[Senate Hearing 108-543]
[From the U.S. Government Publishing Office]
LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2005
----------
THURSDAY, APRIL 8, 2004
U.S. Senate,
Subcommittee of the Committee on Appropriations,
Washington, DC.
The subcommittee met at 11:03 a.m., in room SD-138, Dirksen
Senate Office Building, Hon. Ben Nighthorse Campbell (chairman)
presiding.
Present: Senators Campbell and Durbin.
U.S. SENATE
Office of the Secretary
STATEMENT OF HON. EMILY J. REYNOLDS, SECRETARY OF THE
SENATE
ACCOMPANIED BY:
MARY SUIT JONES, ASSISTANT SECRETARY
TIM WINEMAN, FINANCIAL CLERK
DIANE SKVARLA, CURATOR
OPENING STATEMENT OF SENATOR BEN NIGHTHORSE CAMPBELL
Senator Campbell. The subcommittee will come to order. We
meet this morning for our last scheduled hearing for the fiscal
year 2005 budget cycle for the legislative branch. We will take
testimony from the Secretary of the Senate, Emily Reynolds, and
the Architect of the Capitol, Alan Hantman.
Good morning, Emily. How are you this morning?
Ms. Reynolds. I am fine, sir. Thank you.
Senator Campbell. The budget request for the Office of the
Secretary is $21.286 million, an increase of $755,000, or about
a 4 percent increase over the current year budget.
In the last year, your office had accomplished very much,
including further implementation of a financial management
information system, keeping the Senate operating during the
February ricin incident and, of course, working with the owner
of the Curtis chair that I was so interested in, and I thank
you for that, which is now back in the Senate. We certainly
appreciate that.
Following your testimony, we will hear from the Architect
of the Capitol, Alan Hantman. The AOC's budget request totals
almost $858 million, which is an increase of $170 million, or
41 percent over the fiscal year 2004 appropriation. Roughly,
half of the budget is for operations and maintenance of the
buildings and grounds administrative support, safety programs,
and restaurants.
The increase of 18 percent over fiscal year 2004 for this
portion of the budget is due to increased utility costs,
payroll, and safety programs. The other half of the budget,
major capital projects, is up 143 percent over the current
year, and would support 71 projects, including the Copyright
Deposit Facility for the Library of Congress, storage modules
for the Library at Fort Meade, and Capitol Police projects.
The number of projects and dollar values associated with
them will be very difficult to accommodate, not only in the
view of the budgetary constraints but also owing to the
concerns that you have a lot on your plate already, not the
least of which is the completion of the Capitol Visitor Center.
We will be looking forward to that testimony, too.
Senator Durbin will be along, but while we are waiting for
him, you go ahead and proceed, Ms. Reynolds.
Ms. Reynolds. Thank you, sir. My full statement, which
obviously you all have, I would like to have submitted for the
record.
Senator Campbell. It will be included in the record. Is
your button on, on that microphone?
OPENING STATEMENT OF EMILY REYNOLDS
Ms. Reynolds. Thank you very much. My full statement, of
course, as you just said, we will include in the record. I
thank you for that. I would like to give just a brief overview
this morning and hit some of the high points of our past year.
I have with me this morning our very able team, Mary Suit
Jones, our Assistant Secretary, Tim Wineman, our financial
clerk, and a number of our department heads, all of whom I am
honored to work with each and every day.
As you said, our budget request for the year is
$21,286,000. That is $1.7 million in operating funds and just
over $19 million in our salary costs. Our operational budget is
static from last year but now knowing, obviously, the strengths
of this office, what it takes us to operate, and also to take
on some new initiatives, we believe that--that request is a
sound one and will enable us to continue to function well in
all three of our divisions, legislative, financial, and
administrative.
Our personnel costs, as you pointed out, we are requesting
a very slight increase, that for the COLA and for merit, so
that we can continue to attract and retain the talent that the
United States Senate both needs and deserves in our operations.
I want to thank the committee, Mr. Chairman, for your past
support of two major projects, one of which you mentioned; our
financial management information system, and our legislative
information system, both of which, in the course of this last
year, we continue to make enormous progress.
FINANCIAL MANAGEMENT INFORMATION SYSTEM
On FMIS, as you know, that was developed from a 5-year
strategic plan for the disbursing office. It now covers some
140 offices here in our Senate community and our goal is to
move to a paperless voucher system.
We reached an important step at the end of March, with a
test of creating laser checks, which was successful. That is
one of our production goals for this year. Moving into fiscal
year 2005, our plans call for us to create a small pilot of the
technology for paperless payment processing. So again, we are
making considerable progress in that regard.
LEGISLATIVE INFORMATION SYSTEM
On the legislative information system, to implement the
extensible mark-up language, or XML, is our data standard by
which we author and exchange documents, again, enormous
progress. That really has been a very collaborative effort,
with both our project office, Sergeant-at-Arms staff, and our
Senate legislative counsel, who have been our guinea pigs, if
you will, as part of that project team.
I am happy to report that they are now using the LEXA
application and, by all accounts, it is going quite well. In
fact, one member of the Senate legislative counsel team
reported that this is a story with a happy ending. The ending,
of course, is not yet completely in sight, as we will continue
to develop and enhance that project.
All and all, our LIS system means an improved exchange
program, quicker access to legislative information, and
documents that we can use much more easily reuse and re-
purpose.
I also want to thank the committee. We had some non-
recurring costs that you all were supportive of us on. We had
some technology upgrades that we needed very badly, in closed-
captioning, in our gift shop, in our stationery room, and we
have made progress on all of those in no small part thanks to
this committee's help. So I thank you, again.
SENATE PRESERVATION FUND AND CURATORIAL ADVISORY BOARD
Most especially, something that I know is near and dear to
you, and Senator Stevens' leadership was very helpful to us on
this as well, and that is the creation of the Senate
preservation fund, and a curatorial advisory board for us here
in the United States Senate.
I want to give you a quick update on that, in that, for the
curatorial advisory board, we are in the process of gathering
nominees from the members of the Commission on Art.
Specifically, the legislation reads that those board nominees
be experts, scholars in their field. And they will help us in
terms of providing counsel on our Senate collection, looking at
possible acquisitions for us, developing preservation policies.
My hope is that we can have that board in place within the
next month, and gather them for their first meeting this
summer. So, that is an exciting opportunity.
Second of all, again, the Senate Preservation Fund, the
seed money that you all provided this committee, that $500,000,
will give us the ability to service that curatorial advisory
board in terms of administrative costs and also to make some
potentially time-sensitive acquisitions going forward.
In addition, I think that board and the Preservation Fund,
the more people know of what we are looking to bring back to
the United States Senate or the kinds of acquisitions we are
looking for, the more that word spreads in that curatorial
field, the better our ability will be to attract some
additional treasures back to the Capitol and the Senate wing,
in particular.
CURTIS CHAIR
I want to again thank you, as you mentioned a moment ago,
for bringing to our attention last year the existence of the
chair that belonged to former Vice President Charles Curtis,
and the detective search that we all enjoyed in terms of
locating that chair, and bringing it back home, if you will.
The chair is now, of course, on loan to us from an
anonymous donor. With Vice President Curtis, it was housed in
the Russell Senate Office Building. It now, as you know, has
been placed in the ceremonial office for the Vice President, in
the Capitol. As we move forward with plans for the exhibit
content of the Capitol Visitor Center, our hope is that it will
be displayed in the Visitor Center in the years to come, as
well.
PORTRAIT OF MARGARET CHASE SMITH
In other curator activity, the portrait of Margaret Chase
Smith will arrive this year. This fall, we will see the
addition of Senator Vandenberg and Senator Wagner to the Senate
reception room. So, that will be an exciting event that all of
us will look forward to, here in our Senate family.
With our 26 departments, there are so many highlights in
addition to all the curators' work. I just want to take a
moment, just for a couple of additional highlights.
SENATE LIBRARY
Our tremendous Senate library. While a lot of information
centers are showing actual decline of usage, our Senate library
last year continued its tradition of posting increases in use
to up to 14 percent last year. Senate.gov, a tremendous tool,
not only just for those of us here in the Senate community but
for the general public, we are now averaging 115,000 visits to
Senate.gov a day. So, it is a tremendous public education tool.
SENATE HISTORICAL OFFICE
Our historical office last year was deeply involved in the
first-ever conference of university-based research centers that
are dedicated to the study of Congress. I am delighted to
report that out of that conference, an Association of Centers
for the Study of Congress was created. And with that, our
historical office, we will help host that group for their first
formal meeting. They will be meeting here with us in the
Capitol next month. So again, something to look forward to. And
again, our historical office played a pivotal role in that,
something I am very proud to report.
Our historical office also is a valuable part of the
content team for the Capitol Visitor Center, as we look to
opening that facility within the next couple of years.
COOP AND COG PLANNING
I also want to mention that our continuity of operations
planning and our continuity of Government planning, which I
know our Sergeant-at-Arms, at his hearing last week, spent a
great deal of time with you all on, is also an area that our
office works very collaboratively with the Sergeant-at-Arms on.
Clearly, as you mentioned a moment ago in the introduction,
that planning pays off. Most recently, with our ricin scare
February 2.
Although our buildings were closed, our disbursing office
still met payroll, just as they did during the anthrax incident
of 2001. For offices that might have been relocated for a
period of time, we exercised our COOP plan for the stationery
store, so the supplies were available to offices as they set up
in other locations. We had a statutory deadline in public
records, and we were able to set up shop in our emergency
operations center to meet that statutory filing deadline.
We continue to exercise frequently with the Sergeant-at-
Arms in all aspects of COOP and COG, so that, most importantly,
our team can meet our legislative responsibilities and any
other responsibilities incumbent upon us.
At the top of my remarks a moment ago, I mentioned the very
able people within the Secretary's office, and I want to
commend them, if you will indulge me for a moment. It is
remarkable to me that total combined within our office, the
individuals who staff the Secretary's office represent a
combined service of over 2,500 years of service to the United
States Senate.
They really do represent the best of the vision of Senators
Mansfield and Dirksen for now some 40 years ago. And that is
attracting people to the Secretary's office to serve as true
professionals, to maintain and strengthen the United States
Senate as an institution, as a whole, and they are a remarkable
group of individuals.
You see how that strength and their expertise is so
important to us when you look at the kind of legislative year
we had last year. It was the busiest legislative year since
1995. Having that depth and breadth of experience, especially
as we went through two, of course, overnight marathon sessions
in November, and followed by a rare weekend session right on
the heels of that, that longevity in service, that expertise
serves the Senate very well every day.
SUCCESSION PLANNING AND CROSS-TRAINING
With that longevity of service also comes the need for
succession planning and cross-training among our specialties.
That initiative continues as well. We have a perfect example I
just want to cite amongst our own personnel, in terms of
succession planning, is that we have been able, in a very
pivotal role within the legislative clerk's office, we were
able to bring someone on 10 months in advance of a pending
retirement, so that those individuals have ample time to train,
share knowledge, work side by side on a daily basis; and when
that retirement occurs, will allow for a seamless transition in
our legislative shop.
You will also notice in our cross-training efforts, our
staff that works at the Senate rostrum, among the legislative
clerk's staff, while their faces do not necessarily change,
they will change seats on you from time to time. That is
because all of them were cross-trained amongst their
specialties; again, to give us all that depth and breadth of
experience, enabling the Senate to meet its constitutional
responsibilities.
It has been my real privilege, for now just about 16
months, to serve as the Senate's 31st Secretary, to be part of
the tradition and history of this incredible institution. That
is why on balance, I believe, after careful examination, the
budget request we bring you today, both in terms of our
operating budget and our personnel costs, will enable us to
continue to provide the very best possible legislative,
financial, and administrative services to this body.
PREPARED STATEMENT
I thank you and I look forward to your questions.
Senator Campbell. Thank you, Emily.
Ms. Reynolds. 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
2005.
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 2005 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 2005 BUDGET REQUEST
I am requesting a total fiscal year 2005 budget of $21,286,000.
The fiscal year 2005 budget request is comprised of $19,586,000 in
salary costs and $1,700,000 for the operating budget of the Office of
the Secretary. The salary budget represents an increase over the fiscal
year 2004 budget request as a result of (1) the costs associated with
the annual Cost of Living Adjustment in the amount of $717,000; and (2)
an additional $570,000 for merit increases and other staffing.
The net effect of my total budget request for fiscal year 2005 is
an increase of $722,000.
Our request in the operating budget, which is the same as fiscal
year 2004, 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
----------------------------------------------------------------------------------------------------------------
AMOUNT
AVAILABLE BUDGET
ITEM FISCAL YEAR ESTIMATE DIFFERENCE
2004 PUBLIC FISCAL YEAR
LAW 108-83 2005
----------------------------------------------------------------------------------------------------------------
DEPARTMENTAL OPERATING BUDGET:
EXECUTIVE OFFICE........................................... $525,000 $525,000 ...............
ADMINISTRATIVE SERVICES.................................... 1,100,000 1,135,000 $35,000
LEGISLATIVE SERVICES....................................... 75,000 40,000 (35,000)
------------------------------------------------
TOTAL OPERATING BUDGET................................... 1,700,000 1,700,000 ...............
================================================
SPECIAL PROJECTS............................................... 565,000 .............. (565,000)
------------------------------------------------
TOTALS................................................... 2,265,000 1,700,000 (565,000)
----------------------------------------------------------------------------------------------------------------
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 100 Senators' offices, 20 Committees and 20 Leadership
and support offices. As a result of a five year strategic plan
developed by the Disbursing Office, the Appropriations Committee
subsequently approved a $5 million appropriation of a multi-year
program to upgrade and expand FMIS for the Senate.
With these funds, 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. In addition, we are
working cooperatively with the Sergeant at Arms to prepare auditable
financial statements for the Senate.
In 2003, specific progress made on the FMIS project included:
--Implementing three releases of Web FMIS, the accounting system used
by offices, which included making the online ESR function
available to all offices and piloting online review and
sanctioning capability to the Rules Committee Audit staff;
making changes to the reporting functionality; making changes
to the underlying technology; and providing additional office/
committee functionality such as credit documents and the
ability to create budgets for a new fiscal year.
--Implementing two releases of the Senate Automated Vendor Inquiry
(SAVI), the system used by Senate staff to see payment
information and to prepare expense summary reports (online
ESR's). Those releases were designed both to streamline access
to data necessitated by the full Senate implementation of
online ESR and to enhance security.
--Implementing software enabling the Rules Committee Audit staff to
conduct the first and second post payment audits. This was done
in conjunction with the delegation of sanctioning authority to
the Financial Clerk for vouchers of $35 or less. These
statistically valid samples were returned with zero errors, and
the threshold was consequently increased by the Rules Committee
to $100 or less, effective January 1, 2004.
--Piloting payments to external vendors via direct deposit.
--Revising requirements for imaging of supporting documentation and
electronic signatures.
For fiscal year 2004, the following FMIS activities are underway:
--Full scale implementation of Rules Committee on-line review of Web
FMIS-produced vouchers is now completed.
--Implementation of two WEB FMIS releases that will simplify the
system architecture, upgrade the technology used, provide
simpler disaster recovery and provide the platform for the
imaging of supporting documentation and electronic signatures.
--Conduct a pilot for the use of laser checks.
--Implementation of a new release of the SAVI system that enables e-
mail notification of payments to vendors and staff.
--Implementation of a new release of the online ESR component of SAVI
that will incorporate suggestions made by users.
--Investigate the use of electronic signatures, imaging of supporting
documentation, and receipt of electronic invoices.
During fiscal year 2005, the following FMIS activities are
anticipated:
--Implementation of a Web FMIS release to provide additional reports
useful to office with improvements in the software used to
create reports.
--Conduct a pilot of the technology for paperless payment processing.
A more detailed report on FMIS is included in the departmental
report of the Disbursing Office which follows.
Legislative Information System (LIS)
Our second mandated system, which this Committee has also
generously supported, is the Legislative Information System, or LIS,
which provides Senators and staff with text of Senate and House
legislative documents from their desktop computers. In addition, LIS
provides real-time access to legislative amendments and the current
status of new legislation within 24 hours. LIS originates from the 1997
Legislative Branch Appropriations Act, which also established a
requirement for the broadest possible exchange of information among
legislative branch agencies. This exchange process is now the focus of
the LIS Augmentation Project, or LISAP.
The overall objective of the LISAP is to implement the extensible
markup language, or XML, as the data standard to author and exchange
legislative documents among the Senate, House of Representatives, the
Government Printing Office and other legislative agencies. Two years
ago, the Appropriations Committee appropriated $7 million to the
Secretary for the LISAP, to carry out the Senate portion of the
December 2000 directive given to both the Secretary and the Clerk of
the House by the Senate Rules Committee and the House Administration
Committee respectively. Thus far, we have spent approximately $4
million of our appropriation, and I am pleased to report that
considerable progress has been made and the project is on budget and
running smoothly.
The project is currently focused on Senate-wide implementation and
transition to a standard system for the authoring and exchange of
legislative documents, including an XML authoring system for the Office
of Senate Legislative Counsel (SLC) and the Enrolling Clerk for bills,
resolutions and amendments. A database of documents in XML format and
an improved exchange program will mean quicker and better access to
legislative information and will provide documents that are more easily
shared, reused and repurposed.
The LISAP project team is developing the Senate's legislative
editing XML application (LEXA) which was installed in the Office of the
Senate Legislative Counsel (SLC) in January 2004. The attorneys and
staff assistants received training and immediately began drafting some
bills, resolutions, and amendments in XML with the first XML draft
introduced on January 22, 2004.
The SLC's document management system was completed in December
2003, and will be implemented this year. Several of the XML document
conversion projects have been completed, including the conversion of
bills, resolutions and amendments from the 106th, 107th and 108th
(first session) Congresses. The conversion of the compilations of
current law to XML will be completed in the next few months. The SLC
and House Legislative Counsel use the compilations in drafting bills
and amendments.
The SLC is working closely with the project team on continued
development and enhancement of LEXA. The Enrolling Clerk and the
Government Printing Office are next in line to begin using LEXA. When
LEXA is fully functional for these two operations in producing XML
documents, the project team will then turn its attention to other
Senate offices and other types of legislative documents.
A more detailed report on LIS follows the departmental reports.
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, this office has 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 Sergeant at Arms, Capitol Police, and the Offices of the
Attending Physician and the Architect of the Capitol, the Office of the
Secretary has established and exercised Emergency Operations Centers,
Briefing Centers and Alternate Senate Chambers, both on and off Capitol
Hill.
In addition, the Office has identified equipment, supplies and
other items critical to the conduct of essential functions, and has
assembled ``fly-away kits'' for the Senate Chamber and for each
department within 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 Capitol property, as well as at
other sites outside the District of Columbia. This approach enables the
Office of the Secretary to resume essential operations within 12 to 24
hours, even if there is no ability to retrieve anything from offices in
the Capitol.
Today, the Office of the Secretary is prepared to do the following
in the event of emergency: support Senate Floor operations in an
Alternate Senate Chamber within twelve hours on Capitol property, and
within 24 to 72 hours off property, 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.
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;
--Identified and acquired all equipment and supplies required to
support Senate operations at an offsite Alternate Chamber, and
stored all materials at the Alternate Chamber location;
--Reviewed, revised and published the Office of the Secretary's
Master COOP plan, and all departmental COOP plans.
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. The Office's emergency preparedness
programs are designed to ensure that the Senate can carry out its
Constitutional functions under any circumstances. These programs are
critical to the mission of the Office, and have become a permanent,
integral part of operations. With the continued assistance of the
Leadership, the Sergeant at Arms, and the Appropriations Committee, the
Office of the Secretary is confident that we will be successful in
facing any future emergency.
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 in carrying out 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--who are supervised by the Secretary through the Legislative
Clerk. The Parliamentarian's office is also part of 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 in the Office of
the Secretary of the Senate is twenty years. There is not one
supervisor with less than thirteen 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
specialities.
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, 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, 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, so the
Bill Clerk's Office is generally regarded as the most timely and most
accurate source of legislative information.
Legislative Activity
The Bill Clerk's Office processed slightly fewer pieces of
legislative materials and significantly more roll call votes during the
first session of the 108th Congress versus the first session of the
107th Congress. Below is a comparative summary of the first sessions of
the 107th and the 108th Congresses:
------------------------------------------------------------------------
107th 108th
Congress, 1st Congress, 1st
Session Session
------------------------------------------------------------------------
Senate Bills............................ 1,883 2,003
Senate Joint Resolutions................ 30 26
Senate Concurrent Resolutions........... 93 86
Senate Resolutions...................... 198 283
Amendments Submitted.................... 2,697 2,231
House Bills............................. 264 282
House Joint Resolutions................. 17 20
House Concurrent Resolutions............ 91 78
Measures Reported....................... 247 352
Written Reports......................... 132 220
-------------------------------
Total Legislation................. 5,652 5,571
===============================
Roll Call Votes......................... 380 459
------------------------------------------------------------------------
Assistance from the Government Printing Office (GPO)
The Government Printing Office has responded 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 printed) 21 pieces of
legislation during the course of the Congress, and that GPO expedite
the printing of 31 measures for the Senate.
Projects
Amendment Tracking System.--In the fall of 2001, the Rules
Committee approached our office with the task of scanning submitted
amendments onto the Amendment Tracking System on LIS. The Rules
Committee identified a need for Senate staff to have all amendments
submitted in the Senate made available online shortly after being
filed, especially during cloture. 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, and a draft outline was 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,
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 an electronic version of the official
Senate ledgers to ensure the integrity of the information recorded in
the ledgers. The electronic version should be portable for use during
possible emergency scenarios. 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.
2. OFFICE OF CAPTIONING SERVICES
Since 1991, the Office of Captioning Services has provided real-
time captioning of Senate floor proceedings for the deaf and hard-of-
hearing along with unofficial electronic transcripts of those
proceedings to Senate offices via the Senate Intranet.
General Overview
Accuracy remains the watchword of this office. Overall caption
quality is monitored through translation data reports, monitoring the
captions in real-time and reviewing the caption files on the Senate
Intranet.
Technology Update
A year-long review of all available real-time captioning technology
for the office in fiscal year 2002 led to the acquisition of new real-
time captioning technology. By the end of fiscal year 2003, windows-
based software and paperless writing devices had been installed and all
closed captioners had been trained and were on the air with the new
technology.
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 real-time caption
Judiciary Committee hearings in fiscal year 2004 continues and a
summary of the results will be provided at the completion of the
project.
Primary 2004 Objectives
To assist in both the execution of the Judiciary Committee's real-
time captioning pilot project and the preparation of a final report at
the conclusion of the project for the Rules Committee, the Judiciary
Committee and the Secretary of the Senate.
To develop indefinite backup capability for assistance during
sessions that may go around-the-clock.
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
rollcall votes. (See Attachment--Resume of Congressional
Activity); and
--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 906 meetings during the first
session of the 108th Congress, as contrasted with 961 meetings during
the first session of the 107th Congress.
Chamber Activity
The Senate was in session a total of 167 days, for a total of 1,454
hours and 5 minutes. There were 3 quorum calls and 459 record votes. (A
20-Year Comparison of Senate Legislative Activity follows).
Computer Activities
The Digest office continues to work closely with Senate computer
staff to refine the LIS/DMS system. Under the direction of the Editor,
the computer center staff was able to create two new reports for the
Daily Digest. Report 82 is a compilation of Treaties Approved in Digest
format, and Report 83 is a compilation of Written Executive Reports of
Committees in Digest format. The Digest is also pleased to report that
all refinements made to the Senate Committee Scheduling application
have been successfully implemented, including the capability of
entering multiple documents. 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.
Assistance from the Government Printing Office
The Daily Digest continues to send the complete publication at the
end of each day to the Government Printing Office (GPO) electronically.
The Editor, Assistant Editor, and Committee Scheduling Coordinator
function coordinate in preparing Digest copy on computers, storing and
sharing information, permitting prompt editing, and transferring the
final 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 is 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 GPO
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.
4. ENROLLING CLERK
The Enrolling Clerk prepares, proofreads, corrects, and prints all
Senate passed legislation prior to its transmittal to the House of
Representatives, the National Archives, the Secretary of State, the
United States Claims Court, and the White House.
During 2003, 62 enrolled bills (transmitted to the President) and 8
concurrent resolutions (transmitted to Archives) were prepared,
printed, proofread, corrected, and printed on parchment.
