the Capitol Police 1999
Master Plan, yet the project has been very slow to gain momentum. It is
now urgent with the new baseball stadium forcing USCP out of the
current space within the year. Can you assure us that you will make
this project a very high priority and obligate funds this fiscal year?
Answer. The safety and well-being of those who work in and visit
the Capitol and the ability to facilitate the legislative process are
our top priorities. To ensure we achieve these objectives, all items,
for use in the Capitol complex undergo an inspection process prior to
entering the Capitol perimeter. Having an acceptable Capitol Police
Off-site Delivery Facility is critical to the entire community and our
goal is to obligate the funds this fiscal year.
FORT MEADE STORAGE MODULES
Question. The budget includes $41 million for the construction of
two additional storage modules for the Library of Congress at Fort
Meade, MD. Could you explain the status of construction of the first
and second modules at Fort Meade? I understand this is a long-term
project, with many more modules to be constructed to meet the Library's
storage needs. What is the total cost and timeframe for the Fort Meade
storage modules project?
Answer. The first Book Storage Module is complete and the building
is occupied. The second Book Storage Module is 98 percent complete and
should be occupied by the latter part of May, 2005. The Library of
Congress currently plans to design and contract a total of 13 High
Density Book Storage Module at Fort Meade. If Modules 3 and 4 are
appropriated in fiscal year 2006, the Library of Congress desires to
construct a new Book Storage Module every two years. At this pace, the
thirteenth module will be complete and ready for use in 2026. The total
cost in current year dollars, excluding design fees, is expected to be
as follows:
------------------------------------------------------------------------
Amount
------------------------------------------------------------------------
Book Storage Module 1................................... $3,500,000
Water Tank.............................................. 4,100,000
Book Storage Module 2................................... 9,500,000
Book Storage Modules 3 & 4.............................. 40,700,000
Supporting Infrastructure............................... \1\ 20,000,000
Book Storage Module 5................................... 11,000,000
Book Storage Modules 6-13 ($11,000,000 each)............ 88,000,000
---------------
TOTAL............................................. 176,800,000
------------------------------------------------------------------------
\1\ To be split among all projects.
PRIVATIZATION
Question. I understand GAO has been asked to look at whether
privatizing any AOC functions would make sense. Do you have any
suggestions as to whether consideration ought to be given to
contracting-out any of AOC's in-house functions?
Answer. We have been and will continue to look for areas that may
be appropriate for consideration. We have outsourced a number of areas
including trash and waste removal; shuttle bus service; pest control;
some janitorial functions; a variety of A/E support functions;
information resources help desk operation and most of IRM's server
support; lawn mowing and snow removal; several audit and accounting
functions; art work conservation; emergency elevator repair; equipment
repair and maintenance (fork lifts, floor machines); kitchen exhaust
hood/duct inspection, testing and cleaning; testing, inspection and
certification of elevators; testing and certification of fire alarm
systems; testing and certification of fire extinguishers; and window
cleaning. We are considering options to outsource facilities management
of the ACF (assuming purchase) and for Capitol Police Buildings and
Grounds; and outsourcing of replacement of high efficiency HVAC
filters.
GAO MANAGEMENT REVIEW
Question. What is the status of AOC meeting GAO's recommendations
from its 2003 review of the AOC relative to financial management
improvements, including preparing auditable financial statements? What
remains to be done in the financial management area? Are the resources,
including staffing levels, in your budget request adequate to meet
these requirements?
Answer. August 2004 report (GAO-04-966) says the following in
relation to Auditable Financial Statement and Related Internal
Controls: ``The ability to prepare agencywide financial statements
that, along with related internal controls, can be independently
audited represents a key component of an organization's ability to
institutionalize financial management best practices and establish a
sound foundation of accountability and control. AOC has made progress
in preparing agencywide financial statements; supporting an audit of
its September 30, 2003, balance sheet; and establishing related
internal control policies and procedures. As part of its efforts to
prepare agencywide financial statements, AOC put in place internal
control policies and procedures related to funds control, financial
reporting, and inventory management, and is starting work on other
actions to further enhance financial control and accountability.''
Question. How has AOC improved its internal control framework,
including establishing an environment in which management and employees
maintain a positive and supportive attitude toward internal controls
and conscientious management (see p. 41 of GAO/03/231)?
Answer. For the past two years as a part of our financial audit,
our auditors have conducted a review of internal controls. All of their
stated concerns have either been addressed or are being addressed. We
are in the process of establishing an Internal Control Program. This
program will assist us in establishing an ``accountability'' framework
that will include training of all management employees on their
responsibilities with respect to internal controls.
Question. What has AOC done to develop and communicate consistent
human capital policies and procedures at all levels (p. 43 GAO/03/231),
including provision of pay raises, bonuses, and awards?