A total of 593 additional pieces of legislation in one form or
another, were passed or agreed to by the Senate, all processed from
this office.
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 first session of the 108th Congress, there were 1,201
nomination messages sent to the Senate by the President, transmitting
28,423 nominations to positions requiring Senate confirmation and 13
messages withdrawing nominations previously sent to the Senate during
the first session of the 108th Congress. Of the total nominations
transmitted, 600 were for civilian positions other than lists in the
Foreign Service, Coast Guard, NOAA, and Public Health Service. In
addition, there were 2,578 nominees in the ``civilian list'' categories
named above. Military nominations received this session totaled 25,245
(9,068--Air Force; 6,012--Army; 7,752--Navy; and 2,413--Marine Corps).
The Senate confirmed 21,580 nominations this session. Pursuant to the
provisions of paragraph six of Senate Rule XXXI, 18 nominations were
returned to the President during the first session of the 108th
Congress.
Treaties
There were 14 treaties transmitted to the Senate by the President
during the first 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. 108-1 through 108-14). The
Senate gave its advice and consent to 11 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 8 executive reports relating to treaties ordered printed
for the use of the Senate during the first session of the 108th
Congress (Executive Report 108-1 through 108-8). The Senate conducted
78 roll call votes in executive session, all on or in relation to
nominations and a treaty.
Executive Communications
For the first session of the 108th Congress, 5,352 executive
communications, 337 petitions and memorials and 58 Presidential
messages were received and processed.
Legislative Information System (LIS) Update
Our staff consulted with the Senate Computer Center (SCC) during
the year concerning the ongoing improvements to the LIS pertaining to
the processing of nominations, treaties, executive communications,
presidential messages and petitions and memorials. Working with the
Government Printing Office (GPO) and SCC staff, a process was developed
last year for the printing of the Executive Journal by creating a PDF
file. This year the Secretary's Information Systems staff provided the
Executive Clerk's office with a new HP Digital Sender that has proven
to be an even faster and more efficient process for sending the PDF
file of the Executive Journal to GPO for printing.
In the future, the Senate Computer Center will develop the
Executive Calendar in a more ``user friendly'' program that will be
beneficial to our office and the SAA computer support staff. In the
meantime, the text field for placing unanimous consent agreements on
the Executive Calendar was redesigned to provide the Executive Clerk
more control in editing the Calendar in 2004.
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 Senate Journal as required by Article
I, Section V of the Constitution. The Senate Journal is published each
calendar year.
In 2003, the Journal Clerk completed the production of the 903-page
2002 Journal of the proceedings of the Senate, the annual project as
required by the Constitution. The Journal staff 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 eventual
publication of the Journal at the end of each calendar year.
Over the past two years, the Sergeant at Arms' Technology
Development Service Department, under the guidance of the Journal
Clerk, has developed the LIS Senate Journal Authoring System. This
system provides a much needed, supportable system for authoring and
publication of the Senate Journal, in place of the decade-old software
currently used for production. The system was installed for user
evaluation in March 2004, and will be released for use by the end of
April. The system's functionality was successfully exercised during the
compilation of the 1,146 page 2003 Journal, which was sent to the
Government Printing Office for printing at the end of 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 of the
department's eight offices.
Underscoring 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. Currently, 50 percent of the legislative
staff have been cross-trained between their specialities.
Summary of Activity
The first session of the 108th Congress completed its legislative
business and adjourned sine die on December 9, 2003. During 2003, the
Senate was in session 167 days, over 1,454 hours and conducted 459 roll
call votes. There were 352 measures reported from committees, 590 total
measures passed, and 153 items remained on the Calendar at the time of
adjournment. In addition, 2,231 amendments were processed.
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. The Legislative Clerk also reviews, prioritizes, and forwards
change requests from the clerks to the technical operations staff. Over
the past year, 36 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.
9. PARLIAMENTARIAN
In 2003, the Parliamentarian's Office continued to perform its
extensive legislative duties. These include advising the Chair,
Senators and their staff, 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 in
coordinating all of the business on the Senate floor. 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 also keep track of the amendments offered to
the legislation pending on the Senate floor, and monitor them for
points of order. The Parliamentarians reviewed more than 1,000
amendments during 2003 to determine if they met various procedural
requirements. 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, and communications
received from the executive branch, state and local governments, as
well as private citizens. In order to perform this responsibility, the
Parliamentarians do extensive legal and legislative research. During
2003, the Parliamentarian and his assistants referred 2,467 measures
and 5,747 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 difficult jurisdictional
questions posed by the creation of the massive new Department of
Homeland Security, which now has responsibility for hundreds of issues
previously in the jurisdiction of other Senate committees. The
Parliamentarians have made dozens of decisions about the committee
referrals of nominations for new positions created in this department,
nominations for positions which existed before this department was
created but whose responsibilities have changed, and hundreds of
legislative proposals concerning the department's responsibilities.
Additionally, in the last three 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 to analyze
the need for emergency procedural authorities of Congress generally,
and the Senate in particular.
YEARLY COMPARISON OF SENATE LEGISLATIVE ACTIVITY
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1984 1985 1986 1987 1988 1989 1990 1991 1992 1993
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Senate Convened..................................... 1/25 1/3 1/21 1/6 1/25 1/3 1/23 1/3 1/3 1/5
Senate Adjourned.................................... 10/12 12/20 10/18 12/22 10/21 11/21 10/28 1/3/92 10/9 11/26
Days in Session..................................... 131 170 143 170 137 136 138 158 129 153
Hours in Session.................................... 94025" 1,25231" 1,27815" 1,21452" 1,12648" 1,00319" 1,25014" 1,20044" 1,09109" 1,26941"
Average Hours per Day............................... 7.2 7.4 8.9 7.1 8.2 7.4 9.1 7.6 8.5 8.3
Total Measures Passed............................... 726 583 747 616 814 605 716 626 651 473
Roll Call Votes..................................... 181 381 359 420 379 312 326 280 270 395
Quorum Calls........................................ 19 20 16 36 26 11 3 3 5 2
Public Laws......................................... 408 240 424 240 473 240 244 243 347 210
Treaties Ratified................................... 20 6 12 3 15 9 15 15 32 20
Nominations Confirmed............................... 41,726 55,918 39,893 46,404 42,317 45,585 42,493 45,369 30,619 38,676
Average Voting Attendance........................... 91.95 94.64 95.72 94.03 91.58 98.0 97.47 97.16 95.4 97.6
Sessions Convened Before 12 Noon.................... 106 119 117 131 120 95 116 126 112 128
Sessions Convened at 12 Noon........................ 18 38 25 12 12 14 4 9 6 9
Sessions Convened after 12 Noon..................... 7 13 1 25 5 27 17 23 10 15
Sessions Continued after 6 p.m...................... 81 104 92 97 37 88 100 102 91 100
Sessions Continued after 12 Midnight................ 11 7 15 6 7 9 13 6 4 9
Saturday Sessions................................... 1 3 2 3 ............ 1 3 2 2 2
Sunday Sessions..................................... ............ 1 ............ 1 ............ ............ 2 ............ ............ ............
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YEARLY COMPARISON OF SENATE LEGISLATIVE ACTIVITY--Continued
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1994 1995 1996 1997 1998 1999 2000 2001 2002 2003
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Senate Convened..................................... 1/25 1/4 1/3 1/3 1/27 1/6 1/24 1/3 1/23 1/7
Senate Adjourned.................................... 12/01 1/3/96 10/4 11/13 10/21 11/19 12/15 12/20 11/20 12/9
Days in Session..................................... 138 211 132 153 143 162 141 173 149 167
Hours in Session.................................... 1,24333" 1,83910" 1,03645" 1,09307" 1,09505" 1,18357" 1,01751" 1,23615" 1,04223" 1,45405"
Average Hours per Day............................... 9.0 8.7 7.8 7.1 7.7 7.3 7.2 7.1 7.0 8.7
Total Measures Passed............................... 465 346 476 386 506 549 696 425 523 590
Roll Call Votes..................................... 329 613 306 298 314 374 298 380 253 459
Quorum Calls........................................ 6 3 2 6 4 7 6 3 2 3
Public Laws......................................... 255 88 245 153 241 170 410 136 241 198
Treaties Ratified................................... 8 10 28 15 53 13 39 3 17 11
Nominations Confirmed............................... 37,446 40,535 33,176 25,576 20,302 22,468 22,512 25,091 23,633 21,580
Average Voting Attendance........................... 97.02 98.07 98.22 98.68 97.47 98.02 96.99 98.29 96.36 96.07
Sessions Convened Before 12 Noon.................... 120 184 113 115 109 118 107 140 119 133
Sessions Convened at 12 Noon........................ 2 15 12 31 17 25 10 12 4 9
Sessions Convened after 12 Noon..................... 17 12 7 7 2 19 24 21 23 23
Sessions Continued after 6 p.m...................... 100 158 88 96 93 113 94 108 103 134
Sessions Continued after 12 Midnight................ 7 3 1 2 3 8
Saturday Sessions................................... 3 5 1 1 1 3 1 3 1
Sunday Sessions..................................... ............ 3 ............ 1 ............ ............ 1 ............ ............ 1
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Prepared by the Senate Daily Digest--Office of the Secretary.
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 in order to provide responsive, personal attention to Members
and employees on a 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 responsibility of this position is to serve as the Senate's
expert on Federal retirement and benefits, payroll, and front office
processes. Coordination of the interaction among 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 a further responsibility. 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.
2003 Accomplishments and activities
Normal computer systems do not account for employees over 99 years
of age, and consequently, the DO life insurance computer data elements
have been expanded to accommodate 100 years of age. New age bands and
deduction rates were instituted by regulation and our computer systems
were modified to accommodate the new requirements.
OPM mandated that a new calculation routine for the Civil Service
Retirement-Offset deduction and new reporting requirements took effect
in January, 2003. Much of the work was performed in late 2002 and the
retirement record changes, the new deductions, and the new reports ran
perfectly for the first payroll of 2003. Two new computer screens were
built to track the new Offset CSRS deductions at 7.5 percent .
As part of an ongoing effort to prevent payroll errors, an edit was
added so that an account line with a future stop date cannot be
deleted. However, this was removed the next month as it was determined
that the high volume of alterations required due to offices changing
pay increases, terminations, and transfers, necessitated the ability to
delete future lines.
Computer system menus for update and inquiry were altered early in
the year to accommodate all of the new screens and the many changes
required for implementation later in the year.
To fill a critical need of the Continuity of Operations Plan, a
document imaging project is underway to place employees' Official
Personnel Folders in an easily accessible electronic format. This new
system is complete, and procedures are currently being finalized for
implementation this summer.
In mid-2003, a reexamination was done of both the Political Fund
Designee and S. Res. 110 (GS-15 Financial Disclosure) tracking and
reporting processes. The Office of Public Records and Select Committee
on Ethics use these reports extensively. By refining and extensively
updating processes initiated in 1975, reports now provide what each
office needs on a much more timely basis. Both Public Records and
Ethics approved of the final product.
Flexible Spending Accounts were announced in December, and a
contract was awarded in March 2003. Work began immediately to add the
two new FSAs (healthcare and dependent care) by the July 1 effective
date. Automated processes to load the data received by the Senate from
the FSA administrating agency, to deduct and report the monies on a tax
exempt basis, and transmit monies and reports to the administrating
agency, were completed on time.
New TSP Catch Up contributions for employees over 50 passed in late
2002 and regulatory requirements were received in February 2003.
Project planning began immediately. This project required tax deferred
deductions be withheld separate from the TSP program, reported
differently and reported separately. A completely new screen was
required. The project was completed and worked flawlessly on the
required date of August 1.
The Payroll Information Notice (pay stub) was completely redesigned
in mid year to provide much more room to accommodate the many new
deductions employees might have with the new programs established in
2003. The various changes provided almost 40 percent more room. New
deductions include Long Term Healthcare, Student Loan Repayment
Program, Flexible Spending Accounts, and TSP Catch Up contributions.
New PINs went out with the May 5 pay date. In October, a project was
initiated to replace the current payroll system's OLAG programming with
a completely new and updated version using BMS programming. This will
eventually ensure continued operations on the newest mainframe
operating systems, and to enable future payroll enhancements involving
the web, employee self-service and on-line review of payroll reports by
Senate offices. Work is scheduled to be completed by July 1, 2004.
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 I.D. 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.
2003 Accomplishments and activities
The Front Counter processed approximately 2,200 cash advances,
totaling approximately $1.4 million and initialized check/direct
deposit advances, totaling approximately $730,000.
Received and processed more than 30,000 checks, totaling over
$3,600,000.
Administered Oath and Personnel Affidavits to more than 3,400 new
Senate staff and advised them of their benefits.
Maintained brochures for 11 federal health carriers and distributed
approximately 5,000 brochures to staff during the annual FEHB Open
Season and to new employees.
Provided 33 training sessions to new office managers.
The major emphasis during this year was the training for the 11 new
Senate offices into the operations of the Disbursing Office. Training
was provided to new office managers and guidance provided in their
business transactions with the Disbursing Office.
The only reconciliations of the Senate accountability were
confirmed by a General Accounting Office audit performed in June 2003
at the request of the Secretary of the Senate. 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; maintaining the Automated Clearing
House (ACH) FEDLINE facilities 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
W2 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.
2003 Accomplishments and Activities
Funding for Calendar Year 2003 began as a Continuing Resolution.
This restriction of spending delayed the January 1, 2003 Cost of Living
increase. In January, the passage of the Legislative Branch
Appropriations Bill gave the U.S. Senate a 3.1 percent Cost of Living
increase retroactive to January 1, 2003. The passage of the Omnibus
Appropriations Bill in March 2003 provided the Senate with a final Cost
of Living increase of 4.27 percent retroactive January 1, 2003. While
the multitude of cost of living transactions taxed the resources of the
Payroll Section for a five month period, all pay adjustments were done
in an accurate and timely manner.
In late 2002 and early 2003, Payroll was heavily involved in the
testing of the new CSRS-Offset deductions and reports. Attention to
detail from the Payroll Section helped debug programs and streamline
the new processes.
During this same time period the Payroll Section maintained its
schedule of processing TSP Open Season forms. Senate employees for the
most part were taking full advantage of the increase in the cap for TSP
deductions, making the most of 13 percent/$12,000 maximums. The TSP
Catch-Up program was implemented in the fall of 2003. This program
allowed employees who are 50 or older to deposit additional funds into
their personal TSP. Payroll staff were involved in all of the testing
performed with the new screen, new deductions, and reports.
During the summer of 2003 the National Finance Center implemented
its EnTrust Financial Management System allowing the agencies to have
online update and correction abilities. Employees of our Payroll
Section were trained by the Department of Agriculture to use the on-
line payments and corrections system.
The Student Loan Program (SLP) continued into 2003. The new year
brought new challenges to the Payroll Section. The time consuming
methods of third party loan processing created needless delays of
notification for loan payoffs. The Payroll Section had to develop
procedures for returning overpayment of loans to the loan program
allocation refund, return the respective over- withholding of Federal,
State, FICA, and Medicare taxes to the employees involved. Regulations
were enforced to alleviate these problems. Payments for loans to be
paid off during the Agreement Year of a SLP are now spread out over the
full year, eliminating these overpayments.
The Payroll Section also assisted in developing methods for
processing Long Term Care and in July 2003 implemented the FSA
deductions system. These additional benefit plans were passed to
provide additional coverage to our normal FEHB deduction processing
system. Each of the above new deductions required research into the tax
implications of each deduction. Once the plan was implemented further
research was required for the proper modification of W-2s for calendar
year 2003. Payroll staff were involved in testing and verification
during the implementation of these systems. The Payroll Supervisor was
part of the project management team during the planning portions and
during final installation.
Payroll filing systems and checking processes were updated to
improve quality control. These changes help minimize errors in an
environment where payroll changes are much more common than in most
other government and private institutions. In addition, with
considerable staff changes in 2003, new training procedures for the
Payroll Section were implemented and have resulted in more
knowledgeable staff and reductions in errors.
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 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 staff are hired elsewhere in the government. EBS
processes employment verifications for loans, the Bar Exam, the FBI,
OPM, and the Department of Defense, 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.
2003 Accomplishments and activities
The year began with EBS finalizing retirement estimates and
processing the many retirement cases associated with outgoing Senators
and their staffs, as well as those staff on committees who were
affected by the changes. Approximately 170 retirement cases were
processed throughout 2003, including 10 death cases.
During 2003 the new Federal Flexible Spending Account (FSA) Program
was introduced and implemented government-wide. EBS worked diligently
to become educated in all aspects of the program. This required
constant interaction with OPM and the FSA plan administrator, SHPS, to
establish, understand and implement procedures for the plan. Employee
Benefits staff worked as part of the Project Team to apply
modifications and establish parameters for the implementation of the
program. Effective introduction to and participation in the FSA program
required extensive notification to employees, which included several
mail-outs, electronic notifications and use of streaming video on
Webster. Two Open Seasons were conducted, along with an educational
seminar on the FSA program and recurring FSA seminar broadcasts on
Senate Cable TV. EBS also developed and disbursed educational materials
for employees.
During our anthrax displacement, EBS discovered that the most
essential information that could not be accessed off-site was employee
personnel folders. Based on these lessons, EBS has worked with the
Deputy for Benefits and Financial Services as part of the Project Team
to outline the needs and parameters required for development and
implementation of a document imaging system for use in electronically
reproducing employee personnel folders. Through extensive meetings,
testing and feedback, the imaging system has been developed and is
ready for implementation. This system will allow computer-based access
to employee personnel folders as well as the ability to access them
from an off-site facility.
Based on the continued military operations and the call to active
duty of military reservists, the volume of Senate employees being
placed in a Leave Without Pay (LWOP) status and subsequently returned
to pay status was elevated throughout 2003. Counseling and
administration of their retirement and benefits was handled by EBS.
Effective in 2003, OPM announced a modification to the way
retirement deductions were to be reported for employees subject to
Social Security and CSRS. Compliance with this change required
coordination with the Senate Computer Center for programming changes
and screen development, followed by debugging and subsequent
implementation of the new withholding and reporting format.
Based on new legislation, the Thrift Savings Plan (TSP) implemented
a new provision enabling employees age 50+ to contribute additional
``Catch-up'' contributions to their TSP accounts. This enhancement
required a great deal of interaction with the Senate Computer Center to
apply modifications and establish parameters for the implementation of
the program. EBS worked to become a resource on the aspects of Catch-up
contributions and educational materials and notices were created and
supplied to eligible participants.
Mid-year, the TSP implemented their long-awaited new record keeping
system, which created many questions and requests for assistance from
Senate employees as well as from offices on behalf of their
constituents. Additionally, there were two TSP Open Seasons in 2003
during which employees could change their rate of contribution. The
number of employee changes was higher during the end of year Open
Season, as the allowable rates of contribution increased.
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, the DO offered an exciting new tool
for Senate employees as 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, and may become an annual
purchase. Feedback received on the Guide was very positive, and as
awareness increases, more users are anticipated. Once again, the DO
hosted a FEHB Open Season Health Fair, which was attended by about 600
employees. 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.
EBS continues to upgrade the information available on the DO
Webster site and has added more downloadable forms, routinely making
use of the newer video technologies and links. 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
developed 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
implementation of the FSA Program, the CLER program, and the continuing
TSP program changes and enhancements.
There was a great deal of employee turnover in early 2003. New
Members appointed numerous employees from the House and Executive
Branch, and many other employees left with outgoing Members, several of
whom were appointed to positions in the Executive Branch. This caused a
dramatic 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
enrollments to be processed. Transcripts of service for employees going
to other federal agencies, and other tasks associated with employees
changing jobs were at a high level this year. These required prior
employment research and verification, new FEHB, FEGLI, FSA, CSRS, FERS
and TSP enrollments, and the associated requests for backup
verification.
Mortgage rates kept employment verifications coming in at a rapid
pace, averaging over 100 per month. Unemployment verifications were
especially high early in the year and remained constant throughout the
year. Telephone inquiries, though not specifically tracked, continued
at record levels.
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 produce 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 Deputy coordinates the activities of
the three functional 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 2003, the Accounting Department approved nearly
80,000 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
approves decreased over fiscal year 2002 numbers due to the Senate
Committee on Rules and Administration authorizing the Accounts Payable
Department to sanction vouchers of $35 or less. General ledger
maintenance also prompted the entry of thousands of adjustment entries
that include all appropriation and allowance funding limitation
transactions, all accounting cycle closing entries, and all non-voucher
reimbursement transactions such as payroll adjustments, 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 the new approval path for the Rules Committee's
on-line sanctioning. During January 2003, the Accounting Department
with assistance from our contractor, BearingPoint, completed the 2002
year-end process to close and reset revenue, expense and budgetary
general ledger accounts to zero. At the beginning of 2003 and during
the month of June 2003, we successfully tested and implemented in
Federal FAMIS the first two document purge processes. Further, the
financial file rollover was performed to update FAMIS' tables and
create the new index codes needed to accommodate data for fiscal year
2004.
The U.S. Department of the Treasury changed their end of month
reporting deadlines for agencies twice during fiscal year 2003; from
the 7th to the 5th business day and then from the 5th to the 3rd
business day of the following month. The second change on the Treasury
reporting deadline was a challenge for DOFM since the Senate's end of
the month payroll is a paid on the 5th of the following month. In order
to comply with this requirement, the Accounting Department, assisted by
BearingPoint, tested and implemented a change in how and when payroll
is reported with the non-payroll expenses. The changes to comply with
Treasury's accelerated reporting requirement were implemented in July.
The Department of the Treasury's monthly financial reporting
requirements include 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,
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 is reported to the Department of the
Treasury. 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. Every month, all employee withholdings and
agency contributions for life and health insurance, and federal
retirement programs were transmitted to the Office of Personnel
Management. Any adjustment to employee contributions for any of the
health, life, and retirement plans from previous accounting periods
were also processed. In April and October, the Accounting Department
prepared the necessary reports and information to be included in the
Report of the Secretary of the Senate. All organizations and
appropriation accounts reported were validated 100 percent to the
financial system.
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. It is the
responsibility of the Accounting Department to review and verify the
accuracy of the statements before Senate-wide distribution.
The Accounting Department, in conjunction with the Deputy for
Financial Management, is working closely with the Sergeant at Arms'
(SAA) Finance Department in completing all the corrective actions that
resulted from the Pro-forma financial statements auditability
assessment completed in April 2002. Based on the results of this
exercise, 23 corrective actions were suggested including an action plan
and proposed schedule to have them corrected within several years. Some
of the actions were rather simple to implement while others will take
additional time. Of the 23 corrective actions noted, 6 have been
completed, 13 are in process, and 4 are still open. As part of this
project, the Accounting Group drafted the Senate-wide capitalization
policy which has been reviewed and agreed to by the SAA's Finance
Department. The Accounting Group also drafted and finalized the travel
advance and vendor file procedures documents. The Deputy for Financial
Management is working closely with the SAA's Finance Department in the
replacement and implementation of the new asset management system,
Asset Center.
On a consulting basis, the Deputy for Financial Management has been
assisting the Senate Gift Shop with the implementation of their new
accounting system. In addition, the Accounting Group has been working
with the General Accounting Office (GAO) to provide them with expense
vouchers and certificate of deposits documentation requested for the
audits of all the Secretary of the Senate and Sergeant at Arms
revolving funds.
ACCOUNTS PAYABLE DEPARTMENT
During the Fall of 2003, the Accounts Payable Department was
restructured and a third section was created to adequately attend to
the needs of the Senate community. Currently, the A/P Department is
made up of the following three sections: the Audit group, the
Disbursement group and the newly created Vendor/SAVI group.
Accounts Payable Vendor/SAVI Section
The Vendor/SAVI (Senate Automated Vendor Inquiry) group was newly
created in the fall of 2003. This section is responsible for the prompt
completion of service requests from within the Senate community for
access to the Disbursing Office's new Web-based payment inquiry system
called SAVI, the timely processing of expense voucher payments via
paper check or ACH wire transfer and for training Senate staff on the
proper usage of the SAVI Web based system. The section also assists the
IT Department with daily monitoring of system performance and the
testing of new SAVI system upgrades. Another major responsibility of
this group is the daily maintenance of the Senate's central payee file,
which currently has over 11,000 vendors. Daily requests for new or
updated vendor addresses are promptly handled and processed within 24
hours of being requested. The section is in the process of collecting
ACH wire information on external vendors with the intention of
reimbursing most vendors electronically instead of by paper check.
Further, this section is working with the IT Department in the
selection and testing of a new e-mail notification project to inform
all external vendors via e-mail that an electronic reimbursement has
occurred.
As part of its objectives, this section started to scan the hard
copy supporting documentation (vendor-supplied remittance instructions)
for the entire payee file (starting with the most recent ones) on the
DO network which will enable quick access to necessary information.
Because of the size of the vendor file (over 11,000 vendors) and the
usual daily work which must be completed, this scanning project is
expected to take approximately a year to complete. Ultimately, scanning
of vendor-supplied supporting documentation will become a routine part
of file maintenance.
Accounts Payable Disbursements Department
During 2003, two new staff members were hired and one staff member
was transferred to the newly created Vendor/SAVI Department. The new
department now handles all aspects of the FAMIS vendor file which was
previously tasked to A/P Disbursements. In fact, 133,000 expense claims
were received and processed by the department. Over 40,000 expense
checks were written and approximately 25,000 direct deposit
reimbursements were made.
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.
The Accounts Payable Disbursements Department distributes the
monthly ledgers to the 160 accounting locations throughout the Senate.
Once produced, they are delivered to Disbursing. They are then sorted
and delivered or picked up according to a list of special instructions.
The main objective of this process is to have each office receive their
ledger statements by the 10th of the month.
A/P Disbursements also prepares the quarterly state tax returns.
The 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 the 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
implemented the Department of the 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 e-mail. This process has been well
received by Senate offices as well as vendors. This saves time and
significantly reduces reliance on the postal system. The entire
Accounts Payable Disbursements staff has Treasury secure ID cards and
are being trained in the use of PACER. Given its time and money
savings, as well as its overwhelmingly positive reception, large growth
in the use of PACER is expected.
Two major events have helped in centralizing the filing and storage
of Accounts Payable and Accounting documents. First was new shelving
which replaced file cabinets for all in-house filing. The documents are
placed in side-tab folders which display their contents in an easy-to-
read format. The major benefit to the new shelving is space savings.
The result is that what previously required over 20 feet of wall space,
now requires a little less than 15 feet, a space savings of 25 percent.
Second, the new shelving also allows us to keep a year's worth of
vouchers in-house before sending them to our warehouse facility.
Previously, only six months' worth of vouchers could be kept on hand.
The warehousing of documents has improved and is still evolving.
Vouchers were housed at two facilities, but now all have been
transferred to a larger location, although there is need for expansion.
Meetings with the Sergeant At Arms, consultants, and prospective
vendors continue in an effort to provide state-of-the-art warehousing
for the entire Senate. Such plans include current space requirements,
future anticipated space requirements, and the need for ``staging''
areas, telephone, copier, and fax access, climate control, and
security.
Accounts Payable Audit Department
The third section under the Accounts Payable Department is the
Audit Department. The Accounts Payable Audit Section is responsible for
auditing vouchers and answering questions regarding voucher preparation
and the permissibility of the expense, providing advice and
recommendations on the discretionary use of funds by the various
accounting locations, identifying duplicate payments submitted by
offices, monitoring payments related to contracts, training new Office
Managers and Chief Clerks about Senate financial practices, training
Office Managers in the use of the Senate's Financial Management
Information System, and assisting in the production of the Report of
the Secretary of the Senate. During this year, the responsibility for
the printing of the semiannual Report of the Secretary of the Senate
was transferred from the retiring Assistant Financial Clerk to the
Accounts Payable Manager. This 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 11, has
the responsibility for the daily processing of expense claims submitted
by the 140 accounting locations of the Senate. During the first months
of the year, the Accounts Payable Audit Group had some staff turnover
and new auditors were hired. The new audit staff is undergoing
comprehensive training and the section processed approximately 133,000
expense vouchers during fiscal year 2003. 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 and as long as the voucher does not have any issues or
questions and the Audit Section is fully staffed, vouchers are
received, audited, sanctioned by Rules and paid by DO within the
required directive of 10 business days.
During December 2002, the Chairman of the Committee on Rules and
Administration, delegated the sanctioning authority of vouchers of $35
or less to the Financial Clerk of the Senate. As a consequence, the
workload within this group increased by 15 percent. These vouchers are
sanctioned by the Certifying Accounts Payable Specialists and are being
received, audited, and paid within 5 business days of receipt. The
sanctioning authority was subsequently increased in 2003 from items
totaling $35 and less to items valued at $100 and below. The increase
in sanctioning authority came as a direct result of our passing two
post-payment audits performed by the Rules Committee. This additional
change increased the number of vouchers sanctioned by Audit to 57
percent of all submitted vouchers.
Additionally, advance documents and non-Contingent Fund items such
as Legal Counsel and Legislative Counsel vouchers are now posted in
Audit. The sanctioning responsibilities allowed for one staff promotion
to Certifying Accounts Payable Specialist.
The reduced flow of vouchers to the Rules Committee allowed us to
proceed with their inclusion in the on-line sanctioning process.
Initially, four Senators' offices and the Committees comprised the
pilot group. Currently, all vouchers sanctioned by the Rules Committee
through the Web-submit process are sanctioned on-line.
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 was able to train 21 new Office Managers and
Chief Clerks and conducted 5 informational sessions for Senate staff
through seminars sponsored by the Congressional Research Service (CRS).
The Accounts Payable group also assisted the IT department in the
testing and implementation of the new travel advance reporting. The new
travel advance reporting became effective in September 2002 and with
this new process, travel advances are accounted for as obligations. The
Accounts Payable Audit Group has been fully trained in the new travel
advance system and in the use of the four new WEB inquiries. The group
also participated in the SAVI (Senate Automated Vendor Information)
system training to assist Senate staff with any questions related to
their reimbursements paid either by ACH (Automated Clearing House) or
by check. The creation of a Vendor/SAVI department allowed for a senior
staff promotion out of Audit, and two new staff were hired to help fill
the void caused by this promotion and one staff termination.
A cancellation process was established for advances. This was
necessary to ensure repayment of advances systematically for canceled
or postponed travel in accordance with Senate Travel Regulations.
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 2003 the budget justification
worksheets were mailed to the Senate accounting locations at the end of
February. This deadline was much later than usual due to the late
passage of the Legislative Branch Appropriations bill. 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. The group is also responsible for reporting the budget
baseline estimates that were developed for fiscal year 2004 to the
Office of Management and Budget, via the MAX database.
disbursing office information technology
financial management information system
The Disbursing Office Information Technology (IT) Department,
currently operating with a staff of four, 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 Senators' offices, 20 Committees, 20 Leadership
and Support offices, 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
and Continuation of Operations Plan (COOP).
The activities associated with each of these responsibilities are
described in more detail in the sections that follow. Work during 2003
was supported by the Sergeant at Arms (SAA) Technology Services staff,
the Secretary's Information Technology staff, and contracts with
BearingPoint.
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, and database administration; and
regular batch processing. BearingPoint 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 co-operatively.
Highlights of the year include:
--Conducting 44 classes, seminars, and demonstrations on Web FMIS;
--Implementation of three releases of Web FMIS and preparation for
two releases during 2004. One of these releases made the online
ESR function available to all offices and provided online
review and sanctioning capability to the Rules Committee Audit
staff;
--Implementation of two releases of SAVI;
--Implementation of a post payment audit for the Rules Committee
Audit staff whereby they can do a statistically valid sample of
vouchers of $35 and under for which sanctioning was delegated
to the Financial Clerk;
--Pilot of direct deposit payments to external vendors;
--Entering into a new multi-year contract with the FMIS support
vendor, BearingPoint;
and Hiring a new Systems Administrator.
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 begins on the following page.
SENATE FINANCIAL MANAGEMENT INFORMATION SYSTEM
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Subsystem Functionality Source Primary Users Implementation
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
FAMIS (Mainframe)................. Financial general ledger..................................... Off the shelf federal system Disbursing Office.................. October 1998
Vendor file purchased from BearingPoint.
Administrative functions
Security functions
ADPICS (Mainframe)................ Preparation of requisition, purchase order, voucher from Off the shelf federal system Sergeant at Arms................... October 1998
purchase order, and direct voucher documents. purchased from BearingPoint. Disbursing Office
Electronic document review functions Secretary of the Senate
Administrative functions
Checkwriter (Client-server)....... Prints checks and check registers as well as ACH (Automated Off the shelf state government Disbursing Office.................. October 1998
Clearing House) direct deposit payments. system purchased from and
adapted to Senate's
requirements by BearingPoint.
Web FMIS (Client-server and Preparation of vouchers, travel advances, vouchers from Custom software developed under All Senators offices............... October 1999
intranet). advance documents, credit documents and simple commitment Senate contract by All Committee offices
and obligation documents. BearingPoint. All Leadership and Support offices
Entry of detailed budget Secretary of the Senate
Reporting functions (described below) Sergeant at Arms
Electronic document submission and review functions Disbursing Office
Administrative functions
FATS (PC-based)................... Tracks travel advances and petty cash advances (available to Developed by SAA Technology Disbursing Office.................. Spring 1983
Committees only). Services.
Tracks election cycle information
Post Payment Voucher Audit (PC- Selects a random sample of vouchers for which sanctioning was Excel spreadsheet developed by Rules Committee.................... Spring 2003
based). delegated to the Financial Clerk for the Rules Committee to BearingPoint. Disbursing Office
use in conducting a post payment audit.
SAVI (Intranet)................... As currently implemented, provides self-service access (via Off the shelf system purchased Senate employees................... Pilot--Spring 2002
the Senate's intranet) to payment information for employees from BearingPoint. Senate-wide--July 2002
receiving reimbursements via direct deposit.
Administrative functions
Online ESR (Intranet)............. A component of SAVI through which Senate employees can create Custom software developed under Senate employees................... April 2003
on-line Travel Expense Summary Reports and submit them contract by BearingPoint.
electronically to their Office Manager/Chief Clerk for
processing.
Secretary's Report (Mainframe Produces the Report of the Secretary of the Senate........... Custom software developed under Disbursing Office.................. Spring 1999
extracts, crystal reports, and contract by BearingPoint.
client-server ``tool box'').
Ledger Statements (Mainframe Produces monthly reports from FAMIS that are sent to all Developed by SAA Technology Disbursing Office.................. Winter 1999
database extracts, and crystal Senate ``accounting locations''. Services. Senate Accounting Locations
reports).
Web FMIS Reports (mainframe Produces a large number of reports from Web FMIS, FAMIS and Custom software developed under Senate Accounting Locations........ October 1999
database extracts, crystal ADPICS data at summary and detailed levels. Data is updated contract by BearingPoint.
reports, client server, and as an overnight process and can be updated through an on-
Intranet). line process by accounting locations.
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Supporting Current Systems
The IT section supports FMIS users in all 140 accounting locations,
the Disbursing Office Accounts Payable, Accounting, Accounts Payable
Disbursements, Vendor/SAVI, 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,
Office 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--maintain user rights for all ADPICS, FAMIS, SAVI, and Web
FMIS users. In 2003, we added, deleted and changed user rights
for 94 ADPICS, FAMIS and 57 Web FMIS offices and other users as
requested by Senators and Chairmen.
--System Administration--design, test and make entries to tables that
are intrinsic to the system. In 2003, this included making
changes to reflect Senate organizational changes for the 108th
Congress, establishing new offices, changing the Senate-wide
privately owned vehicle reimbursement rates, establishing and
testing new accounting transaction codes, and creating new
approval paths for vouchers of $100 or less;
--Support of Accounting Activities--provide assistance in the cyclic
accounting system activities. During 2003, the following
activities were performed--Upload of files into FAMIS (e.g.,
budgets, monthly certification charges, state office rental
vouchers), Year End Rollover (in March for Committee Funding
Resolution 66B, and in August for fiscal year 2004), Year End
Close, Document Purge, and Ad hoc queries; and
--Training--provide functional training to all Senate FMIS users.
During 2003, the IT Department conducted 44 classes, seminars,
and demonstrations on Web FMIS. The class schedule is issued
every other month and the classes offered were:
--1. Introduction to Web FMIS--conducted 12 times. This hands-on
class covers the basics of preparing, printing, and
submitting vouchers and travel vouchers, and managing your
inbox. Also covered are adding items to an office's lookup
tables (e.g., vendor and expense category), using search to
find records, and what information goes in the Unique
Invoice Number and Account Number fields.
--2. Web FMIS Travel Class--conducted 15 times. The hands-on class
covers all aspects of travel vouchers from both the Office
Manager's and the traveler's perspective. It enables the
Office Manager or Chief Clerk to prepare travel advance
requests, create travel vouchers, create travel vouchers
from online ESRs using the Web FMIS import function, train
travelers to create on-line travel expense summary reports
(online ESRs), train travelers to track direct deposit
payments via SAVI; and perform the Web FMIS setup tasks
(e.g., establishing a traveler's profile, and establishing
office mileage rates). This class was created in 2003 with
the Senate-wide implementation of online ESR.
--3. Web FMIS Budget and Reports Seminar--conducted 12 times. This
demo-style seminar covers how to enter and change an
office's budget, and how different budgets show on an
office's Summary of Financial Status Report. Several
budgets, from simple to complex are discussed, based on the
interests of the attendees. Also discussed are the on-line
reporting functions including refreshing report data and
exporting report data into another application (e.g.,
Excel). In addition, we look in detail at the Analysis by
Vendor, Analysis by Expense Category, and Analysis by
Office Control Number Reports, at the Changed Document
Report, and other reports based on the interests of the
attendees.
--4. Web FMIS Reconciliation Class--conducted 7 times. This hands-
on class covers how to reconcile an office's Web FMIS
balance with the DO's balance on a monthly basis. Also
provided individual training sessions for 14 persons who
were unable to attend the scheduled class sessions.
--5. Web FMIS Special Topics--conducted once. Occasionally a
``special topics'' seminar covering different subjects is
held. In May the seminar topic was how to use commitments
and obligations. This seminar is offered at the points in
the year when offices are most likely trying to estimate
expenses through the end of the fiscal year.
--6. User Demos--In advance of each Web FMIS release, a
demonstration is conducted at a Joint Office Manager/Chief
Clerks meeting of the new functionality included in the
release. The demo is repeated for those unable to attend
the meeting. For Web FMIS release 7.4, the material was
presented twice.
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 2003, the following
components of this infrastructure were changed:
--Mainframe hardware and software--Upgrade of the mainframe operating
system (OS390/2.10, including CICS and WebSphere upgrades)
required that the Disbursing Office extensively test all FMIS
subsystems both in a testing environment and in the production
environment. Additional testing, although less extensive, was
performed when the SAA activated the new Storage Area Network
facility (SAN), an essential component of the Alternate
Computing Facility;
--TDF and DHF Partitioning--The Transaction Detail File and Document
Header File, which are subsidiary files to the General Ledger,
were split into logical divisions in order to improve system
performance, especially for inquiries. The IT staff and
Accounting section staff created documents and tested all FMIS
functions with the partitioned files before the production
files were partitioned.
--Printing online via ``Reveal''--The DO's use of the ``Reveal''
software, which prints reports to a file for online viewing
instead of a printer, was expanded to include the weekly
Appropriations Summary Reports. This allowed the elimination of
a dedicated printer in SH-144.
Managing and Testing New System Development
During 2003, we supervised development, performed extensive
integration system testing and implemented changes to the following
FMIS subsystems: Web FMIS; Senate Vendor Information (SAVI) and Online
ESR; Post Payment Voucher Audit; and Checkwriter.
Web FMIS
Three releases of Web FMIS were done in 2003. Work was begun on two
additional releases which will be implemented in 2004. These
implemented in 2003 are:
--Web FMIS r7.4.8.--This release in April 2003 made the import ESR
function available to all offices. This function allows Office
Managers to create travel vouchers from online ESRs that
travelers create in SAVI. This saves a significant amount of
time for Office Managers. Previously, this had been used by a
pilot of 10 offices. Additionally, this release included online
review and sanctioning capability for the Rules Committee Audit
staff. The Rules Committee staff elected to implement a pilot
of 23 offices (all Committees and Senators whose last name
begins with A) in order to become familiar with the software
and develop appropriate procedures. (As of January 1, 2004, the
Rules Committee staff implemented online review and sanctioning
of all Web FMIS vouchers via Web FMIS. This was implemented in
conjunction with an increase in the threshold for delegation of
sanctioning authority. In December 2002, the Rules Committee
Chairman delegated sanctioning authority to the Financial Clerk
for vouchers of $35 and less. Effective January 1, 2004, the
Rules Committee Chairman increased the threshold to $100.)
--Web FMIS r7.4.9.--The July 2003 release focused on reports. The
most important change was reporting the total trip expense when
a travel advance was used. Additionally, several useful
formatting changes were made, including adding subtotals for
payroll and non-payroll to all of the ``summary'' reports.
--Web FMIS r7.5.4.--The August 2003 release implemented new
underlying technology, including an upgrade to WebSphere 4.0, a
new version of mainframe CICS, and a new Cold Fusion server. It
included a few functional changes, the most important of which
was the ability to create budgets for the new fiscal year prior
to October 1 and without regard to whether funding has been
authorized. In addition, we created the files necessary for
fiscal year 2004. Making it possible for offices to work with
their budgets in August was a request from Web FMIS users. The
necessary system changes were implemented in this release and
the ``new year roll'' was done earlier than in past years. In
the future, the new year roll will also be in August.
In addition, we began work on two projects scheduled for completion
in 2004, development of Web FMIS ``thin client'' and Web FMIS Imaging
and Signature Design, Electronic Invoicing and Remittance Enhancement.
During 2003, a significant amount of staff time was spent to prepare
for these releases. Activities included requirements analysis, planning
and consultation with users.
--Web FMIS ``thin client''.--There have been many functional releases
of Web FMIS, since it was implemented in October 1999. With
each release, the most appropriate technology available at the
time is selected. This has resulted in a complicated
architecture that has:
1. Client/server components on a Cold Fusion server (e.g.,
Document Entry and Budget Entry functions);
2. Web components on a Cold Fusion server (e.g., Local list
maintenance functions and reports); and
3. Web components on a WebSphere ``server'' on the Senate's
mainframe (e.g., the submit and on-line approval
functions).
Under this project the functions that use Cold Fusion will be re-
written to use WebSphere, eliminating two different
architectural components. This will be implemented in two
releases:
1. Phase I--implemented in early March, 2004--Web FMIS r8--re-
write the maintenance and administrative functions of Web
FMIS to use ``thin client'' technology, upgrade the
reporting function to use Crystal Reports version 9, which
is ``thin client,'' and revise the reporting function so
that it will continue to show data from closed fiscal years
(data that we would like to archive from FAMIS). Additional
functionality, previously developed but not implemented,
will be implemented in this release, the security paradigm
based on roles, and administrative contact screens that
consolidate information from several subsystems.
2. Phase II--currently scheduled for August, 2004--Web FMIS
r9--re-write the remaining functions that use client-server
technology, including the functions most used by office Web
FMIS users (e.g., Main Menu, Document Entry, Budget Entry).
Additionally, this release will change notification of
documents requiring office action from an internal Web FMIS
function to e-mail, add a non-travel ESR in SAVI and modify
the ESR import function in Web FMIS.
--Web FMIS Imaging and Digital Signature Design, Electronic Invoicing
and Remittance Enhancement.--As articulated in the FMS
Conceptual Design, the vision for the FMIS is for paperless
voucher processing. This requires implementation of electronic
signatures and imaging of supporting documentation. This
project begins the exploration of imaging and electronic
signatures and will result in a design for this functionality.
In addition, the plan is to explore, and if feasible implement,
the receipt of invoices electronically from large vendors. This
would eliminate the step of imaging paper invoices.
Senate Automated Vendor Inquiry (SAVI) and Online ESR
The Online ESR, a subsystem of SAVI, enables Senate staff to
complete an on-line Travel Expense Summary Report (ESR) and submit it
so that their Office Manager can ``import'' the data and create a
voucher, without retyping the ESR data. The April 2003 release of Web
FMIS made the corresponding ``import'' ESR function available to all
Office Managers. Office Managers in turn encouraged their staff to use
the online ESR, thus substantially increasing the number of online ESR
users.
The SAVI system enables Senate staff to check the status of
reimbursements, whether via check or direct deposit, and whether or not
referencing an online ESR. In June 2003, a serious performance problem
was encountered in SAVI. Web pages that normally took a few seconds to
access suddenly required more than a minute. This was due to
inefficient structure of a few ``calls.'' While they performed
adequately during testing and during pilot use of SAVI the increased
use of SAVI after the April 2003 release of Web FMIS highlighted this
inefficiency. In less than two weeks, DO and BearingPoint staff
identified the cause of the problem and developed, tested and installed
the solution, SAVI release 2.02. No substantial performance problems
have since been encountered.
In October 2003, SAVI release 2.1 was implemented. This release
included a number of security features, such as encryption of user
passwords, removal of Social Security Numbers from the Oracle database,
masking all but the last three digits of bank account numbers, and
disabling unused/unnecessary services on the servers. In addition, work
was conducted on SAVI release 2.2, which is scheduled for
implementation in 2004, and will include some major functional
enhancements, conversion to .NET (``dot net'') version of Visual Basic
and several other security enhancements.
Post payment Voucher Audit
In December 2002, the Rules Committee delegated to the Financial
Clerk the authority for sanctioning vouchers of $35 and less. This
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, BearingPoint created tools to determine the sample size, to
enable selecting the sample from the universe of vouchers of $35 and
less, and to determine the acceptable number of discrepancies given the
sample size and the desired confidence interval. The first audit was
conducted in May 2003 for the six-month period ending March 31, 2003,
covered 7,270 vouchers, and resulted in a favorable finding of zero
discrepancies. The second audit was conducted in November 2003 for the
six-month period ending September 30, 2003, covered 11,502 vouchers,
and again resulted in a favorable finding of zero discrepancies.
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 (i.e., ACH or
Automated Clearing House). 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, it was expanded to larger-volume vendors such as
FedEx.
--Laser Checks.--In five years of using the Checkwriter application,
it became clear that there are benefits in switching from
printing checks on a continuous-feed impact printer to printing
checks on a laser printer. The laser version will provide more
flexibility for continuance of operations by eliminating our
dependence on the harder-to-find printer. It will also produce
a higher print quality, which will help the postal service in
the delivery of checks. The higher quality print will also
prevent checks from being negotiated for an unintended dollar
amount. During 2003, the DO held numerous meetings with
Checkwriter's designer, BearingPoint, to establish new
specifications for the laser version. As a result, a new and
substantially different check proof has been established with
the Treasury Department. Additionally, the choice of folder/
inserter machines to use with the laser check stock was
narrowed. Testing is currently underway for the implementation
of laser checks in 2004.
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 2003, three meetings continued among the DO, SAA and
BearingPoint to coordinate schedules and activities. These are:
--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);
--Technical Meeting--a weekly meeting among the DO staff (IT and
functional), SAA Technical Services staff, and BearingPoint to
discuss coordination among the active projects, including
scheduling activities and resolving issues; and
--``Project Office''--a monthly meeting among senior Senate staff
(e.g.,the Financial Clerk, Rules Committee staff), the
BearingPoint engagement partner, SAA technical and functional
staff, DO IT and functional staff, and BearingPoint staff to
discuss progress on each project.
With progress being made, the decision was made to move more
activities from the project office meeting to the technical meeting,
and by the end of 2003, the project office meeting was eliminated. In
January 2004 one technical meeting is held each month as a joint
technical/project office meeting.
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 is the basis for the $5 million in multi-
year funds given to the Secretary's office by the Senate Committee on
Appropriations 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
again 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 Subsystem 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 due to the retirement of the
Assistant Financial Clerk. These responsibilities include developing
the task orders with contractors and overseeing their work. In 2003,
four new task orders were executed with BearingPoint:
--Web FMIS Thin Client;
--Web FMIS Imaging and Digital Signature Design and Electronic
Invoicing and Remittance Enhancements;
--Additional Operational Support; and
--Extended Operational Support (Sept. 2003--August 2004).
In addition, in August 2003 a new multi-year contract with Bearing
Point was negotiated and signed. This was a joint effort between the DO
staff and the SAA procurement staff.
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.