Answer. As part of its Human Capital Plan, AOC has continued to re-
write policies that need revision, or write new AOC wide policies that
didn't previously exist. Listed below by fiscal year are the policies
in supervisor's offices and available on AOC's intranet. For policies
that have a direct impact on employees, hard copies are distributed to
every AOC employee. To facilitate understanding of some policies,
briefings are given to supervisors and/or employees where they are
given an opportunity to ask questions. In addition, supervisors and
managers use a variety of methods to communicate policies to their
employees. As part of reviewing the focus group result findings, AOC
management is currently considering other measures that should be
taken.
------------------------------------------------------------------------
Date
------------------------------------------------------------------------
Fiscal Year 2003:
Determining Eligibility for Sunday 6/15/03
Premium Pay.
Performance Review Plan for Exempt 7/1/03
Personnel.
Hours of Duty...................... 9/2/03
Fiscal Year 2004:
Holiday Pay........................ 11/21/03
Absence and Leave.................. 12/5/03
Awards............................. 12/19/03
Leadership Development Program..... 6/14/04
Clearance of Separating Employees.. 7/19/04
Fiscal Year 2005:
Avenues for Assistance............. 10/04
Pay Under the Architect's Wage 3/1/05
System.
Career Staffing.................... Completed, awaiting approval
Performance Communication and Completed, awaiting approval
Evaluation System.
Currently under development:
Pay Under the General Schedule.....
Employee Development...............
Exempt Personnel...................
------------------------------------------------------------------------
Question. Why did it take AOC 18 months from the time the GAO's
report was issues, to initiate an employee survey, to begin to address
GAO's recommendation to comprehensively collect and analyze data from
employee relations groups?
Answer. GAO made the following recommendation in their January 2004
report ``Gather and analyze employee feedback from focus groups or
surveys before fiscal year 2005, as well as communicate how it is
taking actions to address any identified employee concerns.'' The AOC
addressed this recommendation in September 2004 by conducting employee
focus groups. This was completed ahead of the GAO recommended date and
in line with our Performance Plan.
CAPITOL VISITOR CENTER
Question. Several changes to the CVC contract appear to be due to a
simple lack of coordination with both internal officials, such as the
fire marshal, and other organizations including the Supreme Court. Why
did this happen and what are you doing to prevent this in the future?
Answer. Several changes such as stair pressurization and fire
damper monitoring are a result of professional disagreements between
the Fire Marshal and the designer of life safety systems for the CVC.
The uniqueness of a below grade building and inherent conflicts between
the desire for increased security and the often inflexible nature of
building code contributes to areas of disagreement on how to best
handle life safety issues. These differences came about during normal
review of building life safety systems as the details were developed.
The Supreme Court issue you are referring to is the requirement
that the book tunnel between the Supreme Court and Library of Congress
be undisturbed when the utility tunnel is constructed. Apparently the
construction sequence requiring removal of the book tunnel for
excavation of the utility tunnel and subsequent rebuilding was not
known to Supreme Court security personnel, and could not be
accommodated. We are proceeding to build the utility tunnel up to the
book tunnel on both sides with minimal impact to the utility tunnel
construction.
Question. Why was the Government responsible for all of the CVC
Sequence 1 delay when monthly CVC progress reports indicated that the
Sequence 1 contractor was not devoting sufficient resources to keep the
project on schedule?
Answer. The CVC contract requires the government to compensate the
contractor in time and money for delays cause by differing site
conditions or owner changes that delay his work. Weather delay is
compensable only with time. During negotiation with the Sequence 1
contractor and all of the subcontractors, a portion of the delay was
attributed to weather. However, most of the delay was due to differing
site conditions and changes to the Sequence 1 contract for added scope.
These problems created inefficiencies that kept the Sequence 1
contractor from fully staffing the project while awaiting direction on
corrective action.
Question. GAO's risk-based cost and schedule estimates for the CVC
to date have been much more accurate than the AOC's or that of their
construction management firm. What is AOC doing to integrate risk
assessment in its future estimates?
Answer. The estimates prepared by AOC and our construction manager
have been based on what was known at the time. We did not ask for
additional funding beyond the needs that could be identified. The delay
costs for Sequence 1 in Spring 2003 were based on the delay of a couple
of months that had occurred to date, and did not contemplate an
additional eight and a half months of delay to Sequence 1 that
followed. There was also an expectation at that time that the delay
impact on commencing Sequence 2 work would be minimal since it was felt
the two contracts could be overlapped to make up most of the two month
delay.
Today the risk is reduced to the delay in award of the Expansion
space contract, the Exhibit construction contract, the House Connector
tunnel and the Jefferson Building work. Had these contracts been
awarded in February or March 2005, the risk would be minimal; however
with the current delay in awarding those contracts, the impact is
uncertain. The risk of differing site conditions remains for the House
Connector tunnel and Jefferson Building.