Office-wide LAN maintenance and upgrade
Existing workstations were maintained with appropriate service
patches, and security updates including:
--Conducted Pre-Install meetings for the new DO SQL server--Worked
with the Senate support vendor to determine installation
strategy and procedures to properly prepare an SQL production
server;
--Supervised DO SQL server installation--Ensured that system was
installed in accordance with all agreed upon requirements;
--Installed SNAP servers--These devices provide an additional means
for LAN data backup;
--LAN Planning--Began planning for the installation of a new LAN
server in 2004; and
--Maintained our 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.
Office-wide Technical Skills Improvement
The Systems Administrator was tasked with improving the DO's
efficiency with the use of available technology. One example of this
improvement is how check inquires are processed. Prior to the
implementation of existing technology, when an office requested
information about negotiated checks, DO Accounts Payable Disbursements
staff printed a copy of the front and back of the check via Treasury's
Pacer system. Then the staff would mail these copies to the office. As
a result of the training provided by the Systems Administrator, the DO
staff scan the Pacer copy of the front and back of the check and attach
the image to an e-mail message to the office, providing better and
faster responses.
Projects for the Accounts Payable and Accounting Sections
The activities of the Accounts Payable and Accounting Sections were
supported with the development of a Vendor Data Imaging process which
consists of simple scanning procedures to capture and electronically
store the paperwork associated with vendors.
Projects for Payroll and Employee Benefits Sections
Activities of the Payroll and Employee Benefits sections were
supported with four specific projects:
--Assisted in the development of the Payroll Imaging system, which
captures payroll documents turned in at the DO front counter
electronically, including ordering all required system
components. This system is still being implemented;
--Maintained required software to enable the Employee Benefits
section to continue transmitting employee health plan
information electronically to the National Finance Center in
order to participate in the program called Centralized
Enrollment Clearinghouse System (CLER); and
--Posted Revised Overtime Schedules for different work weeks along
with a generic time sheet on the DO website.
Software for the Report of the Secretary of the Senate
Several DO staff review and edit data for the Report of the
Secretary of the Senate. This requires special software and
dictionaries, with the following performed on this software:
--Coordinated the update and installation of the ``Toolbox'' software
(provided by BearingPoint) on existing PCs;
--Reviewed existing spell check dictionaries, and worked with
BearingPoint to make the required updates; and
--Implemented procedures to ensure that dictionaries are maintained
after each reporting cycle.
Coordinating the Disbursing Office's Disaster Recovery Activities
The DO's disaster recovery activities include two related
activities:
--Disaster Recovery Testing, participating in the computer system
disaster recovery tests conducted by the SAA; and
--Coordinating the Continuation of Operations Plan (COOP), a broadly
focused activity, addressing all aspects of DO operations.
Disaster Recovery Testing
Since 1995, the SAA has contracted with an offsite contractor for
backup services in case of a disaster affecting the Senate's main data
center. The Senate's Payroll system and FMIS are included in this
recovery process. Since the contract's inception, the Senate has tested
its ability to restore systems and perform normal activities at least
once, and often twice each year. Disbursing Office staff and SAA
Procurement staff are active participants in the planning and execution
of these tests. In a February 2003, exercise, the mainframe subsystems
of FMIS (i.e., ADPICS and FAMIS) were tested successfully. Two critical
subsystems, checkwriter and Web FMIS, were also tested with limited
success. Due to time constraints, security for Web FMIS was bypassed
and generating reports was not included in the test. In addition,
because of the communications architecture, some ADPICS document prints
(Purchase Orders and Vouchers) could not be created.
Disaster Recovery Background.--Every night, data and software from
the Senate's mainframe computer systems are backed up to a magnetic
cartridge and taken to a secure off-site facility. In the event of a
disaster in the SAA computing facilities at Postal Square, SAA
technical staff would immediately arrange to have the data, software,
and appropriate operating instructions forwarded from the off-site
facility to one of the contractor's data centers. Senate staff would
travel to this facility to oversee the restoration of all software and
data on the contractor's computer. By contract, restoration would be
complete within 24 hours and systems would then be available to users.
The contracted-for facilities can currently support up to 48 concurrent
Senate users.
Disaster Recovery of the Payroll System.--Several key components
are necessary for access to the payroll system after the restoration of
data at the contractor's facility is complete. At least one terminal
identification (term-ID) must be coded in the payroll system to allow
CICS access because the payroll application has an internal security
module that ties a user to a specific term-ID that controls user
access. Another key component is FTP software that allows the movement
of files from point to point.
Most payroll payments are made via Direct Deposit to the Federal
Reserve Bank using the Automated Clearing House (ACH). After the
payroll system is closed-out for the payroll period, the SAA
programmers provide an ACH data set which is transmitted to the Federal
Reserve Bank in Atlanta, Georgia, via a specially configured PC
containing an encryption board and a specialized modem. The DO also has
an open-ended agreement with the Senate Federal Credit Union that
allows the DO to transmit from their facility in Alexandria, Virginia.
The Federal Reserve Bank of Atlanta must be notified prior to any
transmission changes, but this agreement gives us the flexibility to
transmit from an alternate access point in the event we encounter
future transmission problems.
Disaster Recovery for FMIS.--The DO has participated in disaster
recovery testing of mainframe FMIS facilities since the system was
implemented in October 1998. For the February 2003 test, DO and SAA
Procurement staff tested the various modules of the mainframe
application to ensure they were functioning correctly at the back-up
site. Using workstations connected to the Senate's fiber network as
well as laptop computers dialing into the offsite location, users have
tested various types of document preparation and posting to FAMIS. In
addition, batch report testing, and system inquiries into both the
procurement and financial modules were tested. Finally, various batch
processing tasks were tested to ensure that they perform as expected.
In the February 2003 testing, these tests were completed
satisfactorily. However, ADPICS printing of Purchase Orders and
Vouchers does not work in the disaster recovery mode.
Two components of FMIS, checkwriter and Web FMIS, were tested for
the first time with limited success. Testing of the ``checkwriter''
process, which generates checks and/or direct deposits in payment to
vendors, was tested successfully in the February 2003 exercise. The
disaster recovery testing of Web FMIS was accomplished in the 2003
effort. This testing required installation of additional hardware and
software at the contractor's facility. In order to perform the testing
in the available time frame, security had to be disabled and user
requested reports were not generated. It was anticipated that problems
associated with both will be resolved and tested satisfactorily in the
future.
Printing of ADPICS purchase orders and vouchers is still not
possible with the current disaster recovery communications
infrastructure of ``dial-up'' lines. Workaround facilities or a revised
infrastructure have not been finalized for this functionality. As a
result, entities that prepare ADPICS purchase orders and vouchers,
primarily the Secretary of the Senate and the SAA, would not be able to
print these documents in the event of a disaster. The proposed
Alternate Computer Facility should have more advanced infrastructure,
allowing for the printing of these documents.
Coordinating COOP
The DO staff wrote a Continuation 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.
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 110 books and matted and framed 515 items for the Senate
Leadership. The office is especially proud to be a part of a Senate
tradition. For more than 22 years, the office has bound a copy of
Washington's Farewell Address for the annual Washington's Farewell
Address ceremony. In 2003, a volume was bound and read by Senator Saxby
Chambliss.
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 in need of
conservation or repair. In 2003, conservation treatments were completed
for 112 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 4,165 volumes.
This office assisted the Senate Library with 578 books sent to the
Library Binding section of the Government Printing Office for binding.
The Office of Conservation and Preservation also worked with the Senate
Library on four exhibits located in the Senate Russell building
basement corridor.
This office continues to serve Senate offices with conservation and
preservation of documents, books, and various other items. The office
is currently monitoring the temperature and humidity in the Senate
Library, the vault, and the warehouse for preservation and conservation
purposes, and plans to phase 15 antique books for box conservation for
storage as well as cross-train a Senate Library staff member to repair
Senate Library materials.
2. CURATOR
The Office of Senate Curator, on behalf of the Senate Commission on
Art, 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
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
Several important commissioned portraits are currently in progress,
including paintings of Senators Bob Dole and George Mitchell for the
Senate Leadership Portrait Collection; Senators Arthur Vandenberg and
Robert Wagner for the Senate Reception Room; and Senator Margaret Chase
Smith. The Vandenberg, Wagner, and Smith portraits are scheduled to be
completed and unveiled in 2004.
The marble bust of Vice President Quayle was unveiled last
September. The sculpture was added to the Senate's Vice Presidential
Bust Collection and installed on the second floor outside the Senate
Chamber. The Curator's Office also installed a painted canvas state
seal of Kentucky in the Majority Whip's Office.
Thirteen objects were accessioned into the Senate Collection this
year. Objects of note include two porcelain Senate Restaurant plates
dating to the early 20th century; a rare cigar label from the mid-
1800's depicting Senators Webster, Clay and Calhoun; an historic
lithograph of George Washington by Rembrandt Peale based on the
Senate's well-known Patri' Pater painting; as well as several historic
prints and political cartoons.
Thirteen 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.
In response to work on the Capitol Visitor Center (CVC) and other
projects, the Curator's Office worked with the Architect of the Capitol
(AOC) to relocate several sculptures in the Capitol. The marble bust of
Constantino Brumidi was moved to accommodate the restoration efforts in
the Brumidi Corridors; while the three marble patriot busts in the
Senate Vestibule and the sculpture of Justice and History were
relocated to accommodate CVC construction. Due to the size and fragile
nature of Justice and History, a conservator was contracted to assist
with the move, and later cleaned and reattached the two pieces in the
sculpture's new location.
The 2002 project to professionally photograph the Senate's
approximately 1,000 historic prints was completed. One set of
transparencies will be stored off-site for emergency purposes, while a
second working set will be used for image requests, future
publications, and new web site postings.
The office also undertook a new initiative to photograph the 102
historic Senate Chamber desks (one hundred on the Senate floor and two
in storage). A contract was awarded to photograph the exterior of each
desk, as well as the interior desk drawer. The project is phased to
coincide with the conservation of the desks; a total of 20 desks were
photographed in 2003, and the project will be completed in 2008. One
set of transparencies will be stored off-site for emergency
preparedness, while a second working set will be used for the website,
image requests, and future publications.
In keeping with the inventory schedule established by the
Registration department last year, all prints, drawings, and
advertising images in collection storage were inventoried in 2003.
Additionally, all objects on display in the Capitol and Senate Office
Buildings were inventoried to verify that no changes in location or
condition occurred in the past year.
Conservation and Restoration
A total of 19 objects received conservation treatment in 2003.
These included 15 Senate Chamber desks, a portrait frame and canvas, a
1909 Russell Senate Office Building partner desk, and two historic ship
models.
The initiative to conserve each of the 100 historic Senate Chamber
desks began in 1999 at the direction of the Senate Commission on Art.
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, 76 desks have been restored and the project is on track to be
completed in 2005. This year a condition survey of the desks already
treated was completed. The survey found the desks in good overall
condition. The survey noted that the Senate Cabinet shop should
complete the installation of rubber bumpers to the arms of the Senate
Chamber chairs to protect the front of the desks from damage.
The gilt frame for the portrait of Pocahontas received conservation
treatment. While removing the frame from the painting, it was
discovered that a small section of the canvas had adhered to the liner
of the frame as a result of a previous conservation treatment. A
painting conservator separated the frame and painting and performed
minor conservation treatment to clean, repair, and protect the surface
of the painting.
The office of Senate Curator is studying the possibility of
conserving the canvas and frame for the painting George Washington by
Gilbert Stuart.
An historic partner desk, part of the original suite of furniture
purchased for the Senate Russell Office Building in 1909 and now
assigned to the Republican Leadership suite, was refinished according
to a detailed protocol treatment that restores the original type of
finish and appearance to the Russell Office Building furniture.
Major renovation of the Rules Committee Hearing Room in the Senate
Russell Office Building provided the opportunity for conservation
treatment of two historic ship models in the room. The ships, one
representing the U.S. Constitution and the other the Santa Maria, are
part of the original 1913 decorative scheme for the room when it served
as the Foreign Relations Committee Room. The ships were removed and
examined by a conservator. Extensive cleaning was necessary, as well as
repairs to the rigging, sails, and other small associated details.
The Collections Manager participated in training sessions for the
Capitol Police regarding the care and protection of art in the Capitol.
The Curator's staff also continued to educate the housekeeping
personnel on maintenance issues related to the fine and decorative arts
collections.
Historic Preservation
Over the past year the preservation program continued to develop
the infrastructure systems necessary to support all levels of
preservation activities. Efforts focused on research (archival and
physical investigations), documentation, record keeping, and project
oversight.
Research projects, in response to Senators' requests, produced room
histories and chronologies for individual architectural features, some
of which involved fabric analysis and condition assessments. The office
initiated documentation projects to capture physical changes of a space
or object, and to catalogue existing architectural elements through
surveys. These research and documentation projects, aside from
contributing to the office's architectural knowledge, provided a forum
for developing and refining standards for information collection and
reporting. In addition, various record keeping systems were established
in order to house the findings, including relational FileMaker Pro
databases and traditional files. Such systems allow the office to
easily store and access information, and will continue to evolve as the
preservation department expands its research, documentation, and
oversight purview.
The most significant research-related projects included the
completion of an historic structures report (HSR) for the Senate
Reception Room, and the creation of a collections guide to local
archives. The HSR employed a standard format and will served as a model
for all future HSR's. Based on this effort, the office worked with the
AOC to develop a project for an HSR for the Senate vestibule, adjacent
stairwell, and small Senate rotunda. Regarding the collections guide,
the office initiated a program of systematic review of all relevant
local research collections for the purpose of informing future research
efforts. Through this undertaking, collection content is recorded, all
crucial materials are copied, and the research path is clearly
documented.
Along with establishing internal procedures, the office worked in
partnership with the AOC and the Sergeant at Arms to monitor all
relevant Senate side projects and to provide guidance on those with
potential to impact historic resources. Projects requiring considerable
time and attention included creation of S-125A in the Brumidi
Corridors; continued conservation of the Brumidi Corridor walls;
initiation of a shutter restoration program; development of a plaster
stability testing project; installation of escape mask hood storage
units; rehabilitation of the Republican Leadership suite; and
completion of the rehabilitation of the Democratic Leadership suite.
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 Capitol Police, the Old Senate
Chamber was closed to visitors after September 11, 2001. However,
during three Senate recesses (August, October, and December), the
historic room was opened to Capitol Guide and staff-led tours. Thirty-
eight requests were received from current Members of Congress for
after-hours access to the chamber. Of special significance was the re-
enactment swearing-in ceremony for the newly-elected Senators of the
108th Congress. Thirty-one requests were received by current Members of
Congress for admittance to the Old Supreme Court Chamber after-hours.
The office also worked with the AOC to install an electric lift outside
the Old Court for the use of disabled visitors. The lift was necessary
due to CVC construction and related accessibility issues.
Loans To and From the Collection
A total of 69 historic objects and paintings are currently on loan
to the Curator's Office on behalf of Senate Leadership and officials
within the Capitol. Throughout 2003, the Curator's staff returned seven
objects at the expiration of their loan periods to their respective
owners. At the request of the Republican Leadership, 12 new paintings
were borrowed this year.
Of significance was the office's success in locating and securing a
loan of an historic chair originally presented to Vice President
Charles Curtis. The chair, which reflects Curtis's Native American
heritage, is on indefinite loan to the Senate from an anonymous lender.
The Curator's Office continued to work with CVC staff to assemble
information on Senate Collection objects under consideration for loan
to the exhibition in the main gallery of the CVC.
The Secretary's china was distributed and returned three times in
2003. The official Senate china was inventoried and used at 34
receptions for distinguished guests, both foreign and domestic.
Publications and Exhibitions
This summer the Office of Senate Curator teamed with the Government
Printing Office to supervise the printing of the United States Senate
Catalogue of Fine Art. The book marks the first time in its more than
200-year history that the Senate has showcased its entire collection of
paintings and sculpture in a publication. Using full-page color images
and historic photographs, the book provides detailed information on
both the subject and artist for 160 works of fine art, and is a
significant resource for those interested in the history of the Senate
and the heritage of its art. Advance copies of the publication were
distributed to congressional offices in October, and additional copies
will be available in 2004. Several brochures were reprinted, and one
new brochure was published, The United States Capitol, Room S-219.
The interactive exhibit Take the Puck Challenge! was deinstalled
after a 5-year run. The office is continuing to work with the Architect
of the Capitol to develop and install the second phase of the
Constantino Brumidi exhibit. The Senate Cabinet shop is constructing
exhibit kiosks to display informational panels for the paintings George
Washington at Princeton and The Recall of Columbus.
The Curator's office completed final drafts for the Senate
Appropriations Committee Room and Isaac Bassett. These drafts have been
submitted to the Appropriations Committee and the Secretary for final
review.
In early 2004, funding was approved to develop internet sites on
the political cartoons of Puck and the drawings of Lily Spandorf.
Policies and Procedures
This year saw the passage of important legislation related to the
Commission on Art, Public Law 108-83, the Legislative Appropriations
Act of 2004, with several important technical amendments to the
Commission's enabling legislation, including a provision to permit the
Commission to impanel advisory boards, and the establishment of the
Senate Preservation Fund. It also created a Curatorial Advisory Board,
which will greatly enhance the Commission's ability to care for the
Senate's collections and to evaluate potential acquisitions on behalf
of the Senate. Such a board will be composed of respected scholars and
curators who will assist in the development of policies and procedures,
and will review important acquisitions to ensure appropriateness and
validity.
The office also created several important procedural documents in
2003. These included standard procedures for portrait unveilings and
foreign gifts disposition. In response to recent Senate activities, the
office developed formal guidelines for adding or removing applied and
fixed fine art in the Senate. The guidelines call for the creation of
parameters for each space where art has or could be applied, and the
office developed parameters for the Brumidi Corridors and the Senate
Reception Room. The guidelines are currently under review. The office
also assisted in the development of standard contract procedures that
will be used throughout the Secretary's offices in an effort to
standardize and safeguard the contracting process.
Progress continued on a definitive Collections Management Policy.
The new Curatorial Advisory Board will review the document, which will
be presented to the Commission on Art. A first draft of the Commission
on Art's collections management policy has been completed with peer
review expected in 2004.
Collaborations, Educational Programs, And Events
As part of the seminar series conducted under the auspices of the
Secretary of the Senate and the Sergeant at Arms, the Curator's staff
continued to deliver periodic addresses on various aspects of the
Senate's art and history. Staff conducted or assisted with several
sessions, including ``Congress and the Capitol: Tour Guide Series'' and
``The Vice Presidential Bust Collection.''
The office contributed numerous articles to Unum, the Secretary of
the Senate's newsletter. Along with regular features, a new series
highlights art from the country's four geographic regions.
Office Administration
The Curator's Office continued to improve office safety and
emergency procedures. Practice evacuation drills were conducted
monthly. The office purchased a digital camera for its COOP plan, and
performed routine updates of COOP documents. The collection object
files are the primary legal title, research, and management records for
all art and historical objects in the Senate's collections. Microfiche
and digital copies of these records will be stored 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
handling and damage to the original paper records. In this way, these
unique historical records will be preserved for future generations in
case of disaster.
Planning continued with AOC staff regarding both additional storage
space in the Capitol complex and related construction outside the
Curator's two archival storage rooms on the fourth floor of the
Capitol. To ensure that the additional space meets the Curator's needs
for both temporary and long-term storage for works of art and
historical objects, a variety of considerations were addressed,
including access, security, fire prevention, and environmental
controls. The office worked closely with the AOC to ensure the safety
and accessibility of these spaces during construction. At the same
time, as part of a larger security system upgrade for the Capitol, the
Physical Security Division coordinated replacement of the alarm systems
for the storage rooms.
On behalf of the Sergeant at Arms, the Government Services
Administration (GSA) signed a three year lease with a contractor to
provide secure, climate controlled, museum quality storage for objects
in the Senate Collection that are not displayed and cannot be
accommodated in the storage rooms on the fourth floor. The office
subsequently relocated 70 objects to the new storage facility,
primarily historical furniture, rugs, and decorative arts.
In addition to fulfilling storage requirements, the fourth floor
construction included renovation of the Curator's space. The changes
have greatly improved operational efficiency and staff workspace.
Automation
With the assistance of a consultant, the Senate Collection database
was restructured and is now configured as a true relational database, a
feature that will streamline data entry, enhance data recovery and use,
and facilitate overall maintenance. In addition, data entry screens are
better organized and more user friendly. Additionally, some staff in
the office upgraded to a new version of FileMaker Pro 6. This version
is compatible with XML and already has enabled the Senate website
information to be updated directly from the collections database.
In response to a new initiative to publish a catalogue on the
Senate's historic prints and engravings, clean-up of data related to
almost 1,000 graphic images began. The Registrar and Associate
Registrar were tasked with confirming the accuracy and completeness of
data for the requisite fields in the database which will provide the
basis of the identification information for the objects in the
catalogue. In order for this to occur most effectively, each print was
viewed and its information compared with the data that appears in the
automated database.
The office published an exhibit, ``Women in Senate Art,''on the
Senate web site. This collection of paintings and sculptures
illustrates the role of women artists in the Senate Collection, as well
as highlights the women depicted in Senate art. The office also posted
PDF versions of many of its publications to the web site.
Objectives for 2004
Conservation and preservation concerns continue to be a priority.
Projects in 2004 will include the restoration of 15 Senate Chamber
desks and restoration of an historic mirror in the Capitol.
Investigation will be carried out to identify appropriate expertise and
direction for conservation of the painting and frame for a portrait of
George Washington by Gilbert Stuart, the First Reading of the
Emancipation Proclamation by F.B. Carpenter, and an historic globe from
the Senate Rules Committee Hearing Room.
The office, through the Commission on Art, will be responsible for
commissioning a new painting. S. Res. 177 directs the Commission on Art
to commission by the end of the session a scene commemorating the
Connecticut Compromise for display in the Senate.
The office will develop regulations, guidelines, and authorities
for administration of the Senate Preservation Fund and associated
boards. The Curatorial Advisory Board will be furthered; any additional
boards that the Commission deems are needed will be established; and a
plan for the Preservation Fund developed.
In compliance with S. Res. 178 directing the Senate Commission on
Art to update every six months a list of art and historic furnishings,
the office will work closely with the SAA and Senate Superintendent to
coordinate and submit a complete inventory to the Rules Committee.
Appropriate disposition of objects in the foreign gift collection
will be a priority. The office has established procedures for reviewing
and processing foreign gifts that will allow for quicker transfer of
objects and alleviate storage issues.
Microfiching of the fine art collection files and microfilming of
the Isaac Bassett papers will proceed. The office will continue with
the photography of the Senate Chamber desks. Clean-up of the historic
print and engraving data will be a high priority.
The next major publication will be a catalogue on the Senate's
graphic art collection. Similar in style to the recent fine art
catalogue, the United States Senate Catalogue of Graphic Art will
highlight the approximately 1,000 prints in the collection along with
essays by the Senate Curator and Associate Senate Historian. Other
publications scheduled for 2004 include: Bassett: The Venerable
Doorkeeper, presenting the career of Isaac Bassett and reproducing
passages from his papers, and a brochure on the Appropriations
Committee Room.
The office will begin installing information panels for important
Senate artworks, and standard labels for all fine art work will be
developed.
New internet exhibits will include sites on the Senate Chamber
desks, Isaac Bassett, and the United States Senate Catalogue of Fine
Art. The office also plans to begin publishing its historic engravings
on the web, opening that entire collection to public view for the first
time.
Regarding the Senate Preservation Program, the office will expand
its knowledge of architectural history through research and
documentation. The office will move forward on historic structures
reports for the Vice President's Room, Marble Room, and President's
Room, and work with the AOC on an HSR for the Senate Vestibule and
small Senate Rotunda. In the area of physical preservation, the office
will continue project oversight and documentation, and will move into
project development by identifying appropriate preservation treatments
and sequential tasks for the Senate Reception Room and S-238. In
conjunction with the AOC, the office will follow the existing AOC
project development procedure to accomplish the preservation goals for
these spaces.
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 the states. There are three branches within the
department. The technical training branch is responsible for providing
technical training support for approved software packages. This staff
provides instructor-led classes; one-on-one coaching sessions;
specialized vendor provided training, computer based training; and
informal training and support services. The professional training
branch offers 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 694 classes in
2003 with 6,916 Senate employees participating. The registration desk
handled 15,390 requests for training and documentation.
Of the above total, in the Technical Training area, 335 classes
were held with a total attendance of 1,799 students. An additional
1,126 staff received coaching on various software packages and other
computer related issues. Training was provided to virtually the entire
Senate community as the new Senate Mail Infrastructure was rolled out
through the year.
In the Professional Development area 359 classes were held with a
total attendance of 5,117 students. Individual managers and supervisors
were also encouraged to request customized training for their offices
on areas of need.
The Office of Education and Training is available to work with
offices on issues related to team performance, communication or
conflict resolution. During 2003, 40 requests for special training or
team building were met. Professional development staff also traveled to
State offices to conduct specialized training/team building during the
year.
In the Health Promotion area, 774 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 1,300 staff participated in the
Annual Health Fair held in October.
The Office of Education and Training also works with the Office of
Security and Emergency Preparedness to provide security training for
Senate staff. In 2003 the office coordinated 23 sessions of Escape Hood
Training for 1,359 Senate staff. The office also worked with the Office
of Security and Emergency Preparedness to mount a safety and security
curriculum, comprised of numerous topics related to security and
emergency preparedness.
State Training
Since most of the classes offered are only practical for
Washington, D.C. based staff, the Office of Education and Training
continues to offer the ``State Training Fair'' which first began in
March 2000. In 2003, three sessions of this program were offered to
state staff. There were 134 state staff participants. This office also
offered a State Directors Forum for the first time. This program was
designed specifically for the senior leaders in the Senators' state
offices. There were 42 participants. The office continues to offer
``Virtual Classroom,'' which is an internet based training library of
300+ courses. To date, 164 state office staff representing 59 Senators
are using 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; and 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. The SCCE
represents a defendant Senate office from the inception of a case
through U.S. Supreme Court review. The office handled all work in 2003
internally without the assistance of outside attorneys.
Union Drives, Negotiations And Unfair Labor Practice Charges
In 2003, the SCCE handled one union drive. The Office did the
following with respect to the union drive: trained managers and
supervisors regarding their legal obligations during a union campaign,
advised the client in selecting its representatives for the election,
conducted training sessions for the employer representatives regarding
improper conduct at elections, and conducted an investigation to
determine whether ground rules exist to challenge the election results.
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 2003, the SCCE
handled 5 OSHA complaint procedures.
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 2003, the SCCE
gave 75 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 suing, 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. The successful resolution of such
matters substantially reduces an office's liability.
Also, the SCCE advises and meets with Members, Chiefs of Staff,
Administrative Directors, Office 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 and 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
Pursuant to 2 U.S.C. 121(d), the Senate Gift Shop was established
in 1992 under administrative direction and supervision of the Secretary
of the Senate. With each successive year since its establishment, the
Senate Gift Shop has continued to provide outstanding products and
services that maintain the integrity of the Senate as well as increase
the public's awareness of the mission and history of the U.S. Senate.
The Gift Shop provides services to Senators, staff and employees of the
Senate, as well as 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 and
hard-to-find items, custom framing, gold embossing, engraving, and
shipping. Additional special services include the distribution of
educational materials to tourists and constituents visiting the Capitol
Building and Senate Office Buildings.
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 ten 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.
Sales Activity
The Senate Gift Shop recorded sales of $1,516,594.88 for fiscal
year 2003. Cost of goods sold during this same period were
$1,114,899.59, accounting for a gross profit of $360,172.97. Records
show total sales in fiscal year 2002 were $1,418,065.88. This
represents an increase in sales of $98,529.00 from fiscal year 2002 to
fiscal year 2003.
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, 2003, the balance in the revolving fund was $1,109,717.22
with on-hand inventory valued at $2,304,772.88.
A General Accounting Office (GAO) audit of the gift shop's fiscal
year 2002 sales transactions, requested by the Secretary, is in
progress and will be completed this year.
Additional Activity
One of the most important objectives for 2003 was replacing point-
of-sale and accounting software, Basic Four, which is more than 20
years old and no longer meets the increasingly unique needs of the Gift
Shop. (This old application was shared with the Stationery Room). A
contractor was selected to perform the system installation including
the required hardware for the new retail and financial management
system. The contract is nearing completion and cut-over to the new
system occurred in February 2004. The system is now in an acceptance
stage to ensure that all aspects are functioning properly.
The selected software package, Microsoft Retail Management Systems:
Headquarters, Store Operations and Great Plains Financial, was
purchased in late 2002. It is an off-the-shelf package that requires
little modification to meet the special technical requirements of
Senate Gift Shop operations. Currently, Gift Shop staff are creating
the necessary databases that will serve as the foundation for the new
retail system including inventory details, financial data and other
information required for detailed reports. Contractors are now training
Gift Shop staff on the new system and will continue to provide hardware
and software support after the cut-over date.
The installation of the required hardware--servers, computers,
monitors, and point of sale terminals--and software, is mostly
complete. The majority of hardware and software along with the support
services necessary for full implementation of the new system were
funded through fiscal year 2003 appropriations allocated to the
Secretary of the Senate. A few additional items, i.e., application user
fees, required funds which were appropriated in fiscal year 2004.
It is important to note that the new system will not only meet the
Gift Shop's current and near-future requirements, but it will also
accommodate potential add-on features.
Accomplishments and New Products in 2003
Official Congressional Holiday Ornaments
In 2003 the Senate Gift Shop introduced the second ornament in the
2002-2005 series, the third consecutive ``four-year ornament series.''
Each ornament features an architectural milestone of the Capitol
building 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, released in 2003, pictures a watercolor
of the Capitol as it appeared in 1834 as depicted by New York architect
Alexander Jackson Davis. In keeping with a Gift Shop tradition, the
authentic colors of the original watercolor were reproduced onto a
white porcelain stone and set with a brass frame finished in 24kt gold.
Holiday sales of the 2003 ornament were very good with additional
sales expected throughout 2004. Revenue from selling nearly 35,000 of
these ornaments has generated more than $40,000 in scholarship funds
for the Senate Child Care Center.
Porcelain ``Legislation'' Box
``Legislation'' was the second in a series of four porcelain boxes
that displays different images from the Constantino Brumidi fresco
painted on the ceiling of the President's Room in the Senate Wing of
the United States Capitol. The first box in the series, ``Liberty'' was
released in 2002. Each of the final two porcelain boxes will display
one of the two remaining allegorical figures, Executive and Religion,
in Brumidi's painting. The boxes will be released in late 2004 and late
2005, respectively.
Capitol Visitor Center (CVC) Coin Products
To better promote the CVC and to better showcase the CVC coins, the
Gift Shop incorporated coins into a variety of unique gift items. While
we have noticed an increase in coin sales due to the creation of these
items, we do not anticipate any substantial reduction of inventory
until the actual opening of the CVC. The items developed to date
include:
--CVC coins encased in Lucite paperweights, which have sold well
since their development last year.
--A variety of ladies' and men's wristwatches and pocket watches with
CVC coins serving as the face (developed by the Gift Shop and a
vendor/manufacturer).
--Introductions of additional items currently in development are
expected in 2004.
Senate Seal Watches
The ``official Senate watch'' is now provided by a different
manufacturer. The new men's and ladies' watches have the same look and
feel as the discontinued watches, with additional space on the
backplate for personalized engravings. The first shipment of watches
was received in December and is expected to be a popular gift item.
Projects and New Ideas for 2004
United States Senate Catalogue of Fine Art
The Gift Shop is working with the Senate Curator in order to secure
copies of the new publication, United States Senate Catalogue of Fine
Art.
Capitol Complex Trees
During the early construction stages of the CVC the Senate Gift
Shop arranged for the recovery of the felled trees from the grounds of
the Capitol complex. The recovered trees have been milled and kiln
dried. The resulting 12,000 board feet of cut lumber are being
temporarily stored in a warehousing facility.
While the Gift Shop continues researching ideas for products that
can be produced from the recovered trees, the general thought is to
create presentation pieces for official use and a variety of
collectors' items available for sale to the general public.
108th Congressional Plate
The series of Official Congressional Plates will continue this year
with the design, development, and manufacture of the 108th
Congressional Plate. As in previous years, the Gift Shop will rely on
Tiffany & Co. to produce the plates.
In addition we are creating a library of complementary designs and
artwork from which designs for future Congressional plates could be
chosen. This library will include mock-ups produced in conjunction with
the selection for the artwork chosen for the 108th Congressional Plate.
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 1,775 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 most former Senators, as well
as news photographs, editorial cartoons, photographs of committees in
session, and other images documenting Senate history. The Office
develops and maintains all historical material on the Senate website.
Editorial Projects
Executive Session Transcripts of the Permanent Subcommittee on
Investigations, 1953-1954.--The Historical Office completed editing,
annotating, and indexing 3,800 pages of previously unpublished
executive-session hearing transcripts produced by the Senate Permanent
Subcommittee on Investigations (PSI) under the chairmanship of Senator
Joseph R. McCarthy (1953-1954). In May 2003, the PSI released the
resulting five-volume work in both printed and electronic editions. The
transcripts received extensive national media attention.
The Senate Leader's Lecture Series.--From 1998 through 2002, the
Senate Majority Leader hosted a series of lectures on Senate
leadership. These talks, featuring former Senate presidents and party
floor leaders, were held in the Capitol's historic Old Senate Chamber
before an audience of current Senators and invited guests. The
Historical Office provided production and publication support for the
series, including a 188-page volume containing all nine lectures and
separate remarks by President Pro Tempore Strom Thurmond. That book,
entitled Leading the United States Senate, was published by the
Government Printing Office in September 2003.
The Documentary History of the United States Senate.--The
Historical Office is conducting an ongoing documentary publication
program to bring together in edited volumes fundamental source
materials that will help explain the development of the Senate's
constitutional powers and institutional prerogatives. Currently in the
research and writing stage are volumes on Senate impeachment trials,
the Senate's consideration of controversial treaties, and the evolution
of the Senate's standing rules.
Administrative History of the Senate.--During 2003, 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.
Biographical Directory of the U.S. Congress, 1774-present.--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, has expanded bibliography entries, and
has revised and updated most of the database's 1,875 Senate entries.
The assistant historian has updated the Congress-by-Congress listing of
members through the 108th Congress, in preparation for the new print
edition, and has completed the editing and proofing of existing
information to allow for expanded search capabilities on the online
version at http://bioguide.congress.gov.
Capitol Visitor Center Exhibition Content Development.--The Senate
historian assisted in preparing detailed plans for the exhibition
gallery of the Capitol Visitor Center. Three staff historians
contributed to exhibition scripts that set forth the chronological
history of the Senate and describe the role of Congress in helping to
realize the nation's basic aspirations.
Member Services
Senate Historical Minutes.--At the request of the Senate Democratic
Leader, the Senate historian prepared and delivered a ``Senate
Historical Minute'' at thirty-one Senate Democratic Conference weekly
meetings during the year. These four-hundred-word Minutes are designed
to enlighten members about significant events and personalities
associated with the Senate's institutional development, and with
familiar objects and places within the Capitol. They subsequently
appear each week in The Hill newspaper. The nearly 200 Minutes prepared
since 1997 are available as a feature on the Senate website.
Members' Office Records Management and Disposition Assistance.--The
Senate archivist continued her program of assisting 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 completed and the Senate published a
comprehensive revision of Records Management Handbook for United States
Senators and Their Archival Repositories together with a revised
pamphlet for Senate staff entitled ``Senators' Papers: Management and
Preservation Guidelines.'' The archivist assisted in the production of
an ``Opening an Office Handbook'' and produced a brochure, ``New
Senators Briefing: Your Historical Records.'' The archivist updated the
archival sections of the handbook, ``Closing a Senate Office.''
Committee Records Management and Disposition Assistance.--The
Senate archivist provided each committee with staff briefings, record
surveys, guidance in preservation of information in electronic systems,
and instructions for the transfer of permanently valuable records to
the National Archives' Center for Legislative Archives. 3,530 feet of
records were transferred to the Archives. The archivist completed a
review of records disposition guidelines for the offices under the
Secretary's jurisdiction. The Office's archival staff continued to
provide processing assistance to committees and administrative offices
in need of basic help with noncurrent files.
Association of Centers for the Study of Congress.--In May, the
Historical Office joined with the National Archives' Center for
Legislative Archives, and the Robert C. Byrd Center for Legislative
Studies to conduct a conference designed to establish an association of
university-based research centers devoted to the study of Congress. The
Association of Centers for the Study of Congress will conduct its first
meeting in May 2004. Among the centers involved 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.
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 J. Stanley Kimmitt,
former Secretary of the Senate; C. Abbott Saffold, former Democratic
Secretary; Jade West, former staff director of the Republican Policy
Committee; Tom C. Korologos, former staff of Senator Wallace Bennett
and White House congressional liaison; Arthur Rynearson, deputy Senate
Legislative Counsel; Alphonso Lenhardt, former Senate Sergeant at Arms;
and Martin Gold, procedural counsel to the Majority Leader.
Photographic Collections
The photo historian continued to expand the Office's 40,000-item
photographic collection, acquiring images of former Senators not
previously represented in the collection and photographing historically
significant Senate events, including hearings of Senate committees.
Digital images of frequently used photographs were created to promote
their use and safeguard the originals. Images are now being transmitted
to patrons via e-mail or CD, and can be printed onto photographic paper
in the Historical Office. The photo historian also continued to catalog
photographic negatives into an image database in order to increase
intellectual control over the Office's image collection. An exhibition
of Capitol photographs (1900-1950) was developed for display on the
Capitol's second floor.
Educational Outreach
In coordination with the Senate Office of Education and Training,
Historical Office staff provided seminars on the general history of the
Senate, women Senators, and Senate floor leadership. Office staff also
participated in seminars and briefings for specially scheduled groups.
On April 18, 2003, the Washington Post published a highly
complimentary feature-length article, ``Ensuring a Senate Inscribed in
History,'' on the operations of the Historical Office.
7. HUMAN RESOURCES
The Office of Human Resources (HR) was established in June 1995 as
a result of the Congressional Accountability Act. The Office focuses on
developing and implementing 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 and values. This includes recruiting
and staffing; providing guidance and advice to managers; training;
performance management; 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.
Classification and Compensation Review
For the Secretary of the Senate's operation, the Office of Human
Resources has conducted a complete classification and compensation
study which includes, for the first time, a comprehensive collection of
current job classifications and specifications for every position.
Furthermore, the pay plan and bands reflect the accurate and equitable
layout of all staff within the organization. Needs for the upkeep of
the system are being drafted to afford the Secretary the opportunity to
keep the system current.
Policies and Procedures
HR will continue to update and revise the Employee Handbook of the
Office of the Secretary. With nuances in employment law and other
advances, policies need to be reviewed, revised and updated annually.
In regard to potential violations of said procedures, the
Secretary, through HR and the Senate Chief Counsel for Employment, has
developed an effective method to coordinate inquiries.
Attraction and Retention of Staff
HR is responsible for the ongoing task of advertising new vacancies
or positions, screening applicants, interviewing candidates and
assisting with all phases of the hiring process. The office works
closely with the applicable department to ensure the process moves
smoothly and expeditiously. HR presents to the Secretary the
recommendations of department heads concerning payroll and hiring
actions.
Training
In conjunction with the Senate Chief Counsel for Employment, HR
prepares training for department heads and staff. Some of the training
topics include Sexual Harassment, Interviewing Skills, Conducting
Background Checks, Providing Feedback to Employees and Goal Setting.
Orientation of New Staff
Since 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 and
fosters a greater overall understanding of the Secretary's operation.
Interns and Javits Fellows
HR coordinates both the Secretary's internship program and the
Javits and Heinz Fellowship programs. The Javits program is due to
terminate in September 2004. The Heinz Fellowship is also due to
terminate at the end of this fiscal year. HR is aware that the Heinz
Foundation is currently working to secure reauthorization for the
program.
Employee Outreach, Feedback and Development
HR acts as a liaison for staff of the Secretary in soliciting and
receiving feedback, suggestions and insight in an effort to continually
improve processes and procedures.
A key to maintaining and improving performance standards, as well
as ensuring completion of organizational objectives, is providing
employee feedback. HR continues to work with the Executive Office and
department heads to establish objectives that reflect the mission of
the Senate and the Secretary's Office.
HR is in the process of obtaining feedback on the current Employee
Feedback and Development Program (EFDP) process. A new modified tool
will be created to encompass the recommendations and efficiencies
brought to light over the past two years.
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.
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 maintaining 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. The accrual rates for both sick
leave and annual leave, in conjunction with the manual attendance
tracking, proved a tedious task for all. HR has 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 taking leave. The supervisor approves the request and
forwards it to HR to be entered into the system. Staff will then have
access to their leave balances which will be accrued and maintained by
HR.
8. INFORMATION SYSTEMS
The staff of the Department of Information Systems provide
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 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, evaluate
new computer technologies, and implement next generation hardware and
software solutions.
Mission Evaluation
The primary mission of Information Systems Department is to
continue to provide the highest level of customer satisfaction and
computer support for all departments within the Office of Secretary of
the Senate. Emphasis is placed on the creation and transfer of
legislation to outside departments and agencies.
As in fiscal year 2002, improved procedures were adopted to stretch
support across all Secretary departments. With one exception, which
should be completed in June, all offices have been updated to the
Senate Mail Exchange Application as the principal e-mail application.
Individual offices that previously maintained cc:Mail post offices,
namely Public Records, the Stationery Room, and Page School, were
combined into one central Secretary Microsoft Exchange server located
at Postal Square.
For security reasons, 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 resources. Information System staff continue to
actively participate in all new project designs and implementations
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 Senate standard will shift to Microsoft Server 2000
operating system software in fiscal year 2004.
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 Sergeant at Arms whenever
required. The Secretary's network supports approximately 300 staff,
intern, and patron accounts in the Capitol, the Senate Hart, Russell,
Dirksen buildings, and the Page School.
Fiscal Year 2003 Highlights
Installed 3 LIS major production releases on all Legislative
workstations and laptops. In conjunction with the SAA Office of
Application Development, legislative software applications are updated
and revised on a continual basis. One notable enhancement in fiscal
year 2003 was the continuing design and development of the Senate
Journal application.
Replaced all Captioning Services workstations with improved
hardware and software applications and installed Secretary-Judiciary
workstation pilot hardware and software to support voice-to-text speech
recognition applications.
Renovated Gift Shop hardware and software workstations and servers
to implement improved point-of-sales operation.
Added Quantum Snap Server for existing Stationery server emergency
data backup operation.
Updated Official Reporter workstations to Windows 2000 operating
systems and improved high speed printing operations.
Installed new Library Oracle server and Web server on schedule in
July 2003; Senate Library catalog database deployment for intranet
operation is scheduled for 2004.
Deployed enterprise-wide virus-patch installation process to
automatically download Norton anti-virus definition files to Secretary
workstations. No legislative workstations were affected by the August
2003 outbreaks of the Blaster and Welchia viruses which distributed
security vulnerabilities for servers and workstations.
Deployed three major hardware COOP LIS operational upgrades. In May
2003, all legislative department heads were provided a laptop with
secure-id/VPN access to the Senate Network that mirrors their office
desktop operation. In October, a second set of laptops was deployed
off-site. In December a third mirrored set was installed at the
Alternate Chamber facility. The setup and installation of the January
2004 Alternate Chamber exercise utilized equipment from outside the
perimeter of the exercise site.
Installed and replaced original Secretary intranet development web
server. This server will function as the primary data warehouse for the
Office of Human Resources' People-Trak database. Networking routes have
been established for all Secretary department access to this web
server.
The Historical Office completed the McCarthy publication project
marking the 50th anniversary of these hearings. Digital scanning
techniques implemented and adopted three years ago by our office
continue to be utilized in all Secretary departments.
Fiscal Year 2004 Objectives
Implementation of the SAA Active Directory Redesign project in 2004
will present a rapid change in server-client hardware and software
functionality for all Secretary offices. System requirements have been
developed and forwarded to SAA to meet and provide continual
application growth for all departments. This change in networking
structure will allow Information System staff to migrate from a SINGLE-
LAN support group to an Enterprise-Level support organization--as
extending the flexibility of available support to all departments is
vital to the IT growth within the Office of the Secretary.
9. INTERPARLIAMENTARY SERVICES
The Office of Interparliamentary Services (IPS) has completed its
22nd year of operation. 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; and British-American
Interparliamentary Group.
Two additional interparliamentary conferences were created in 2003
which will meet for the first time this year. The new conferences are
United States-Russia and United-States China Interparliamentary Group.
In June, the 42th Annual Meeting of the Mexico-U.S.
Interparliamentary Group was held in Tennessee. In July, the British-
American Interparliamentary Group meeting was held in Virginia.
Arrangements for both of these successful events 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 45nd Annual Meeting of the Canada-U.S.
Interparliamentary Group to be held in the United States in 2004.
Advance work, including site inspection, will be undertaken for the
44nd annual Mexico-U.S. Interparliamentary Group meeting to be held in
the United States in 2005. 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
collection encompasses legislative documents beginning with the
Continental Congress in 1774; current and historic executive and
judicial branch materials; and an extensive book collection on American
politics, history, and biography. Collection resources also include a
wide array of online systems used to provide nonpartisan, confidential,
timely, and accurate information services to the Senate.
Notable Achievements
Information Services inquiries increased more than 14 percent over
2002 totals.
Significant progress made toward making online catalog available
Senate-wide.
Submitted proposal to Sergeant at Arms for off-site storage
facility.
XML-generated tables posted on Senate.gov, LIS, and Webster from a
single file.
Senate Floor Schedule on Senate.gov posted nightly by Library
staff.
Deaccessioned and transferred to the Federal Depository Program
24,293 outdated, superseded, and surplus government documents.
Information Services
Senate.gov and the Legislative Information System (LIS)
The Senate Library's role in the production of www.senate.gov
significantly expanded in 2003. The Information Services Team focused
on increasing their knowledge and skills with the latest Internet
technologies. Each librarian accepted additional responsibility to
research, write, edit, and post time-sensitive information on the
Senate's official public Internet site. Reference Librarians worked
closely with the Webmaster to coordinate and plan the rapidly growing
site.
The Senate Library is dedicated to creating an Internet site that
provides up-to-the-minute, well-organized information to dual
audiences, both Senate offices and the general public. Presentation of
timely information on Senate.gov, enhanced by Library-authored
navigational guides, significantly improves the Senate's ability to
disseminate information. The most popular Senate Library-authored pages
on Senate.gov and LIS had 348,198 visitors in 2003.
VISITORS TO SENATE LIBRARY--AUTHORED SENATE.GOV AND LIS PAGES
------------------------------------------------------------------------
Active Legislation on Senate.gov........................... 95,301
Reference on Senate.gov.................................... 192,725
Virtual Reference Desk on Senate.gov....................... 41,301
Hot Bills List on LIS...................................... 12,353
Appropriations Tables, Fiscal Year 1987-2004 on LIS........ 6,518
------------
TOTAL................................................ 348,198
------------------------------------------------------------------------
Librarians are critical in the development of information
architecture, which is the underlying organization system for an
Internet site. Well-designed information architecture greatly improves
the workflow of adding new information and also makes it easier to
locate existing information. Examples are numerous, but they include
Active Legislation and the Virtual Reference Desk. These pages provide
valuable gateways to thousands of legislative documents, articles,
biographies, statistical tables, and works of art categorized by key
topics. The addition of the important ``teasers,'' help visitors
navigate through more than 10,000 pages of information on Senate.gov.
The Library continues to serve as the official LIS Help Desk for
Senate staff and provides LIS training sessions in conjunction with the
Office of Education and Training. Reference Librarians participated in
15 LIS training events for Senate staff during 2003.
Patron Services and Document Delivery
Inquiry statistics for phone, fax, e-mail, and walk-in visitors
increased more than 14 percent in 2003 (46,234), surpassing the target
of a 3 percent increase over 2002 totals (40,359). Visitors to Library-
produced pages on Senate.gov and LIS are factored into the inquiry
statistics this year for the first time, having both the effect of more
accurately reflecting and dramatically increasing the 2003 inquiry
total (394,432).
INFORMATION SERVICES INQUIRY STATISTICS
------------------------------------------------------------------------
Phone, Fax, E-mail Requestors.............................. 34,081
Walk-in Visitors........................................... 12,153
Visitors to Senate Library-Authored Senate.gov and LIS 348,198
Pages.....................................................