ORGANIZATIONAL STRUCTURE
Question. What steps is AOC taking to address concerns raised by
the Comptroller General regarding AOC's organizational structure, in
response to a letter (2/8/05) from the Architect seeking the CG's
comments? Will AOC enable the CVC Project Director to report directly
to the Architect?
Answer. We developed and submitted for your information a revised
organizational structure incorporating most of GAO's recommendations
after follow up discussions with the Comptroller General. The CVC
director reports directly to the Architect.
CAPITOL VISITOR CENTER UTILITY TUNNEL
Question. According to GAO, over $1 million in additional costs was
incurred due to AOC's indecision on how to construct the utility
tunnel. Why did this happen?
Answer. The utility tunnel work in the Sequence 1 contract did not
include new requirements by WASA for the tie-in of utilities at Second
Street that was estimated to cost approximately $1 million. In order to
reduce the cost for this work, a Bulletin G was created by the
Architect to use precast concrete sections in lieu of poured in place
concrete. Pricing received for Bulletin G was not as good as expected
so other alternatives such as drilling, use of utility trench or direct
burial were investigated. Ultimately, the Bulletin G scope of work was
determined to be the best value to the government for first cost and
long term maintenance. Pricing was available from both Sequence 1 and
Sequence 2 for the work, and since Sequence 1 was nearly finished with
their work and Sequence 2 was slightly lower in cost, the decision was
made to award work to Sequence 2. During the period of tunnel
evaluation, the cost of steel pipe and other metals, which were always
in Sequence 2, went up significantly in cost. The Sequence 2 contractor
could not order this material until a decision was made on the tunnel
configuration, since that could affect the pipe required. The added
cost for Sequence 2 materials escalation is $1 million.
CAPITOL VISITOR CENTER CONSTRUCTION
Question. In November 2004, GAO recommended AOC use incentives to
keep CVC contractors on schedule, and rigorously track, document, and
analyze the reasons for delays. What specific steps have you taken to
implement these recommendations? The fiscal year 2006 budget request
includes $36 million to complete the CVC. Are you confident this will
be sufficient? Does this leave you with sufficient contingency? What
steps are you taking to ensure the project stays within this new budget
of $517 million? You say that delays in the job were due in part to a
record year of bad weather--Why wasn't weather listed as one of the
reasons for delay when the change order was settled?
Answer. The Sequence 2 contract has an award fee of $1.2 million
available to the contractor that is used as a positive incentive for
good contractor performance including timely completion. The first
portion of that award for $150,000 is currently being evaluated. The
Sequence 2 contractor's schedule is being evaluated monthly to resolve
any delay issues and track their progress against the schedule. In
addition, the construction manager has developed a more integrated
Master Schedule for the project that includes all those activities in
addition to construction that are required to complete the CVC facility
for opening. To date, aside from the 10 month delay for Sequence 1 to
complete their work and allow Sequence 2 to begin, there have been no
delays in the Sequence 2 contract. We believe the $36.9 million
requested in fiscal year 2006, together with the reprogramming request
of $26.3 million in fiscal year 2005, provides sufficient funds and
contingency to complete the project, providing those funds are forth
coming to avoid delays in Sequence 2 for award of contracts such as
Exhibit construction and House and Senate Expansion space. This also
assumes our estimate of $15 million is adequate to cover the 10 month
delay for Sequence 2 to commence work while awaiting the completion of
Sequence 1 work, that there are no significant added costs for the
House Connector tunnel and no significant owner changes to the current
project including the Jefferson Building work, the Expansion spaces or
the CVC.
Unusually severe weather is excusable time, but not compensable.
Total delay was 235 working days. The sequence 1 contractor was
compensated for a maximum of 217 days. (Some subcontractors experienced
a greater weather impact than others, and their settlements were based
on a lower number of compensable days).
Question. Has AOC formally evaluated the performance of its CVC
construction management firm? If not, why not? If so, when and with
what results? What incentives or penalties are provided in their
contract for performance?
Answer. We have evaluated the construction managers' performance
twice to date, in August 2004 and February 2005. The result indicated
improvement was needed in schedule management, dispute resolution, and
the preparation of change order packages. Since their last evaluation
significant improvements have been made in dispute resolution and
change order preparation, with schedule management currently being
addressed. Their contract does not provide for either incentives or
penalties, which has been normal for this type contract.
PROJECT MANAGEMENT
Question. AOC does not maintain consistent baseline data in its
Project Information Center to track changes to project costs and
schedules. What progress have you made developing information systems
that quickly collect and roll up information on all ongoing capital
projects to senior management and congressional committees? What still
needs to be done?
Answer. One of the greatest challenges the AOC has faced is how to
satisfy the many demands to report project status both internally and
externally. Each entity wants to know basically the same things: is a
project within budget, is it on time, and will it meet the customer's
needs? The challenge in the past has been that the various entities
have asked for project performance indicators in many different ways.
In the attempt to satisfy the many different but similar questions, the
AOC has not done as good a job as it could have.
In September 2004, when the pilot organization was initiated,
project reporting through PIC was suspended pursuant to senior
management's interest in reporting on contract status in lieu of
project status. A manually-produced report was developed that clearly
indicated contract status, and the data could easily be verified by
comparison to financial and procurement documents. These so-called COTR
reports have been kept internally for six months.
Over the past few months, the AOC has been working closely with the
Government Accountability Office during the current cycle of its
General Management Review. The GAO had asked that the AOC provide yet
another series of project performance indicators. On a parallel path,
the AOC project management team had been developing a report format
that would answer recurring questions asked over the past several
years, as well as satisfy a requirement to report project status on a
quarterly basis. The report format uses project performance indicators
based on verifiable contract and financial data, but also includes a
text status. The format has been reviewed by some of the
Superintendents, who have given it favorable comments related to its
ability to accurately portray project status. Together, the AOC and the
GAO are working to assure that this format, along with definitions,
will satisfy project reporting requirements. The AOC's published a
manually produced version of this report at the end of March 2005.
Feedback will be gathered before any attempt is made to make changes in
PIC to produce the report from an automated system.
Question. How will the new (pilot) project management organization
improve your ability to manage projects? How will you determine if this
new organization is a success?
Answer. The pilot organization has established clear performance
expectations for delivering high quality design and construction
projects on time and within budget. Now that the project and
construction management functions reside, for the first time, within
the same organization, these expectations can be managed by recognizing
success and poor performance. Internally, the AOC has developed
customer satisfaction surveys to measure performance as viewed by the
jurisdictions. External customer satisfaction feedback will be sought
in the future.
In its transitional state, only a few projects funded in fiscal
year 2005 have begun the construction phase with the benefits of better
planning and scope development. As the organization matures and
delivers more design and construction projects, performance results are
anticipated to improve.
Question. You recently released to employees a set of manuals
containing project management best practices that are to be followed.
How will you ensure that AOC employees actually follow those best
practices?
Answer. Key components of the best practices manual processes are
summarized in checklists that accompany project development through its
scope development, design, construction, and closeout phases. These
checklists serve as quick references to assure adherence to critical
processes. Projects without completed checklists are not permitted to
proceed without a senior level exemption being granted. However, due to
the significant competition for funding resources, project managers and
their clients, the Superintendents, are increasingly rigorous in
developing project data to satisfy justification requirements. Project
managers who utilize the manuals will be successful in completing their
checklists.
______
Questions Submitted by Senator Richard J. Durbin
ORGANIZATIONAL ISSUES
Question. In February, ``The Hill'' newspaper published an article
entitled ``Fear and Loathing at AOC'', which reported on the results of
a recent AOC employee feedback survey. According to the article, the
survey showed that senior management at AOC is dysfunctional,
inconsistent, and lacks leadership qualities. It also reiterated some
long-standing issues at AOC, such as poor communications and very low
morale. Why do these issues still persist? What actions are you taking
to respond to employee concerns?
Answer. The article stems from an initiative we took to solicit
employee feedback to identify specific areas for improvement.
In September we asked over 300 employees, from all organizations,
divisions, levels, and shifts, to partake in 25 focus groups. The
purpose of holding the focus groups was specifically to get employee
feedback on areas for improvement. The participation and the outcome
were beyond our expectations: 215 employees shared their opinions on
our way of doing business. We also obtained very good feedback on
opportunities for improvement.
In addition to these focus groups, the Human Resources Management
Division (HRMD) invited employees to share their opinions in a customer
satisfaction survey in October. The questions focused on the services
HRMD provides and how well they deliver those services. The findings
from the HRMD survey were compiled and validated against the issues
raised during the focus groups. This process took some time in that
both electronic and paper copies of the survey had to be processed and
analyzed. By coupling this information, the senior management team had
a broader cross-section of employees' views, opinions, and suggestions
to evaluate.
Through our employees active participation in this feedback-
gathering process we identified the following areas where we need to do
a better job:
--Communicating (provide clearer, easier-to-understand information,
obtain more employee input, explain work processes, policies,
procedures, publish an organizational chart);
--Providing clearer direction (explain internal procedures and
policies including job expectations, manage shifting
priorities, coordinate assignments, set service standards);
--Recognizing employee accomplishments (more acknowledgment of
individual accomplishments by senior managers, use of awards);
--Explaining our Mission and Vision;
--Outlining customer service expectations (define the standards for
excellence, hold internal organizations accountable for quality
service, clearly communicate standards); and
--Setting Agency standards that provide responsive customer support
to meet AOC employee needs from HR, Procurement, EEO and other
service organizations.
Based on the information and feedback received, we have created
eight cross-jurisdictional work teams that are taking each of the areas
identified for improvement and they are developing action plans to
address them as expeditiously as possible.