------------
TOTAL................................................ 394,432
------------------------------------------------------------------------
Library activity is also reflected by the number of photocopies
produced (156,891) and the number of pages printed (6,945) in the
Micrographics Center. Technology that scans documents from the
Library's extensive microform collection of congressional and executive
materials, newspapers, and magazines has become a popular tool. It
enables staff to post copies of historic documents on Senate.gov or e-
mail them directly to researchers. Use of these technologies decreased
the number of information packages hand-delivered to Senate offices
(4,078), loaned books and documents (1,664), and outgoing faxes
(2,747).
Webster
The librarians have forged a well-deserved reputation on Capitol
Hill as authorities in the field of information service and are
frequently asked for consultation. In 2003 administrators of the
Sergeant at Arms' Senate Information Services (SIS) program relied upon
the Senate Library to thoroughly review the online version of the
Leadership Directories before purchasing a Senate-wide license. A
second major project involving the reference librarians was their
participation in a SIS project to identify a replacement for the
outdated News Edge system on Webster. The Library also agreed to serve
as the Search Help Desk to assist all Senate staff in the use of
commercial research tools provided by SIS via the Front Page on
Webster. Serving as the Search Help Desk requires that each member of
the Information Services Team maintain expert search skills for
LexisNexis, WestLaw, ProQuest, Leadership Directories, Congressional
Quarterly, Bureau of National Affairs, National Journal, Federal
Document Clearinghouse, Associated Press, and Reuters.
Client Relations
The Library hosted 27 client relations staff events during 2003,
including quarterly Services of the Senate Library Seminars, a State
Fair, five District-State Seminars, monthly New Staff Seminars, and a
reception for office managers and chief clerks. The Library also
conducted two special seminars for the Senate Page School. New
borrowing accounts established for 350 Senate staff during 2003 reflect
the success of the Library's public relations program.
The Senate Library is proud to have a reputation among information
professionals and researchers. Tours and demonstrations during 2003
brought 68 individuals from organizations including the annual
Depository Library Conference, University of North Carolina, Federal
Library and Information Center Committee, and the University of
Maryland. Tours and research assistance was extended to foreign
visitors from Brazil, Japan, Russia, Egypt, England, and Hong Kong.
This is the sixth year that the Library hosted National Library
Week activities. This year's book talk featured Senator Dale Bumpers
who spoke about his autobiography, The Best Lawyer in a One-Lawyer
Town: A Memoir. More than forty staff enjoyed his candid reminiscences
of past and current political figures. The annual dessert reception
brought an additional 115 Senate staff to the Library. These annual
events are excellent public relations tools that are enjoyed by
frequent Library users and by new Senate staff.
Library staff produced three new display cases in the Russell
Building corridor in 2003. The new displays included What Hath God
Wrought: Communication Technology in the Senate. The display documents
the use of television, radio, telephone, and telegraph in the Senate
since Samuel F.B. Morse transmitted the first official telegraph
message from the Capitol in 1844. A second display was the Signers of
the Declaration of Independence. The display features a first-edition
copy of Annual Register, or a View of the History, Politics, and
Literature, for the Year 1776--significant because the first printing
of the Declaration of Independence in a book is in this edition. The
recently unveiled portrait and historic accomplishments of Senator
Blanche Kelso Bruce, the second black Senator in history and the only
former slave to serve in the United States Senate, was the third
display for 2003.
Technical Services
Acquisitions
Two significant collections of historic congressional documents
were added to the permanent collection in 2003. The Unpublished U.S.
House Committee Hearings 1969-1972 and 1945-1968 Supplement, produced
by the Congressional Information Service, is a microfiche collection of
1,180 hearing transcripts that were previously only available at the
National Archives. In addition, copies were made of legislative
calendars for the Senate Committee on Rules and Administration and the
Senate Committee on Veterans Affairs, dating from the mid-1930s, which
had previously only been available in committee libraries.
A book acquisitions committee has been established to implement a
collection development policy in the Library. Members of the committee
include the Acquisitions Librarian, several members of the Information
Services team, and the Librarian. The committee meets monthly to review
each potential acquisition for content, cost, scholarliness, and value
to the permanent collection.
The Library added 11,698 books, congressional and executive branch
documents, and microforms to the permanent collection in 2003. New
materials include 1,034 books, 7,188 congressional documents, and 3,476
executive branch publications. Statistics for books and standing orders
are reported in a single category as of 2003, which more accurately
reflects the cataloging and processing workload.
Cataloging
Major progress was made in 2003 that will enable the Senate
community to access the Library's online catalog via Webster. Two
Windows 2000 catalog servers were received in August and the Oracle
catalog database was transferred to the primary server on December 3,
2003. The new technology significantly upgraded system administration
by improving backup and remote management functions. Software and
licenses have been ordered for the secondary server that will reside at
the Senate Computer Center in Postal Square. The Library's online
catalog provider, the Library Corporation (TLC) installed the secondary
server in early January 2004. The secondary server will provide patron
access to the online catalog, and will be available by the fourth
quarter of 2004.
The Library's catalog database was rebuilt and significant
workstation upgrades were completed in early 2003. Improvements include
automated temporary circulation record deletion; expanded printer
support; integrated e-mail notification; catalog support of search
history, new title searches, and results sorting; full authority record
editing; multiple ISBN (International Standard Book Numbers) indexing;
and the ability to mask collections from public display. Additional
databases improvements made during 2003 are the correction of improper
title truncation, and a rebuild of the keyword title index that
provides greater flexibility in the modification and display of
records.
There are a total of 151,930 searchable bibliographic items in the
Library's online catalog. The cataloging team added 7,524 new items to
the catalog, and deleted 11,225 items. The item total represents 4,355
new titles and 3,169 updates to existing collections. To maintain
quality control standards, 50,367 maintenance transactions were
completed during 2003. Those transactions include creating and editing
authority records, editing existing records, barcoding new volumes,
editing PURLs (Persistent Uniform Record Locators) for electronic
resources, withdrawing records for discarded materials, and deleting
temporary loan records.
The multi-year project focusing on the cataloging of rare
congressional materials continued during 2003. These nineteenth and
early twentieth century Senate treaty documents, executive reports, and
committee publications may be the only copies in existence. The large
number of original cataloging records and subject headings required for
this project led to Senate Library participation in the Library of
Congress' National Authorities Cooperative Program (NACO). NACO
establishes the official subject headings used in catalogs for the
majority of the academic, public, and professional libraries in the
United States. The Senate Library is one of 179 institutions, including
the largest and most prestigious academic institutions in the country,
that participates in NACO. The Library contributed 489 new subject
headings related to congressional committees, subcommittees,
nominations, and treaties during 2003.
Government Documents Collection
This is the third year of the Library's review of documents
received through the Government Printing Office's (GPO) Federal
Depository Library Program (FDLP). The review team includes staff from
all Library departments and the goal is to deaccession outdated,
superseded, and surplus government documents. In 2003, 24,293 items
were withdrawn from the collection. Items withdrawn from the Senate
Library collection are offered to FDLP libraries throughout the United
States. 20,818 (88 percent) of those have been accepted by other
institutions.
The review team also deselected 293 publication series from FDLP in
2003. Documents selected to remain in the collection will be cataloged
according to the Library of Congress classification system, replacing
of Superintendent of Documents system. The cataloging team reclassified
179 titles in 2003, and looks forward to completely integrating
classification of the primary book and government document collections.
Access to core government documents formerly received through FDLP
has not been compromised by these cancellations. Increased availability
to these materials through agency and department Internet sites allows
libraries to print information on-demand. The reduction of GPO-issued
items in tangible formats is evident by the 180 percent decrease in
government documents received in 2003. The positive impacts of this
technological advance include increased physical space, reduced staff
time processing materials, and the Library's online catalog serving as
a gateway to government-wide information.
Collection Maintenance and Preservation
On April 17, 2003, a water leak was discovered that caused
significant damage to several hundred books in SR-B14. The damaged
books were immediately moved to alternate sites to be dried. Sheet
plastic from the Library's disaster kits was used to protect adjacent
areas from additional damage. Judging from the extent of the wicking,
the leak probably began several days earlier. The Superintendent's
Office replaced a section of pipe, but the original source of the leak
was never determined. Several dozen volumes were purchased to replace
the unsalvageable items. Installation of water detection alarms and
containment trays by the AOC is anticipated in fiscal year 2005.
Warehouse
Library staff met with SAA staff and their consultants concerning
the Library's off-site storage requirements. The initial June 23, 2003
meeting set the framework for a draft warehouse plan that met the
Library's needs. The Library's proposal for a new facility calls for
added security, increased shelving, and improved environmental
conditions. In anticipation of a move from the existing warehouse,
Library staff and summer interns packed 14,000 books. Volumes
determined to be in poor condition were set aside for cleaning and
repair by the Office of Conservation and Preservation. Several excess
collections were transferred to the Regional Depository Library at the
University of Maryland.
Administrative
Budget
The seventh year of budget reviews delivered minimal reductions
totaling $1,285. This is the lowest amount since the annual reviews
began in fiscal year 1997. During that time, the reviews have
eliminated duplicate copies, titles available through online services,
and materials not meeting the Senate's current needs. This has resulted
in $59,930.34 in cancellations, which have been critical in offsetting
annual cost increases for core materials. The collection and
acquisitions program now better meet the information demands of today's
Senate. The goal is to provide the highest level of service using the
latest technologies and best resources in the most cost-effective way.
Professional Staff Development
During 2003, Library staff participated in 142 training sessions,
workshops, and professional development seminars. New Library staff
have a particularly active training schedule and veteran staff are
required to maintain and upgrade skill levels. In addition to classes
on news and legal databases, technical training sessions included
Microsoft Excel, CQ Online, CQ Votes, Homesite, Wilson Web Bio, Dialog,
Data Harmony, XML, Newswire, Powerpoint, and Writing for the Web.
Technical Services staff attended several skill enhancement classes
including MARC content designation, taxonomy, and OCLC authorities.
Research classes included courses on legislation, law, treaties,
copyrights, and the CRS Advanced Legislative Process Institute. Other
staff activities included tours to the National Archives, Pentagon
library, Senate Recording Studio, Senate Legal Counsel, Senate
Judiciary Committee library, the United Nations library, Computers in
Libraries conference, and the annual Special Libraries Association
conference.
Interns
Summer interns completed several key projects. These included
boxing 11,500 volumes of the Congressional Serial Set and copying
historic Senate committee calendars for the permanent collection. The
interns also identified House hearings and committee prints missing
from the Library collection. Copies of missing titles were received
from the committees.
Unum, Newsletter of the Office of the Secretary of the
Senate
The Secretary's quarterly newsletter was established in October
1997 and has been produced by Senate Library staff since May 2000. With
a distribution to approximately 1,000 readers, Unum serves as an
historic record of accomplishments, events, and personnel in the Office
of the Secretary of the Senate. The Summer 2003 issue of Unum was the
first full-color issue.
Major Library Goals for 2004
Provide Senate-wide access to the Library's catalog via Webster.
Implement navigation and organization design improvements on
Senate.gov.
Prepare updates to Senate Votes on Cloture Motions (Senate Print
99-95) and ANecrology of United States Senators.
2003 ACQUISITIONS
----------------------------------------------------------------------------------------------------------------
Books Government Congressional Publications
------------------- Documents -------------------------------------
------------------ Repts/ Total
Ordered Received Paper Fiche Hearings Prints Bylaw Docs
----------------------------------------------------------------------------------------------------------------
January...................... 23 57 310 77 301 23 41 202 1,011
February..................... 23 48 242 56 261 23 23 133 786
March........................ 25 61 169 35 233 37 37 200 772
----------------------------------------------------------------------------------
1st Qtr................ 71 166 721 168 795 83 101 535 2,569
==================================================================================
April........................ 67 110 182 145 333 37 39 274 1,120
May.......................... 40 135 165 71 248 32 43 284 978
June......................... 22 82 163 115 313 21 60 277 1,031
----------------------------------------------------------------------------------
2nd Qtr................ 129 327 510 331 894 90 142 835 3,129
==================================================================================
July......................... 32 78 227 71 191 15 58 525 1,165
August....................... 20 62 150 89 318 16 60 270 965
September.................... 3 57 248 88 178 14 52 349 986
----------------------------------------------------------------------------------
3rd Qtr................ 55 197 625 248 687 45 170 1,144 3,116
==================================================================================
October...................... 41 74 244 82 296 17 48 263 1,024
November..................... 33 177 139 52 225 14 64 99 770
December..................... 26 93 245 111 274 17 71 279 1,090
----------------------------------------------------------------------------------
4th Qtr................ 100 344 628 245 795 48 183 641 2,884
==================================================================================
2003 Total............. 355 1,034 2,484 992 3,171 266 596 3,155 11,698
2002 Total............. 263 628 2,287 1,083 3,094 152 576 1,977 9,797
==================================================================================
Percent Change............... 34.98 64.65 8.61 -8.40 2.49 75.00 3.47 59.59 19.40
----------------------------------------------------------------------------------------------------------------
2003 CATALOGING
----------------------------------------------------------------------------------------------------------------
New Titles Cataloged
LIS ------------------------------------------------------------
Hearing Government Congressional Publications Total
Numbers Documents ------------------------------ Titles
Added Books -------------------- Docs/ Cataloged
Paper Fiche Hearings Prints Pubs
----------------------------------------------------------------------------------------------------------------
January........................ 21 25 14 4 261 10 29 343
February....................... 30 30 14 10 222 14 16 306
March.......................... 38 32 16 4 272 21 2 347
--------------------------------------------------------------------------------
1st Qtr.................. 89 87 44 18 755 45 47 996
================================================================================
April.......................... ........ 46 21 10 144 4 49 274
May............................ 33 30 21 ........ 138 54 ........ 243
June........................... 3 66 12 18 88 92 15 291
--------------------------------------------------------------------------------
2nd Qtr.................. 36 142 54 28 370 150 64 808
================================================================================
July........................... 2 45 20 2 548 32 40 687
August......................... 39 37 10 1 105 42 13 208
September...................... ........ 58 13 31 375 113 55 645
--------------------------------------------------------------------------------
3rd Qtr.................. 41 140 43 34 1,028 187 108 1,540
================================================================================
October........................ 5 70 6 ........ 305 63 33 477
November....................... ........ 78 9 ........ 101 43 16 247
December....................... 50 101 3 1 154 2 26 287
--------------------------------------------------------------------------------
4th Qtr.................. 55 249 18 1 560 108 75 1,011
================================================================================
2003 Total............... 221 618 159 81 2,713 490 294 4,355
2002 Total............... 99 430 488 183 2,873 123 461 4,558
================================================================================
Percent Change................. 123.23 43.72 -67.42 -55.74 -5.57 298.37 -36.23 -4.45
----------------------------------------------------------------------------------------------------------------
2003 DOCUMENT DELIVERY
----------------------------------------------------------------------------------------------------------------
Micrographics Photocopies
Volumes Materials Faxes Center Pages Pages
Loaned Delivered Printed Printed
----------------------------------------------------------------------------------------------------------------
January...................................... 141 404 202 637 11,718
February..................................... 102 219 200 560 9,989
March........................................ 146 274 300 651 9,648
------------------------------------------------------------------
1st Qtr................................ 389 897 702 1,848 31,355
==================================================================
April........................................ 167 403 300 286 14,293
May.......................................... 162 507 223 323 15,204
June......................................... 190 522 309 1,774 20,349
------------------------------------------------------------------
2nd Qtr................................ 519 1,432 832 2,383 49,846
==================================================================
July......................................... 136 423 260 921 20,551
August....................................... 119 206 169 232 9,376
September.................................... 130 334 199 276 12,484
------------------------------------------------------------------
3rd Qtr................................ 385 963 628 1,429 42,411
==================================================================
October...................................... 137 293 254 144 15,767
November..................................... 115 250 209 781 10,408
December..................................... 119 243 122 360 7,104
------------------------------------------------------------------
4th Qtr................................ 371 786 585 1,285 33,279
==================================================================
2003 Total............................. 1,664 4,078 2,747 6,945 156,891
2002 Total............................. 1,952 4,467 7,148 4,421 132,903
==================================================================
Percent Change............................... -14.75 -8.71 -61.57 57.09 18.05
----------------------------------------------------------------------------------------------------------------
11. SENATE PAGE SCHOOL
The United States Senate Page School provides a smooth transition
from and to the students' home schools, and offers those students a
sound program, both academically and experientially, during their stay
in the Nation's Capital, balancing a unique work situation with the
Senate's demanding schedule.
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 6, 2003, and January 23,
2004, the last day of school for each semester.
Orientation and course scheduling for the Spring 2003 and Fall 2003
pages were successfully completed. Needs of incoming students
determined the semester schedules.
Extended educational experiences were provided to pages. Twenty
field trips, four guest speakers, opportunities to compete in writing
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. Sixteen 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
Sergeant at Arms, Secretary of the Senate, Party Secretaries, Page
Program, and Page School continues and policies of the program have
been reviewed.
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, Kuwait, Iraq, and the USO
in Frankfurt, Germany (where distribution of the boxes to troops
enroute to war zones take place). Pages included letters of support to
the troops participating in Operation Enduring Freedom.
The evacuation and COOP plans have been reviewed and updated. Pages
and staff continue to practice evacuating to primary and secondary
sites. Staff, tutors and pages participated in escape hood training.
Staff were retrained in CPR and certified in First Aid and AED use.
Updated materials/equipment were purchased. These included a DVD
player, calculus textbooks and support software, English and history
textbooks, chemistry and physics probeware kits, textbooks with support
software and site license, and teacher resource material.
Summary of Goals
For the coming year, the goals of the administration and staff of
the Senate Page School 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.
--Staff development options will include attendance at a ``Learning
and the Brain'' conference, seminars conducted by Education and
Training, and subject matter conferences conducted by national
organizations.
--Facility re-design to maximize space will be completed.
--Upgrading science laboratory equipment will continue allowing micro
labs and reducing quantities of supplies used.
--Review of technology applications for classroom use will be
completed.
--Continuation of the community service project.
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.
During fiscal year 2003, the OPDS prepared 5,334 printing and
binding requisitions authorizing 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 is able to review and assure accurate GPO
invoicing as well as play an active role in helping to provide the best
possible bidding scenario for Senate publications.
In addition to processing requisitions, the Printing Services
Section coordinates job scheduling, proof handling and job 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,
including the Curator, Historian, Disbursing, Legislative Clerk, Senate
Library as well as the U.S. Botanic Garden, U.S. Capitol Police and
Architect of the Capitol. Last year's major printing projects included
the Report of the Secretary of the Senate, an expanded Leader's Lecture
Series book, as well as a 500 page four-color case bound book the
``U.S. Senate Catalogue of Fine Art.'' Current major projects for the
office include a new full color version of the ``History of the U.S.
Botanic Garden 1861-1991.''
Hearing Billing Verification
Billing verifications are how reporting companies request payment
from a Senate committee for transcription services.
During 2003, OPDS provided commercial reporting companies and
corresponding Senate committees a total of 975 billing verifications of
Senate hearings and business meetings. This translated to an average of
51.3 hearings/meetings per committee, a 2.6 percent increase over 2002
and also represented over 70,000 transcribed pages at a total billing
cost of over $460,000.
OPDS utilizes a program developed in conjunction with the Sergeant
at Arms Computer Division that (a) provides more billing accuracy and
greater information gathering capacity and (b) 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 2003, the office increased the
efficiency and accuracy of the system by sending files and billing
verifications electronically between committees and reporting
companies. Department staff continue training to apply today's
expanding digital technology to improve performance and services.
HEARING TRANSCRIPT AND BILLING VERIFICATIONS
----------------------------------------------------------------------------------------------------------------
PERCENT
2001 2002 2003 CHANGE 2003/
2002
----------------------------------------------------------------------------------------------------------------
Billing Verifications....................................... 1,004 952 975 2.4
Average per Committee....................................... 48 50 51.3 2.6
Total Transcribed Pages..................................... 72,799 71,558 70,532 -1.5
Average Pages/Committee..................................... 3,467 3,766 3,712 -1.5
Transcribed Pages Cost...................................... $479,921 $471,807 $461,807 -2.2
Average Cost/Committee...................................... $22,853 $24,832 $24,288 -2.2
----------------------------------------------------------------------------------------------------------------
Additionally, the Service Center within OPDS is staffed by
experienced GPO detailees who 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 and 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 GPO. This section
ensures that the most current version of all material is available, and
that sufficient quantities are available to meet projected demands.
DOCUMENT SERVICES--CONGRESSIONAL RECORD
----------------------------------------------------------------------------------------------------------------
2001 2002 2003
----------------------------------------------------------------------------------------------------------------
Total Pages Printed............................................. 25,051 29,690 33,094
For the Senate.............................................. 14,084 14,489 16,835
For the House............................................... 10,967 15,201 16,259
Total Copies Printed and Distributed............................ 1,300,000 1,268,603 1,199,402
To the Senate............................................... 318,572 439,953 307,917
To the House................................................ 459,477 301,383 441,735
To the Executive Branch and the Public...................... 492,915 532,813 449,750
Total Production Costs.......................................... $15,428,530 $13,488,381 $20,143,538
Senate Costs................................................ $7,452,933 $6,339,539 $9,886,805
House Costs................................................. $7,333,134 $6,609,307 $9,563,592
Other Costs................................................. $642,462 $539,535 $693,141
Per Copy Cost................................................... $12.14 $12.14 $16.79
----------------------------------------------------------------------------------------------------------------
In 2003, a total of 33,094 pages were printed in the Congressional
Record. Of this total, 16,835 pages were printed for the Senate, and
16,259 pages were printed for the House of Representatives. These page
counts are comprised of the Proceedings of the Senate and the House of
Representatives, Extension of Remarks, Digest and miscellaneous pages.
This is 3,404 pages more than were produced in 2002, an increase of
11.4 percent. A total of approximately 1.2 million copies of the
Congressional Record was printed and distributed in 2003. The Senate
received 307,917 copies, the House 441,735, with the remaining 449,750
delivered to the Executive Branch agencies and the public at large.
OPDS continually tracks demand for all classifications of
Congressional legislation. Twice a year the office adjusts the number
of documents ordered by classification. The goal is to adjust numbers
ordered in each classification to closely match demand and thereby
reduce waste. In recent years with the advancement of document
availability online, the OPDS has taken a more aggressive approach to
reducing waste of less requested legislation. The office supplements
depleted legislation 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 2003, the DocuTech Center
produced 803 tasks for a total of 971,077 printed pages, a production
increase of 22 percent over 2002.
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, phone, and online.
Recorded messages, fax, and e-mail operate around the clock and are
processed as they are received, as are mail requests. The office
stresses prompt, courteous and accurate answers to the various public
and Senate requests.
SUMMARY OF ANNUAL STATISTICS
----------------------------------------------------------------------------------------------------------------
CALENDAR YEAR CONGRESS/SESSION PUBLIC MAIL FAX REQUEST E-MAIL COUNTER REQUEST
----------------------------------------------------------------------------------------------------------------
2.00020e+15.................. 106/2nd......... 4,066 3,129 112 9.51869e+19
107/1st......... 3,449 2,093 621
107/2nd......... 3,637 1,866 662
108/1st......... 1,469 2,596 735
----------------------------------------------------------------------------------------------------------------
Online Ordering
The past year brought significant changes in providing new services
and improving existing ones. For example, OPDS has continually sought
to improve the efficiency and utility of the Secretary of the Senate's
homepage. Beginning in late 2000, Senate offices, by way of a link to
the Webster, could order legislative documents online. Via the same
link, it is also possible to confirm arrival of printed copies of the
most sought after legislative documents. The site is updated several
times daily and each time new documents arrive from GPO in the Document
Room. In 2003 that process was expanded to provide the capability of
online ordering of blank paper. This is but one model of OPDS
continuing to seek new ways to use technology to assist Members and
staff with added services and enhancements.
13. 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; and 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 2002, through September 2003, the Public
Records office staff assisted more than 2,000 individuals seeking
information from reports filed with the office. This figure does not
include assistance provided by telephone, and assistance given to
lobbyists attempting to comply with the provisions of the Lobbying
Disclosure Act of 1995. A total of 95,314 photocopies were 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 the filing requirements of the
aforementioned Acts and Senate rules.