CAPITOL VISITOR CENTER
Question. What do you expect the final cost of the CVC to be? What
do you see as the major reasons for cost increases in this project and
what are you doing to control costs during the remainder of the
project?
Answer. We expect the final cost for the construction of the CVC
facility to be $517.6 million. The major reason for the cost increase
to date is the addition of $141.8 million in budgeted added scope, and
$29.1 million in delay costs due to the added scope and differing site
conditions. Sequence 1 delay costs totaled $10.3 million, and $18.5
million is expected to be required to fund Sequence 2 costs as a
consequence of the 10 month delay while Sequence 2 waited for Sequence
1 to complete their work. Controlling costs for the remainder of the
project requires that there be no significant changes to the contract
and Expansion space, no significant differing site conditions in the
House Connector tunnel or Jefferson Building work, and timely release
of the project funding so contracts can be awarded and change orders
processed.
Question. Without additional appropriations, when will the CVC
project run out of money?
Answer. The CVC project has 24 line items. We are already out of
funding for the item to fund change orders for the Sequence 2 contract
and will be out of authority for funding CVC Administration in mid May
2005. Until we receive additional funding we cannot award the House and
Senate Expansion space. We have funding available in other line items,
but those funds are required for construction of the Exhibit area, $6.6
million; security equipment, $4 million; perimeter security, $2
million; House Connector tunnel, $2.5 million; and Jefferson Building
work, $3.3 million.
Question. GAO's risk-based cost and schedule estimates have been
much more accurate that the AOC's or their construction management
firm. What is AOC doing to integrate risk assessment in its future
estimates?
Answer. The risks remaining on the CVC project relate primarily to
our complicated building systems, and those elements of work not yet
under contract which includes the House Connector tunnel, the House and
Senate Expansion space, and the Jefferson Building work. The systems
include the filtration system since it involves a new technology, and a
very complicated fire safety and smoke evacuation system. To minimize
the above risk the entire team, including subcontractors, is working to
ensure we understand all of the issues required to complete and turn
over these systems.
Question. According to GAO, over $1 million in additional costs was
incurred due to AOC's indecision on how to construct the Utility
tunnel. Why did this happen?
Answer. The utility tunnel work in the Sequence 1 contract did not
include new requirements by WASA for the tie-in of utilities at Second
Street that was estimated to cost approximately $1 million. In order to
reduce the cost for this work, a Bulletin G was created by the
Architect to use precast concrete sections in lieu of poured in place
concrete. Pricing received for Bulletin G was not as good as expected
so other alternatives such as drilling, use of utility trench or direct
burial were investigated. Ultimately, the Bulletin G scope of work was
determined to be the best value to the government for first cost and
long term maintenance. Pricing was available from both Sequence 1 and
Sequence 2 for the work, and since Sequence 1 was nearly finished with
their work and Sequence 2 was slightly lower in cost, the decision was
made to award work to Sequence 2. During the period of tunnel
evaluation, the cost of steel pipe and other metals, which were always
in Sequence 2, went up significantly in cost. The Sequence 2 contractor
could not order this material until a decision was made on the tunnel
configuration, since that could affect the pipe required. The added
cost for Sequence 2 materials escalation is $1 million.
Question. When can we expect the CVC to be open to the public and
will the Senate expansion space be ready for use at the same time? What
are the liquidated damages for the CVC and are they the same for
completion of the Senate expansion space?
Answer. We expect the CVC portion of the project to be available
for public use in September 2006. The Senate space will probably not be
ready, especially since we still do not yet have the funding approved
to make the award of the contract. The liquidated damages on the CVC
are $16,000 a day and the liquidated damages for the House and Senate
Expansion Space work is $4,750 per day.
Question. Considering that the CVC will most likely not open until
fiscal year 2007, why have you asked for so much in your fiscal year
2006 operations budget for the CVC? Additionally, why have you
requested so many FTE's?
Answer. The operations and maintenance costs included in my fiscal
year 2006 budget request were based on a June timeframe as opposed to
September opening date. It is estimated that the costs for operations
and maintenance will be $10.4 million rather than $15.3 million as
originally requested. I have included these requirements in the AOC
budget submission until a determination is made on who will have
oversight of the facility. An additional $20 million was included for
start-up and opening costs for gift shops, Visitor Center services,
Capitol police furniture, fixtures and equipment, House recording
studio, data network wiring and equipping of the House shell space.
Since the House shell space estimate was also included in the fiscal
year 2006 Budget request of the Chief Administrative Officer of the
House, this request can be reduced to $9.1 million for this portion of
the budget. As a result of the September opening date, the payroll
estimate can be revised from $12 million to $7 million with an
associated reduction in FTEs.
Question. In November 2004, when GAO presented its most recent
estimate of the cost to complete the project, it recommended that you
immediately enhance the CVC project team's schedule management
capacity, use incentives and other means to keep contractors on
schedule, and rigorously track, document, and analyze the reasons for
delays. What specific steps have you taken to implement these
recommendations?
Answer. The Construction Manager contracted with a scheduling
consultant to help their field staff in schedule management. In
addition, we have contracted with the firm that prepared the ``Cost to
Complete'' in 2004 to review those efforts and offer recommendations.
To date those efforts still require improvement and a senior official
has assumed those responsibilities.
We currently have a $1.2 million award fee that is used as an
incentive for outstanding performance by the Sequence 2 construction
contractor.
Question. Who was responsible for ensuring that adequate contract
and project summary schedules were developed, kept current, and adhered
to and for documenting delays and their causes as they occurred? How
well in your view, was this done over the course of the project?
Answer. The construction manager has responsibility for ensuring
that adequate contract and project summary schedules were developed,
kept current, and adhered to as well as documenting delays and their
causes as they occurred. That work has been marginal to date, and they
are changing the personnel responsible for that effort to a senior
official on site.
Question. How much has AOC paid Gilbane to manage the CVC
construction work and how well has Gilbane performed? Has AOC formally
evaluated Gilbane's performance? If so, when and what were the results?
If not, why not? What incentives or penalties are provided for in
Gilbane's contract for performance?
Answer. Gilbane's contract for construction management for the CVC
portion totals $15.5 million. Payments to date total $12,772,847. We
have evaluated the construction managers' performance twice to date, in
August 2004 and February 2005. The results indicated improvement was
needed in schedule management, dispute resolution, and the preparation
of change order packages. Since their last evaluation significant
improvements have been made in dispute resolution and change order
preparation, with schedule management currently being addressed. Their
contract does not provide for either incentives or penalties, which has
been normal for this type contract.
Question. In view of the cost and completion increases for this
project, what incentives are there for your various consultants to
control these items?
Answer. The design and construction manager consultants' primarily
incentive is the reputation they receive on projects such as this one.
They are very concerned that this project be viewed in the end as a
success, and that they personally are viewed as having successfully
overcome huge scope additions and differing site conditions to complete
the project in a timely and cost effective manner, in spite of the
challenges imposed upon them.
Question. What is the overall status of AOC's efforts to correct
the internal control weaknesses reported from the fiscal year 2003
audit?
Answer. The AOC has approved a policy to establish an Internal
Control program modeled after the program at the Library of Congress.
It has been modified to comply with the intent of the Sarbanes Oxley
Act of 2002 and OMB Circular A-123. Development of the policy is
partially complete with a target implementation date of September 30,
2005. The program's development is currently being handled by
contractors. The program will require additional resources for its
implementation.
Question. When does the AOC expect the fiscal year 2004 audit to be
completed?
Answer. All field work has been completed. The final requirement to
complete the audit is for AOC management to sign representation letters
which we are in the process of accomplishing.
Question. Could the AOC provide a copy of the fiscal year 2004
audit report to this committee as soon as they receive it from their
auditors?
Answer. Yes.
Question. Is the AOC expecting any new, significant internal
control findings from the 2004 audit?
Answer. The auditors have not yet provided us with a ranking of the
audit findings as to significance. The answer though is clear, there
are significant findings. The audit found 15 new findings not all of
which were material. There were also 6 repeat findings from the
previous year. Most of the significant internal controls findings were
weaknesses in the Payroll, Personnel and Procurement areas.
Question. The proposed AOC organization chart dated December 2004
shows the Project Executive for the CVC directly reporting to the
Architect of the Capitol. Has this reorganization taken place?
Answer. Reorganization proposal has been submitted for Committee
review and we propose to implement in May. CVC Project Executive
reports to the Architect of the Capitol.
Question. The proposed AOC organization chart dated December 2004
shows a Chief of Staff reporting directly to the Architect of the
Capitol. What are the duties of the person in this position? Will there
be any overlap in the duties of the Chief of Staff and the Chief
Operating Officer?
Answer. The Chief of Staff assists both the Architect and COO in a
variety of agency outreach communication and Congressional support
needs. With the COO's extensive internal operational functions, on a
strategic as well as day to day basis, the support of the Chief of
Staff allows the COO to concentrate more fully on these
responsibilities. Following are the duties of the COO and Chief of
Staff.
Duties of the Chief Operating Officer/Deputy:
--Responsible for reviewing and directing the operational functions
of the Office of the Architect of the Capitol including:
facilities operation and maintenance; safety; design,
construction and project management; administration and
modernization of information technology systems employed by the
Office; productivity and cost-savings measures; strategic human
capital management, including performance management and
training and development initiatives; financial management,
including the integration of operational functions and
financial management to ensure that budgets, financial
information, and systems support the required strategic and
annual plans.
--Serves as senior advisor to and representative of the Architect.
The individual will provide advice and assistance on all
aspects of the management and operations of the AOC; provides
advice on all operational aspects of AOC business functions
including facilities operation and maintenance; safety; design,
construction and project management; procurement and
contracting; budget and financial management; information
technology; human resources, and other administrative
management matters.