Fiscal Year 2003 Accomplishments
The office developed a manual detailing the policies and procedures
of the Public Records revolving fund for the purpose of producing a
financial statement. At the Secretary's request, GAO also performed an
audit of the revolving fund which revealed no discrepancies. Public
Records also completed a transition to the next generation of scanning
technology by replacing old hardware, and updating software.
Plans for Fiscal Year 2004
The Public Records office is revising and improving the lobbying
pages on senate.gov based upon recommendations of an independent survey
of North American disclosure web sites.
Automation Activities
During fiscal year 2003, the Senate Office of Public Records
automated the Gift Rule filings and the Mass Mailing registrations. In
the event of an emergency, these filing registrations are easily
accessible off site. The office also started a project to automate the
foreign travel reports required by the Mutual Security Act of 1954.
Federal Election Campaign Act, as Amended
The Act requires Senate candidates to file quarterly reports.
Filings totaled 4,238 documents containing 232,442 pages.
Lobbying Disclosure Act of 1995
The Act requires semi-annual financial and lobbying activity
reports. As of September 30, 2003, 6,112 registrants represented 15,317
clients and employed 24,872 individuals who met the statutory
definition of ``lobbyist.'' The total number of lobbying registrations
and reports was 40,877.
Public Financial Disclosure
The filing date for Public Financial Disclosure Reports was May 15,
2003. The reports were available to the public by June 13, 2003. Copies
were provided to the Select Committee on Ethics and the appropriate
State officials. A total of 2,545 reports and amendments was filed
containing 14,481 pages. There were 316 requests to review or receive
copies of the documents.
Senate Rule 35 (Gift Rule)
The Senate Office of Public Records received over 1,233 reports
during fiscal year 2003.
Registration of Mass Mailing
Senators are required to file mass mailings on a quarterly basis.
The number of pages was 487.
14. SENATE SECURITY
The Office of Senate Security (OSS) is responsible for the
administration of classified information 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 fifty Senate employees held one or more security
clearances at the end of 2003. This number does not include clearances
for employees of the Architect of the Capitol or clearances for
Congressional Fellows assigned to Senate offices, which are also
processed by OSS.
In the past year, OSS processed 2,418 personnel security actions, a
31.9 percent increase from 2002. One hundred twenty investigations for
new security clearances were initiated last year, and 87 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 58 Senate employees. OSS processed 71 routine terminations of
security clearances during the reporting period and transmitted 322
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 by 66.7 percent relative to 2002.
Security Awareness
OSS conducted or hosted 79 security briefings for Senate staff.
Topics included information security, counterintelligence, foreign
travel, security managers' responsibilities, office security
management, and introductory security briefings. This represents an
increase of 1.3 percent from 2002.
Document Control
OSS received or generated 2,668 classified documents consisting of
79,931 pages during calendar year 2003. This is an increase of 10.3
percent in the number of documents received or generated in 2002.
Additionally, 60,873 pages from 3,263 classified documents no longer
required for the conduct of official Senate business were destroyed.
This represents a 0.6 percent increase in destruction. OSS transferred
754 documents consisting of 30,149 pages to Senate offices or external
agencies. 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 6,685 document transactions and handled over
170,953 pages of classified material in 2003, an increase of 5.5
percent.
Secure storage of classified material in the OSS vault was provided
for 106 Senators, committees, and support offices. This arrangement
minimizes the number of 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 1,375 occasions
during 2003. In July, the smallest OSS conference room was converted to
a computer and storage room. This was necessitated by changes in office
space and loss of computer connections previously supplied by the House
Permanent Select Committee on Intelligence, both due to the Capitol
Visitor Center (CVC) construction. This has somewhat limited the number
of people who could be allowed to read or use classified computer
systems when other rooms were in use. Even with the loss of this room,
use of OSS conference facilities increased 77 percent over 2002 levels.
Eight hundred thirty-eight meetings, briefings, or hearings were
conducted in OSS' three conference rooms. Of those, forty were ``All
Senators'' briefings. OSS also provided secure telephones, secure
computers, secure facsimile machine, and secure areas for reading and
production of classified material on 537 occasions in 2003 to Senators
and staff.
15. STATIONERY ROOM
The Senate Stationery Room's principal functions are to sell
stationery items for use by Senate offices and other authorized
legislative organizations, including:
--selecting a variety of stationery items to meet the needs of the
Senate environment on a day-to-day basis and maintain a
sufficient inventory of these items;.
--purchasing supplies utilizing open market procurement, competitive
bid and/or GSA Federal Supply Schedules;
--maintaining individual official stationery expense accounts for
Senators, Committees, and Officers of the Senate;
--rendering monthly expense statements;
--insuring receipt of reimbursements for all purchases by the client
base via direct payments or through the certification process;
--making payments to all vendors of record for supplies and services
in a timely manner and certifying receipt of all supplies and
services; and
--providing delivery of all purchased supplies to the requesting
offices.
------------------------------------------------------------------------
Fiscal Year Fiscal Year
2003 2002
Statistical Statistical
Operations Operations
------------------------------------------------------------------------
Gross Sales............................ $4,843,716 $4,628,342
Sales Transactions..................... 61,140 61,479
Purchase Orders Issued................. 7,545 6,218
Vouchers Processed..................... 8,689 7,376
Metro Fare Media Sold.................. 52,279 41,558
$20.00 Media....................... 46,260 36,943
$10.00 Media....................... 3,023 1,978
$5.00 Media........................ 2,996 2,637
------------------------------------------------------------------------
Operational Growth
As indicated in the above statistics, the Stationery Room operation
continues its progressive growth pattern with an increase in gross
sales of $213,000 over fiscal year 2002.
It should be noted that current staffing level of twelve employees
for the operation remain at the same level as fiscal year 1974 when
sales were approximately $944,000.
Fiscal Year 2003 Activities
During the first quarter of the fiscal year, the Stationery Room
assisted ten Senator-elect offices. In addition, the Stationery room
assisted the new Majority Leader and his staff with their transition.
Members of Stationery Room staff were tasked as part of a Senate-
wide working group to assist the Sergeant at Arms (SAA) in the
development of an ``Emergency Go Bag.'' The finalized bag should
support each office in an emergency with a variety of supplies as
recommended by the Department of Homeland Security, Federal Emergency
Management Agency and the American Red Cross. Offices will be able to
purchase additional ``Go Bags'' on a Special Order basis through the
Stationery Room.
The Stationery Room made initial inquiries regarding a state-of-
the-art Retail Point-of-Sale system and back-office accounting system
during April 2003. A professional consultant was subsequently hired to
draft a requirements document, which will be finalized this spring.
Baseline estimates for application software are between $131,500 and
$133,000. This price structure does not include add-ons that will be
needed for automated flag ordering/tracking; an internal e-commerce
website for automated office product ordering capabilities; or other
custom system software modifications.
Working together, the Stationery Room and the Committee on Rules
and Administration began a review of the applicable Rules and
Regulations for the Mass Subsidy Program. On November 3, 2003, a
provision was added to the regulations to authorize the purchase of
media one week in advance of the month in which the media is to be
used. The Stationery Room was also tasked to provide a means in which
offices could order transit media electronically via e-mail. This
project is currently in beta testing with thirteen offices as a pilot
group.
As part of the Secretary's efforts to ensure financial
responsibility, the General Accounting Office began an audit of the
Stationery Room's operation. The final report may be issued in the
summer of 2004.
To fulfill emergency preparation needs, Stationery Room personnel
devised a mechanism--scanning--for data storage and retention of all
critical documents for the operation. Fiscal year 2003 records are
nearing completion of scanning. Once records have been scanned, that
information is available locally and paper copies are removed to a
National Archive facility storage and final disposition. This project
has been a joint effort by the Stationery Room, Historical Office and
Sergeant at Arms.
In an effort to establish an effective communication link with the
SAA IT product line, a process was devised to notify the Stationery
Room of new IT equipment being introduced into the Senate. Notification
now allows the Stationery Room to be proactive in supporting office
equipment.
Stationery Room staff regularly meets with Administrative Office
Managers to more effectively understand their needs and requirements.
In addition, the office is currently looking at creating (i) a Product
Review Committee to ensure the office carries the products it needs and
(ii) a working group regarding necessary emergency supplies in case
Continuity of Operations Plans are implemented.
The Stationery Room is part of a Flag Process working group being
guided by the Office of the Sergeant at Arms. The mission of this
working group is to streamline the flag procurement process for
constituents with a focus on timely processing and delivery. This is an
on-going project and is currently in its early stages.
16. WEBMASTER
The Webmaster is responsible for the three web sites that fall
under the purview of the Secretary of the Senate: the Senate Web site,
www.senate.gov (except individual Senator and Committee pages); the
Secretary web site on the Senate intranet, Webster; and an intranet
site currently under construction for Secretary staff only.
The Senate Web site (www.senate.gov) was completely redesigned and
the new site was launched in the fall of 2002. At that time the
Documentum Web Content Management System was implemented which allows
content providers to create and post information to the web site
without knowing HTML, the format language of the web.
Development work on the Documentum content management system
continued throughout 2003 as content providers identified changes that,
when implemented, would make their work easier. Adjustments were made
to the application that allows the curator to update the web site
directly from their database. This application has been working
effectively for almost a year.
An XML application was built for the Senate Library to allow them
to update the Active Legislation information one time and then
disseminate the information in different formats, such as publishing in
HTML to two separate web sites and creating a PDF version for printing.
The Active Legislation web page on www.senate.gov is consistently in
the top 10 most visited content items on the main site, drawing more
than 12,000 visitors a month.
Throughout 2003, senate.gov content providers became more cohesive
as a group. Monthly meetings were held where new ideas were shared.
Collaboration increased throughout the year and the posting of feature
articles in the major areas of the site were coordinated in terms of
timing and subject matter. The editing and creation of content
continued at a steady pace incorporating feedback received from staff
and the public.
In 2003 the web site averaged over 115,000 visitors a day.
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 home pages of the six subject areas (buckets) receive the most
visits as people navigate around the site. Within the buckets we find
that visitors are drawn to the following content items in order of
popularity: 1. Roll Call Votes; 2. Active Legislation List; 3. Senate
Leadership Page; 4. Senate Organization Chart; 5. Committee Hearing
Schedule; 6. Session Schedule for 2003; 7. Virtual Tour of the Capitol;
8. Bill and Resolutions; 9. Calendars and Schedules; 10. Nominations;
11. Individual State Pages; 12. Historical Office Page; 13.
Congressional Record; 14. Virtual Reference Desk; and 15.
Appropriations Bills.
E-mail traffic to the webmaster has shown a dramatic decrease in
questions about where to find information on the web site. The new web
site navigation structure makes finding information much easier. In
previous years the webmaster received on average 15 messages a day
asking for the location of some specific information on the site. In
2003 that number dropped to less than 5 requests a day.
A major effort in 2003 was the installation, configuration, and
testing of the Verity Search Engine for senate.gov. Based on the
initial round of tests, changes were made to the search engine
configuration resulting in greatly improved relevance ranking of search
results. Testing is now focusing on how to improve the search results
by adding or editing metadata associated with the content items. More
relevant and standardized keywords, and better descriptions and titles
will improve the relevance ranking and display of the search results.
Secretary staff assisted SAA staff in conducting briefings for Senate
Systems Administrators on how to use the search feature on their own
sites. Systems Administrators were encouraged to review how their data
displays in search results prior to final implementation of the search
feature for the public.
A continuing problem encountered in 2003 was that some web pages
were not always available when the public tried to access them.
Specifically, the problem was with pages that accessed a database using
Cold Fusion to populate the page with information. SAA staff spent a
tremendous amount of time and attention trying to solve this stability
problem, including calling in Macromedia engineers to work onsite. In
addition to making changes to the Cold Fusion settings, it became
obvious that architectural changes were required which would affect the
way Senate offices used databases to publish information to senate.gov.
These changes are being made and the stability of the Cold Fusion pages
on senate.gov has improved dramatically.
Training on the Documentum system continued in 2003. The Webmaster
took online courses in WebPublisher Administration, DQL (the Documentum
Query Language), and XML as implemented in Documentum, as well as
attending seminars on Authoring in XML, XML and Content Management, and
Search Engine Development. The Webmaster represented the Office of the
Secretary at meetings of the LegBranch Multimedia Group and Executive
Branch meetings on improving Citizen Participation through E-Government
Initiatives.
In the fall of 2003 a Web Developer was hired to assist the
Webmaster, and the Office of Web Technology was enhanced within the
Office of the Secretary, an acknowledgment of the growth in workload
and responsibility in disseminating information and providing services
to the public, and internally to the Senate, via websites.
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: LIS
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, and the transfer of operations and maintenance
of the LIS to the Office of the Sergeant at Arms (SAA) in March 2000,
the LIS Project Office shifted its focus to procuring system
development services in support of an LIS Augmentation Project (LISAP).
The LISAP is focused on the data standard component to provide a
Senate-wide implementation and transition to XML for the authoring and
exchange of legislative documents.
A database of documents in XML format and an improved exchange
process will result in quicker and better access to legislative
information and will provide documents that can be more easily shared,
re-used, and re-purposed. Parts of one XML document can be re-used in
another XML document because the document structure is similar and the
format of the data (XML) is standard. As more and more documents are
created in the XML format, the necessity for re-keying or converting
from one format to another (HTML to WordPerfect or XyWrite locator to
Word or Word to WordPerfect, etc.) will disappear.
The LISAP incremental development approach has helped the LIS
Project Office build user acceptance, manage costs and adjust quickly
when needed. The initial focus for the LISAP is to develop an XML
authoring system for the Office of the Senate Legislative Counsel (SLC)
and the Office of the Enrolling Clerk for bills, resolutions and
amendments. Collaboration of Secretary of the Senate and Sergeant at
Arms staff, augmented with strong contractor support, provides a great
team effort and great progress has been made in the past year.
LISAP: 2003
During 2003 Senate staff continued to develop the Legislative
Editing in XML Application (LEXA) focusing on the Office of the Senate
Legislative Counsel and the production of bills, resolutions and
amendments in XML. LEXA features many automated functions that provide
a more efficient and consistent document authoring process. The SLC has
worked very closely with the LEXA development team to strengthen and
refine the application and provide a list of future enhancements. At
this time LEXA can be used to create introduced and reported bills and
resolutions and most amendments. Creation of conference reports and
compilations will be completed in the coming months.
In late 2003, a contractor developed a two-day training course on
LEXA that was held three times between January 6 and January 15 for the
39 attorneys and staff assistants in the SLC. It takes several months
for a drafter to learn to use XyWrite and the locator formatting codes.
Following the LEXA training, SLC staff immediately began producing
bills and resolutions using LEXA, and the first XML draft to become a
bill was introduced on January 22, 2004. The SLC will work gradually
toward creating all legislative documents in LEXA and will use XyWrite
only when necessary.
The document management system (DMS) for the SLC was also completed
in 2003. The DMS is integrated with LEXA and will be implemented in
2004 once the SLC has completed the transition from XyWrite to LEXA.
The DMS will provide the ability for the SLC to track and manage all
work requests, legislative drafts, and internal office documents
prepared in a variety of formats including XML, Word, WordPerfect, e-
mail, and PDF. The DMS will also provide search and retrieval, delivery
of documents to clients, and exchange of documents with the Senate
Enrolling Clerk, the GPO, the House Office of the Legislative Counsel,
and the Senate Appropriations Committee. The expansion of a DMS
approach into other Senate offices will facilitate greater
accessibility to legislative documents.
With the implementation of LEXA and the DMS for the SLC, support
becomes an important issue. The 2004 Legislative Branch Appropriations
Act directed the GPO to provide support for LEXA much as they have for
XyWrite for many years. With help from the LEXA development team, the
GPO is working toward achieving that goal. As LEXA becomes more widely
used in the SLC and other offices drafting legislation, the support
load will increase. The Systems Development Services group of the
Office of the Sergeant at Arms provides support and maintenance for the
LIS/DMS, and that group will also support the DMS for the SLC. The
training contractor is also developing a comprehensive printed and
online reference manual for LEXA and the DMS and will also produce
computer-based training for new hires.
Also in 2003, a contractor completed work on converting bills,
resolutions, and SLC drafts from the 106th and 107th Congresses to an
XML format for use in LEXA. In early 2004, the contractor converted the
documents from the first session of the 108th Congress. The conversion
software has been incorporated into LEXA providing the ability to
convert a locator-coded document to an XML document. The contractor
also developed software (also in LEXA) to convert an XML document back
to locator codes for printing through the Government Printing Office's
Microcomp software. This conversion will also be used to supply
locator-coded versions of documents to those offices and organizations
still working in XyWrite.
The conversion contractor also began work on converting the
compilations of current law to XML format for use by the SLC and the
House Legislative Counsel in drafting bills and amendments. This
contractor has also developed an XML component to assist in the
creation of tables and columnar data in legislation that will be used
by the Senate, House, GPO, and Library of Congress. This component
provides assistance and a visual display to the drafter during the
creation of a table. The XML tagging in the table provides a readable
display in the editor and on the Web and accurately prints the table
through Microcomp--all without manual intervention to change the
underlying tagging or data.
LISAP: 2004
The LEXA development team will continue to work with the SLC to
refine and enhance LEXA including developing software to create and
print conference reports and to edit and update the compilation
documents created and maintained by the House and Senate Legislative
Counsels. LEXA, as developed for the SLC, will establish a framework on
which to build applications for other offices producing other types of
legislative documents. 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 the office will receive training and the LEXA reference
manual.
The SLC's DMS will be implemented in 2004. Prior to implementation,
transition training will be developed for the office and the reference
manual will be expanded to include information on the use of the DMS.
The DMS will be integrated with LEXA and will provide a powerful
tracking, management, and delivery tool. Technology-based training
(TBT) will also be prepared for the SLC that will combine training on
LEXA and the DMS for new attorneys and staff assistants in the SLC. The
TBT, coupled with the standards-based LEXA and DMS applications, will
shorten the time needed for new hires to learn the drafting technology.
The SLC will be able to focus on teaching the legislative drafting
process and new hires will no longer have to spend months training on
entering printing codes using out-dated DOS-based technology.
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 re-verified
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.
ACQUISITION OF ARTIFACTS THAT ONCE BELONGED TO THE SENATE
Senator Campbell. What particularly interests me, as you
mentioned, as well as Senator Stevens, and that is the
acquisition of former artifacts that belong to the Senate. Is
it my understanding that you can get these on permanent loan or
buy them, but that things cannot be donated to the Senate? Is
that true or not?
Ms. Reynolds. I am going to defer, as I did last year, to
our Senate curator on that, and ask her to educate us a little
bit on----
Senator Campbell. If she would come up to the table, and
identify herself for the record, please.
Ms. Reynolds. Diane Skvarla, our Senate curator.
Ms. Skvarla. The question I understand was whether items
could be donated to the Senate. They actually can be donated to
the Senate and we continue to get items donated to the Senate;
several every year. As Emily pointed out, we hope with the
Preservation Fund and new knowledge that we will get more of
those in the future.
Senator Campbell. Of the things that are donated, I suppose
some have real historic value; and who knows, maybe some do
not. Does this advisory board that you mentioned, are they ones
that determine what to accept and what not to accept?
Ms. Skvarla. They will assist us. Yes. We normally get a
piece, and find out the history of it, of why it might be
important. For example, a couple of years ago, we got as a gift
a snuff box once owned by Isaac Bassett, who was the assistant
doorkeeper here in the Senate. The snuff box was actually a
gift to Bassett from the Senators themselves in the 19th
century.
CURATORIAL ADVISORY BOARD
The curatorial advisory board will assist us. They will
also note, if it is a fine piece of silver, we might ask the
curatorial board for their advice. So yes, it very much will
help us in determining the appropriateness of that gift to the
Senate.
Senator Campbell. How many people are on that board?
Ms. Skvarla. We are having 11.
Senator Campbell. Eleven. Emily did mention some of the
acquisitions that have been made. Those will eventually all be
in the Visitor Center, like Vice President Curtis' chair. Is
that the long-range goal that--that's where they will be?
Ms. Skvarla. We are still in the process of that exhibit
design and development. That will be an issue that obviously
will be presented to leadership and the Capitol Preservation
Commission, as time goes forward.
SENATE WEB SITE
Senator Campbell. Thank you. Did I hear you properly when
you said we are getting 150,000 hits per day on the web site?
Ms. Reynolds. Right. It's 115,000.
Senator Campbell. 115,000 per day. Are most of those
students or do you have any way of knowing?
Ms. Reynolds. I am not certain that we have a way of
knowing. That would be an interesting figure to track. I can
tell you, though, just some anecdotal evidence that came in
recently that was fun for us to see, and that is, a university
instructor in Indiana was nice enough to send us his core
syllabus on public law in the United States Senate. He had
encouraged his students to use Senate.gov, and had developed
his syllabus around some of the material on Senate.gov.
If there is a way to track those statistics or to conduct
some sort of a survey of our users, let me get with our
webmaster on that. I will be happy to get back to you. That is
a good question.
Senator Campbell. I thought it might be students. I know
when my own son was in college a few years ago, he was using
different web sites, the Library of Congress, and a number of
opportunities back here to write a lot of his college papers.
Ms. Reynolds. Right. Exactly.
Senator Campbell. It is a wealth of information.
Ms. Reynolds. The other thing, if I might just add one more
note on the web site usage, is we were averaging about 15
requests a day for assistance in navigating the site. Our very
skilled webmaster now, in rearranging the site and making it
more user-friendly, we are now getting to an average of just
about five requests a day for assistance in navigating the
site.
So, this is another area where your committee has been
generous to us in helping us expand the site, some added
enhancements. You will see some additional enhancements even
this year.
RICIN INCIDENT
Senator Campbell. Okay. We will move on to a couple of
other things. How did the February's ricin incident impact your
operation?
Ms. Reynolds. Our office was not most immediately impacted.
But there were a variety of ways in which we responded. The
first is, Senator Frist asked the Sergeant-at-Arms and I to set
up a leadership coordination center, which actually ended up
being physically housed in my office for that week. It was very
helpful for all of us because our staff and the Sergeant-at-
Arm's staff were working in conjunction with each other on that
response.
In addition, as I mentioned, we exercised part of our COOP
plan with the stationery operation, also part of our COOP plan
with public records, and we maintained--they were long days,
but in the evenings then, we would flip over the operation to
the Sergeant-at-Arms emergency operation center for any
questions that came in during late evening hours through
individual offices. But most especially, having that leadership
coordination center, so that we could work hand-in-glove
together to respond, was very helpful.
Senator Campbell. So, you did not feel that you were out of
the loop on anything that you couldn't keep up----
Ms. Reynolds. No, sir.
CAPITOL VISITOR CENTER
Senator Campbell. Okay. And then the last question on the
Visitor Center. I look at it almost every day once or twice.
We're certainly picking up progress on that. I wish it were
faster, very frankly. But what is your assessment of the status
of that? Do you think we are going to have some challenge that
we cannot confront?
Ms. Reynolds. That is a good question. I certainly do not
want to steal Mr. Hantman's thunder, since he is----
Senator Campbell. I am going to ask him the same question.
Ms. Reynolds [continuing]. Our day-to-day person out there.
My role in this has been, and I will tell you, I have been
amazed in the course of my time in the job, even though I
certainly am not the Architect of the Capitol, anything close
to an engineer or a construction person, or an architect
myself, I have been amazed at the time that the leadership
staff and staff from the Capitol Preservation Commission spent
on this, in conjunction with the Architect's Office. Again, it
is a very collaborative effort.
Clearly, we have had some challenges, be it weather-
related, obviously, in the construction of this or even some
construction challenges. I know Alan will address all of that.
The project is making enormous progress, as you said. I
reflected that, Mr. Chairman, 1 year ago, at this time, when
you and I talked about those trucks coming up the hill every
day but coming up to load up dirt, they were excavating and
removing that dirt each and every day.
It is incredible progress in 1 year when you think you can
now actually look out there and see that there is a top going
on. It gives us all a sense, and particularly for those of us,
or laymen, like myself, who do not understand construction
necessarily. But it comes alive all of a sudden, and you begin
to see all of those drawings, and diagrams, and everything we
talked about during the previous year begin to unfold.
There is no doubt that within the course of the next couple
of years, whether it is weather-related issues or other
challenges, that the architect will presumably continue to face
those challenges; but face them well, as they have. We all make
those adjustments together.