--Assists the Architect in promoting reform and measuring results,
and is responsible to the Architect of the Capitol for the
direction, operation, and management of the Office of the
Architect of the Capitol. Additionally, the individual is
responsible for implementing the Office's mission and goals;
and providing organization management to improve the Office's
performance.
--Responsible for developing, implementing, annually updating, and
maintaining a long-term strategic plan covering a period of not
less that 5 years.
--Responsible for developing and implementing an annual performance
plan that includes annual performance goals covering each of
the general goals and objectives in the strategic plan and
including to the extent practicable quantifiable performance
measures for the annual goals.
--Responsible for proposing organizational changes and new positions
needed to carry out the Office of the Architect of the
Capitol's mission and strategic and annual performance goal and
will ensure that the AOC's organizational structure promotes
efficiency and effectiveness.
Duties of the Chief of Staff:
--Assist the Architect and the COO in exploring and developing
program and management ideas, evaluating problems and
developing suggested course of action in program and policy
development and evaluation; conducts research and provides data
to assist the Architect and COO in their review and evaluation
or program and policy proposals from staff, incorporates the
perspective of Members and or Congressional staff in the
evaluation of AOC programs, operations and policy.
--Assists the Architect and the COO in day-to-day information
management, priority initiatives, meetings and meeting
information, and may represent the Architect or the COO in
meetings with staff and stakeholders.
--Manages legislative affairs; develops and nurtures relations with
Members and staff; tracks legislative mandates; facilitates
Congressional meetings for the Architect and COO; assists in
leading AOC outreach to Congressional staff to help ensure that
the Agency is addressing Congressional support needs.
--Manages and coordinates Agency communications; assesses agency
internal and external communications processes and develops
appropriate improvement initiatives; develop proposals for
communications alternatives to address Agency communications
gaps or focused initiatives to meet identified needs.
PROCUREMENT IRREGULARITIES
Question. Mr. Hantman, we understand in part from The Hill article
titled ``Fear and Loathing at the AOC'' that your Focus Group findings
noted the following customer service concerns with your entire
Procurement Department:
--Your process, roles, and responsibilities are either ill defined or
not defined at all;
--There is a general lack of understanding of the businesses they are
procuring for; and
--Procurement procedures are not applied consistently.
We also understand that your fiscal year 2003 financial audit
uncovered procurement irregularities at the CVC and in fiscal year 2004
the auditors have found these same irregularities throughout the AOC.
What steps have you taken to correct this serious situation of work
being performed before a contract is awarded?
Answer. In January 2004, the Procurement Division began requiring
more information when an unauthorized procurement was discovered. This
information includes a description and quantity of the unauthorized
procurement, why it was needed, the benefit acquired, why a requisition
was not prepared and a Contracting Officer allowed to place the order/
contract, the circumstances that led to the unauthorized procurement,
the name of the vendor used, the vendor's invoice, how the vendor was
selected, the basis for determining if the price was fair and
reasonable, other vendors and prices considered, the date the service
or supply was received and requested by the Government, documentation
from the Budget Office that funds are available if the unauthorized
procurement utilized prior year funds, actions taken to prevent future
unauthorized procurements, and an explanation why the unauthorized
procurement should be ratified rather than holding the individual who
made it personally responsible. At the same time, a Standard Operating
Procedure was established in the Procurement Division to provide policy
and guidance to Procurement Division staff when they discover an
unauthorized procurement. On June 21, 2004, the Deputy Chief of Staff,
issued a memorandum to all Superintendents and Division Directors
stating that the practice of unauthorized commitments was unacceptable.
On March 14, 2005, the Deputy Chief of Staff issued a second memorandum
requiring that the Superintendents and Division Directors who had
issued unauthorized procurements since June 2004 meet with the Deputy
Chief of Staff and the Director, Procurement Division regarding this
issue. On March 22, 2005, Architect of the Capitol Order 34-01-01
Ratifications of Unauthorized Procurements was signed by the Deputy
Chief of Staff to establish AOC-wide policy and underscore the
importance of complying with procurement regulations and the
ratification process.
Question. What processes does your Procurement Department have to
detect and prevent these situations from recurring in the future?
Answer. As previously stated, several processes were put in place
to address and prevent unauthorized procurements. The implementation of
these processes began January 2004 and culminated on March 22, 2005
with the Architect of the Capitol Order 34-01-01 Ratifications of
Unauthorized Procurements.
The Procurement Division typically detects unauthorized
procurements in three manners. First, an AOC employee may contact the
Procurement Division directly to discuss a possible unauthorized
procurement. Second, a contractor may contact the Procurement Division
to inquire about recent and/or on-going work, at which time it becomes
apparent that an unauthorized procurement has occurred. Third, the
Procurement Division recently teamed with the Accounting Division to
establish a notification process when an invoice is received that
predates the contract or order. In all three instances, the Procurement
Division responds by investigating to determine if the occurrence is
actually an unauthorized procurement. If it is, then the appropriate
Jurisdiction/Organization's official is required to submit the
information required by the ratification process.
Question. In the last year, how many times did your Procurement
Department discover this situation where a contractor performed work
prior to a valid contract being awarded?
Answer. During the time frame of April 1, 2004-April 30, 2005, the
Procurement Division discovered 28 situations where a contractor
performed work prior to a valid contract being awarded.
Question. How many times was the responsible AOC employee required
to submit a statement for contract ratification?
Answer. In all 28 situations that were discovered, the responsible
AOC employee was requested to provide a sufficient explanation to
determine if a ratification would be issued.
Question. Who is the ratifying official if not you and what steps
do they take to ensure these serious irregularities are prevented in
the future?
Answer. The March 22, 2005, Architect of the Capitol Order 34-01-04
Ratifications of Unauthorized Procurements specifies that the ratifying
official is the Architect of the Capitol, the Chief Operating Officer,
the Deputy Chief of Staff, or their designee.
PERSONNEL CONTROLS
Question. Mr. Hantman, your employees in the Focus Group findings,
and your auditor, in the two audits (fiscal year 2003 and fiscal year
2004) have identified numerous findings in the Personnel Office. The
findings of the Focus Group and the auditor are similar in many ways,
for example:
--Focus Group--Employee questions receive either incorrect
information or no information at all, answers depend on who you
ask since not all staff is knowledgeable.
--Audits--Information is not properly maintained for an employee,
official personnel files are not up-to-date, information is
routinely entered incorrectly into the payroll/personnel
system, and no checking and verification is performed.
What are you doing to address the numerous serious Focus Group and
Audit findings?
Answer. As a result of preliminary findings from the financial
audit, Human Resources requested an expert assessment of our Payroll
and Personnel processing by the National Finance Center (NFC). The
assessment was completed in March 2005, and we expect a final report at
the beginning of May. Although checking and verification is performed,
we have determined that it needs to be accomplished earlier in the
process to prevent errors, rather than discovering errors and
correcting them. Based on preliminary findings from both the Audit and
NFC assessment, a number of internal controls have been instituted. In
addition, Human Resources is considering a consolidation of personnel
processing functions to provide greater internal controls, but we will
review NFC's assessment report and recommendations before a final
decision is made.
As part of AOC's Human Capital Plan, Workforce Management and Human
Resources are working jointly to review AOC's Human Resources
competency model, management will assess employee's using the model,
and developmental needs will be addressed.
Question. When your Personnel Office's processes and systems lack
fundamental internal controls, you open your agency to waste or worse,
to fraud. Have any overpayments been made to AOC employees or has any
fraud in the payroll area been brought to your attention? If so, what
corrective action have you taken?
Answer. Incorrect payments have been made to employees through both
corrections to time and attendance records, and corrections to
personnel records. In cases of underpayment, the corrected action
properly pays the employee. In the case of overpayments, we follow a
systematic process to collect monies due from employees. Only one case
of potential fraud was identified, and we are currently investigating
the specific case, which involves two employees. The investigation is
complete for one employee, and appropriate disciplinary action is being
initiated. We are still reviewing additional records for the second
employee, and appropriate disciplinary action will be initiated if
warranted.
FINANCIAL MANAGEMENT REFORMS
Question. In the Senate Report on Legislative Branch
Appropriations, 2002, I specifically sought the urgent need for a Chief
Financial Officer at the AOC to begin essential financial management
reforms. From every GAO General Management Review progress report, I
have been pleased to learn that substantial progress has been made.
Mr. Hantman, can I expect your commitment to continue in this most
important area?
Answer. Yes. We are examining the resource needs of the CFO's
organization to ensure the people, tools and skills necessary to
continue this process are in place. I am communicating to every
employee especially our management employees that sound financial
management is everyone's responsibility not just the CFO's.
Agency Heads in the Executive Branch are now required (similar to
the Sarbanes-Oxley Act of 2002) to lead by example and assert that
their fiscal year 2006 financial controls will result in timely,
accurate, and useful financial and management information.
Question. Mr. Hantman, if you had the same requirement, when would
you be able to make this same assertion?
Answer. Our Internal Control Program is scheduled to be in place by
September 30, 2005. The reality is that I would like the program to
have been in place for one year, fiscal year 2006, before we
implemented full assertion as I understand is required now by OMB
Circular A-123 for executive branch agencies. I recognize that this may
impact our Audit results, but request time to allow our internal
control program to mature.
SUBCOMMITTEE RECESS
Senator Allard. I want to thank you for your testimony.
And, with that, we'll recess the subcommittee. Thank you.
[Whereupon, at 11:55 a.m., Wednesday, April 13, the
subcommittee was recessed, to reconvene subject to the call of
the Chair.]