That is why it is very important, I dare say, that there is
a weekly meeting that I help to facilitate, along with my
colleague on the House side, the Clerk of the House, so that we
come together in a bicameral, bipartisan way to look at any
issues on the Architect's plate, to address how they impact our
community, both on the Senate and the House side, and hopefully
afford solutions together.
CVC OPERATIONAL DECISIONS
In addition to that, we are also at a time, and it is a
particularly exciting time, as we reference the exhibit design
coming up for the Capitol Visitor Center, where we can begin to
turn our focus to the operational side of the Capitol Visitor
Center. That is when you know there is light at the end of the
tunnel, that it is an exciting place to be.
Clearly, while we are not making strict operational
decisions, we are having very good dialogue, and hopefully
setting some parameters that we can take back to the leadership
and the Capitol Preservation Commission. In adding over 500,000
square feet to the Capitol itself with this Visitor Center,
there are enormous operational issues. But we all keep in mind
the three primary goals, the very reason this center is being
constructed in the first place, and that is to enhance our
security, to improve our visitor amenities, and just as we talk
about on our public web site, to provide greater visitor
education opportunities for those who come here to learn about
this Capitol and this Congress.
Senator Campbell. Thank you.
Ms. Reynolds. Thank you.
Senator Campbell. Senator Durbin, did you have questions of
Ms. Reynolds?
SENATE STUDENT LOAN PROGRAM
Senator Durbin. Very briefly. You have recently conducted a
survey on student loan programs?
Ms. Reynolds. Yes.
Senator Durbin. This is an issue that I initiated several
years ago and found that no one wanted to administer it. We
basically decided to let 1,000 flowers bloom and see what
happened, with some basic guidelines. I have lived in fear ever
since that, not only some wonderful things but some not so
wonderful things, may have occurred under the name of student
loan incentives for recruitment and retention. What have you
found in your survey?
Ms. Reynolds. Our survey, which we conducted last summer,
and we had roughly 58 offices that responded, and I will tell
you a quick summary, obviously. Those offices that responded,
and all 58 participate in the program, the feedback was very
positive about the program.
As you know, and I was not here at the time; but as you
know, the administration of the program was given to us but not
with really a strict set, if you will, of rules and
regulations. Of course, then each office was able to create
their own rules and regulations, if you will.
I will balance with what we found in that survey with
regard to the offices and the administration of the program, is
that some offices, Senator Durbin, will actually set parameters
of service before an individual qualifies for the student loan
repayment program. Others have an open enrollment period. So,
you are not necessarily, as a new hire, automatically entitled
to the program. But everyone does have a little bit of a
different variation on that theme.
One of the questions we asked the offices in that survey
is, would it be helpful to you if there was some additional
guidance. I think about two-thirds of those in the survey said,
leave it as it is. We like making our own determination.
That having been said, I do think--and, again, most of this
is anecdotal evidence, because as you know, the program is now
only about 2 years old, but the anecdotal evidence is still
overwhelmingly positive, in terms of offices who have strong
candidates, and particularly, young lawyers, strong candidates,
who very much wanted a job on the Hill, but because of the size
of their student loans, salary was obviously a real issue. In
more than one instance, offices cited that having the
availability of that program enabled them to attract very top-
flight candidates.
The retention piece of it, again, because the program is
not very mature, and it still somewhat remains to be seen, we
can continue to go back, obviously, and pull those statistics
for you all. I did notice because I know this was one concern
this year at this hearing, that it does not appear as if, from
last year to this year, we dropped--we had a fairly high number
of those who terminated before their year was up, that they
were required of service. It looks like from last year to this
year, that number dropped by about one-third or better. So from
a retention standpoint, you could extract that--that is
obviously a positive going forward.
But we will continue to monitor that program and provide
you with feedback. But again, from the office's standpoint, the
ability to make their own determination and to use it as a tool
to attract and retain, was very positive.
Senator Durbin. Well, we give considerable latitude to
members of the Senate and other offices, within certain
guidelines, to decide salaries, and promotions, and work
assignments. I like that part of the flexibility of it, because
I think each office tries to create its own office atmosphere.
I am going to ask, and I have asked the General Accounting
Office to take a look at this, and see if they have any
recommendations, whether we should be more specific in terms of
guidelines to avoid some things that we did not anticipate. But
thank you for your work on this.
Ms. Reynolds. Thank you very much.
Senator Durbin. Thank you for your testimony today. Thanks,
Mr. Chairman.
Senator Campbell. Thank you. This will be the last hearing
that you appear while I am still here. I just wanted to, for
the record, tell you how much I have enjoyed working with you,
your professionalism, and your friendship, too. When I go back
out West to find different kinds of mountains to climb, I will
be thinking of you here.
Ms. Reynolds. Keep thinking of us. We appreciate it. Thank
you, sir.
ARCHITECT OF THE CAPITOL
STATEMENT OF ALAN H. HANTMAN, ARCHITECT OF THE CAPITOL
ACCOMPANIED BY:
DICK McSEVENEY, CHIEF OPERATING OFFICER
AMITA POOLE, CHIEF OF STAFF
GARY GLOVINSKY, CHIEF FINANCIAL OFFICER
HECTOR SUAREZ, CHIEF ADMINISTRATIVE OFFICER
BOB HIXON, PROJECT EXECUTIVE FOR THE CAPITOL VISITOR CENTER
OPENING STATEMENT OF SENATOR BEN NIGHTHORSE CAMPBELL
Senator Campbell. Now, we will hear from Mr. Hantman.
If you would just come up here, and go ahead, and proceed.
Your complete testimony will be included in the record, Mr.
Hantman. I think you can abbreviate your verbal presentation as
you would like.
Mr. Hantman. Thank you, Mr. Chairman, Senator Durbin. Thank
you for this opportunity to testify here today. I would just
like to introduce a few people who are joining me here today.
Our Chief Operating Officer, Dick McSeveney; our Chief of
Staff, Amita Poole; our CFO, Gary Glovinsky; Chief
Administrative Officer, Hector Suarez; Bob Hixon, our Project
Executive for the CVC; and several other key people who have
supported me in preparing for this hearing and throughout the
year.
What I would like to do, Mr. Chairman, as you indicated, is
just have a few words in terms of an oral review here.
Senator Campbell. Your complete testimony will be in the
record. Just go ahead and summarize as you please.
FISCAL YEAR 2005 BUDGET SUMMARY
Mr. Hantman. As we prepared this budget request, we worked
very closely with our clients to ensure that we were addressing
their needs and those of the Capitol complex in planning for
necessary projects and programs.
This budget request for fiscal year 2005 directly relates
to my responsibilities for facilities management, project
delivery, and the stewardship of the Capitol complex. Over the
past few years, as directed by the Congress, additional
buildings have been added to the AOC's responsibilities. This
includes the new Alternate Computer Facility, the Fairchild
Building, the National Audio-Visual Conservation Center, the
book depositories at Fort Meade, and, of course, the Capitol
Visitor Center.
All told, this amounts to an additional 1.5 million square
feet of buildings and another 91 acres or so under the AOC's
custodial care. That brings us to some 15 million square feet
of building space, Mr. Chairman.
We are requesting $585 million for fiscal year 2005 to
support the maintenance, the care, and operations of all the
buildings and grounds of the Capitol complex. This includes a
number of projects to support and enhance life safety and
security which, as you know, Mr. Chairman, are my top priority.
It also reflects a number of major projects valued at $177
million that have been requested by our clients, including the
Library of Congress and the U.S. Capitol Police. You alluded to
that in your opening statement.
This 2005 request represents a 41 percent increase over the
enacted amount for fiscal year 2004. However, if our client
projects were counted separately from our basic AOC budget, the
fiscal year 2005 request would be less than my fiscal year 2004
budget.
On another note, Mr. Chairman, I am pleased to report that
the AOC has once again cut its total injury/illness rate. We
reduced fiscal year 2002's rate by more than 5 percent, for an
annual rate of 7.9 percent in fiscal year 2003. Since fiscal
year 2000, we have reduced the injury/illness rate by a total
of 56 percent and we still continue to improve. Our goal
basically is to get it down as close to zero as is humanly
possible. We thank you for your support in this.
Many life safety and security improvements have been
implemented or are ongoing in the Senate office buildings. For
example, all Dirksen building entrances have been upgraded to
meet ADA requirements. Mechanical and electrical updates have
been or are being completed on all Senate building elevators.
We also continue to upgrade or install new sprinkler
systems, smoke detection systems, and are making egress
improvements in buildings across the Capitol complex.
In this calendar year, Mr. Chairman, one of our highest
priorities is preparing for the inauguration. We have bid out
the construction of the inaugural stands, which we will be
awarding shortly; and we are in various stages of design,
specification, and bidding for other requirements, such as the
sound system, ramps, and chairs for the swearing-in ceremony.
CAPITOL VISITOR CENTER
Another major undertaking will be the planned start-up of
building systems for the Capitol Visitor Center. At the
direction of the Capitol Preservation Commission, I have
requested as an interim measure, funding for facility
operations and maintenance until it is decided how and by whom
the CVC will be operated and maintained. Ms. Reynolds referred
a little bit to that process that is going on right now.
Construction on the CVC has been progressing at a strong
pace, as crews are increasingly working under the roof deck,
which now covers the entire western half of the project area.
It might be helpful, Mr. Chairman, to just take a look at a
photo showing the progress we made last August on the Visitor
Center, and a photo that was taken just 2 weeks ago.
On the left, of course, you see that the excavation was
well underway. The foundation walls were being put in just last
August, since last summer, completed to what we see basically 2
weeks ago. The deck, again, is fully in place with respect to
the area between the major skylights and the east front of the
Capitol.
All of that area will be part of the plaza that is
necessary to support the inaugural activities. We will have a
completed roof deck. We will have it covered by granite pavers,
from the House steps to the Senate steps; and in May we expect
to see stone masons start to lay granite pavers beginning on
the north side, near the Senate steps. Some 200,000 pavers will
be laid.
Over the past year, the AOC has undergone significant
change. We have added key people. We have reaffirmed our
commitment to providing high-quality service to Congress and
the American people with the implementation of a new strategic
plan. I am dedicated to providing a safe, secure, and
productive environment for all who work at and visit the
Capitol complex each year, as well as for all AOC employees.
We have completed tens of thousands of work orders to our
clients' satisfaction--about 48,000 work orders just in the
Senate buildings this year. We have achieved many of our goals
due to the hard work and dedication of the AOC employees. I am
very privileged and honored to lead such a professional team.
PREPARED STATEMENT
This committee's support in helping us achieve these goals
is greatly appreciated. Once again, I thank you for this
opportunity to testify today. I will be happy to answer any
questions you might have.
Senator Campbell. Thank you.
[The statement follows:]
Prepared Statement of Alan M. Hantman, FAIA
Mr. Chairman, members of the Subcommittee, I thank you for this
opportunity to testify before you today. The Office of the Architect of
the Capitol (AOC) has been undergoing tremendous change over the past
year as we have finalized and begun implementing our five-year
Strategic Plan. Our Strategic Plan is the blueprint that we are now
following to help us carry out our responsibilities to preserve and
enhance the United States Capitol and the other facilities located
across the Capitol complex as well as guide us as we provide high-
quality service to Congress and the American people.
Our Strategic Plan is linked to our Performance Plan which outlines
specific actions and milestones we will use to achieve our goals. We
also have established a reporting protocol that is tracking the
Agency's strategic initiatives, the General Accounting Office's
recommendations, and the Chief Operating Officer's Action Plan items on
a monthly basis. In addition, we have identified a number of measures
to monitor and evaluate the success of our work efforts over the next
year.
Last July, we added a Chief Operating Officer to the team. Richard
McSeveney is responsible for much of the AOC's day-to-day operations
including programs and initiatives associated with strategic planning,
performance management, worker safety, customer satisfaction, and
service quality. He has submitted his Action Plan to Congress that
outlines how we are implementing change and moving the AOC to the next
level of client service excellence.
As we prepared this budget request, we worked closely with all of
our clients to ensure that we were addressing their needs and those of
the Capitol complex in planning for numerous projects and programs.
This budget request for fiscal year 2005 will allow me to meet my
responsibilities for facilities management, project delivery, and the
stewardship of the Capitol complex. But just as importantly this budget
responds to the needs of our customers, the requirements for improved
fire and life safety, security, and future obligations.
Over the past few years, per the direction of Congress, additional
facilities and projects have been added to the AOC's responsibilities.
A short list of facilities includes the Alternate Computer Facility,
the Fairchild Building, the National Audio Visual Conservation Center
in Culpeper, Virginia, and of course, the Capitol Visitor Center. All
told, this amounts to an additional 1.5 million square feet and 91
acres under the AOC's custodial care. Our budget has been structured
and increased to support the new requirements and responsibilities this
Agency has for these new facilities.
Over the past several weeks, we have worked with the respective
committee staffs and our clients to address possible budget
resolutions. We re-examined priorities and studied how holding our
budget to fiscal year 2004 funding levels would impact our day-to-day
work as well as major projects. We have met the challenge of building a
budget request that balances both fiscal responsibility and my office's
mission to preserve, maintain, and enhance the national treasures and
properties entrusted to us. I want to thank the Subcommittee for its
generous support over the years without which we could not have
completed many critical projects, continued to provide exemplary
service, and assured continuity of operations at the Capitol, in the
Senate Office Buildings and throughout the Capitol complex.
We are requesting $479.3 million (not including items specific to
the House) for fiscal year 2005 to support the maintenance, care, and
operations of the buildings and grounds of the Capitol complex. This
includes a number of projects to support and enhance life safety and
security--my top priority. It also reflects a number of major projects,
valued at more than $136 million that have been requested by our
clients including the Library of Congress (LOC) and the U.S. Capitol
Police (USCP).
The most significant requests are $59.2 million for the
construction of the Library's Copyright Deposit Facility; $39.5 million
for the construction of the third and fourth increments of the
Library's collection storage modules at Fort Meade; $18.4 million to
accommodate office and storage space at the Fairchild and GPO buildings
for the Capitol Police; and another $18.4 million for a USCP firing
range and off-site delivery facility.
This is a $138.7 million or 41 percent increase over the enacted
amount of $340.5 million for fiscal year 2004. This does not reflect
the $12 million transfer of fiscal year 2003 appropriations into the
AOC budget for fiscal year 2004 for the Capitol Visitor Center.
If these specific client requests were not counted in the AOC
budget request, budget growth for fiscal year 2005 for my Agency would
actually show a negative growth from fiscal year 2004.
Other key items in my budget request include $20.1 million for
sprinkler and smoke detector upgrades in the Library of Congress
buildings; $3.7 million for the Hart modular furniture replacement
program; $1.3 million to renovate Senate Office restrooms; $4.5 million
to implement Phase III of the U.S. Capitol Master Plan; $14.5 million
for the preparation of the opening of the Capitol Visitor Center; $5.1
million for the restoration of Bartholdi Park and Fountain; $1.5
million to design the upgrade of the Capitol complex cable television
system; $955,000 for wayfinding signage, renovation and restoration of
street lights and other decorative items on the Capitol grounds, and
$1,065,000 for installation and operations of emergency defibrillators
across the Capitol complex.
PROJECT DESCRIPTIONS
Copyright Deposit Facility--$59.2 million
This new, centralized, 180,200 square foot facility would house all
existing and projected copyright collections in a secure, specialized
environment for the Library of Congress. The Copyright Office of the
Library of Congress is required by law to retain all the post-1977
unpublished deposit materials for the full term of the copyright
protection and published deposits for the longest period considered
practicable and desirable by the Register of Copyrights. The design
work has been completed on this two-story building and, if funded,
construction will begin in 2005. If the facility is not built, the
storage of existing and future copyright collections will continue to
be housed in decentralized, privately leased records facilities with
questionable abilities to provide for the future growth of deposits and
records. In addition, the collections will continue to be at risk due
to the inability of existing mechanical systems to provide for the
specialized requirements regarding temperature and humidity.
Fort Meade Book Storage Modules 3 and 4--$39.5 million
This project for the Library of Congress entails the construction
of two buildings to alleviate a shortage of collection storage capacity
at the Jefferson, Adams, and Madison buildings on Capitol Hill. The
third and fourth storage modules are designed to maintain environmental
conditions of 50 degrees Fahrenheit and relative humidity of 30
percent. Scheduled to be constructed in late 2004 and 2005, the
buildings will have two loading docks, a quarantine room, and a vacuum
equipment room, as well as mechanical and electrical rooms to
accommodate the necessary equipment. If construction of these modules
is delayed, the Library's ability to accept new materials into its
collection will be compromised.
U.S. Capitol Police Support (USCP)--$30.9 million
The AOC has recently signed a 10-year lease to occupy a little more
than four floors of the Fairchild Building located at 499 South Capitol
Street, S.W., that will accommodate the interim office space needs of
the U.S. Capitol Police. Funds have been requested for the annual lease
and to cover the costs to fit out the available space. This includes
fixtures, furnishings, equipment, telecommunications, and information
technology infrastructure.
In addition, the AOC is nearing agreement with the Government
Printing Office to utilize some space for the Capitol Police logistical
and storage functions, such as property management and warehousing.
Relocating the USCP to these spaces will free existing space occupied
by the USCP for Congressional use.
Capitol Visitor Center Start-up Support--$14.5 million
In preparation for the opening of the Capitol Visitor Center (CVC),
$6.3 million is requested to procure equipment and supplies, contract
for custodial services, and support, operate, and maintain the
structural, architectural, and utilities infrastructures.
An additional $8.2 million is being requested to cover the
transitional stand-up costs for the operations, administration, and
management supporting guide services, visitor services, food services,
and gift shop services for the CVC.
In addition, the AOC is requesting 35 Full Time Equivalents (FTEs)
in preparation for the opening of the CVC. Eighteen FTEs are being
requested in the Capitol Building appropriation for facility
maintenance; 16 FTEs in the CVC appropriation for project and
operations support necessary for an orderly startup (tour guide
services, restaurant management and gift shops); and one FTE to support
the Office of the Attending Physician.
EMPLOYEE SAFETY
For the third consecutive year, the AOC has cut its injury/illness
rate. According to year-end figures from the Occupational Safety and
Health Administration, we reduced fiscal year 2002's rate of 8.35 by
more than five percent for an annual rate of 7.91 in fiscal year 2003.
Since fiscal year 2000, we have reduced the total injury/illness rate
by 56 percent. These achievements would not have been possible without
the efforts of all AOC employees. In January, we conducted an Agency-
wide survey asking employees about their perceptions, opinions, and
attitudes about safety. The response rate to the survey was 62 percent
when typically these surveys receive a 30 percent response rate.
When asked if they agree with the statement, ``Workplace safety is
very important to AOC,'' 90.8 percent of AOC employees agreed with the
statement. Nearly ninety-four percent of employees stated that they
``think about the safety of my customers and the public,'' and 96.2
percent said they ``think about their own safety on the job.'' Over the
past several years, our workforce has made a commitment to work in a
safe and healthy environment. This commitment has lead to consistent
and notable reductions in our injury/illness rate.
However, any single injury is one too many. I am committed to
providing a safe environment on Capitol Hill. I set high expectations
and communicate them to my Superintendents and employees. I perform
unannounced visits to worksites to observe and discuss safety and
ensure that personal protective equipment is available and worn. Mr.
Chairman, I have requested $64.7 million in project funding to support
life/safety and security projects. It includes upgrading or installing
new sprinkler systems and smoke detection systems; upgrading elevators;
renovating restrooms to comply with ADA requirements; installing
defibrillators across the Capitol campus; and making egress
improvements.
SENATE OFFICE BUILDING IMPROVEMENTS
Many life/safety and security improvements have been implemented or
are ongoing in the Senate Office Buildings. For example, all Dirksen
Office Building entrances have been upgraded to meet ADA requirements,
and all mechanical, electrical, and cab refurbishing upgrades to the
elevators in the Russell Building have been completed. All mechanical
and electrical updates are completed on the Dirksen Building elevators,
and the cab upgrades are scheduled to be completed this fall. The Hart
Building elevators modernization will begin in May and the completion
date for this project is spring of 2005.
In the area of client services, Senate offices now have a new way
to submit and track work requests, learn about on-going projects, order
furniture, or request assistance from the Senate Superintendent's
Office. The tool is a new intranet site: http://Senate.AOC.gov. This
site is the first AOC client-specific web site focused on customer
service. In addition, building alerts are regularly posted on the site
and updated to provide information about projects such as elevator or
restroom upgrades.
Our new Senate site was rolled out during a demonstration for
Senate staff in December and we have been providing training classes
for office managers. Senate staff members have also been providing us
with suggestions on how to add value to the site and we are making
adjustments to better meet their needs. The site will continue to grow
and evolve in the upcoming months, for example, a client feedback form
was recently added. Similar sites for the House and Capitol
Superintendent's Offices will be online soon.
The AOC continues to make significant improvements in the Senate
Office Recycling Program. Contamination rates have plummeted from a
high of 75 percent in fiscal year 2000 to zero for the first quarter of
fiscal year 2004. We attribute this tremendous progress to three
things: we simplified the program, we have initiated coordination
efforts with the Senate Sergeant at Arms and Senate staff to further
educate them about the program, and we have modified our own work
practices and operations to ensure efficient and effective collection
and separation of recyclable materials. We have also increased the
types of recyclable materials we collect to include items such as toner
cartridges and rechargeable batteries. Ninety-three office suites,
eight committee suites and a number of other Senate offices are
actively participating in the recycling program.
CAPITOL BUILDING
In fiscal year 2005, one of our highest priorities concerning the
Capitol Building will be the preparations for the Presidential
Inauguration. We have been updating plans from the last inauguration
and have begun planning the construction of Inaugural stands and
identifying other requirements, such as a sound system, ramps,
crossovers, and chairs for the swearing-in ceremony. We are also
working closely with the U.S. Capitol Police on security issues.
Mr. Chairman, I am pleased to report that as of February 17, 2004,
the Capitol Dome was re-opened for special Member-led tours. As you
know, tours were suspended following the terrorist attacks on September
11, 2001. Since that time, my office completed a number of safety
upgrades in the Dome that included installing exit signs, bump guards,
fire alarms, an evacuation system, improved handrails, and new stair
treads. We also improved the tour route lighting and emergency
lighting. I would like to note, however, that the scheduling and
conducting of these tours now falls under the responsibility of the
Capitol Guide Service.
We have completed a number of other projects throughout the Capitol
over the past year including installing numerous additional life and
fire safety devices throughout the building; continuing to restore and
conserve frescos, historical artwork, chandeliers, and the Brumidi
murals; and upgrading 24 of 28 elevators. The remaining four are
scheduled to be completed between fiscal year 2004 and fiscal year
2006.
Mr. Chairman, a popular service we provide for the American public
is the opportunity to purchase, through Members' offices, flags flown
over the U.S. Capitol. Last fall, my office discovered that several web
sites existed that were reselling flags flown over the Capitol at a
much higher cost than if the consumer had requested one through their
Member's office. We sent out notices to all Congressional offices to
alert Members to this practice and have been developing a web site that
would provide information on flags flown over the Capitol and directing
consumers to contact their respective Senators or Representatives. I am
pleased to report that as a result of our actions, many of these web
sites have ceased reselling flags or have changed their web sites to
clarify their business practices.
As I mentioned earlier, another major undertaking will be the
start-up of the Capitol Visitor Center facility. At the direction of
the Capitol Preservation Commission (CPC), I have requested funding
under the Capitol Building fiscal year 2005 appropriation, as an
interim measure to fund facility operations and maintenance until it is
decided how and by whom the CVC will be operated and maintained.
CAPITOL VISITOR CENTER (CVC)
Construction on the CVC has been progressing at a strong pace,
especially over the last several months as crews are increasingly
working under cover below portions of the roof deck which now covers
the entire western half of the project area. Sequence 1 and Sequence 2
contractors have been jointly working to coordinate and fully integrate
their schedules to ensure that the project proceeds in the most
efficient manner possible. Additionally, we have augmented our
management team to facilitate the efficient sequencing and execution of
the more than 3,000 project line items that need to be accomplished.
Over the next year, Members will witness the completion of the
western half of the plaza at a level sufficient to support inaugural
activities. That entails the ability of the plaza deck to accommodate a
Presidential motorcade and, if necessary, the landing of a helicopter
on the deck. Specifically, the portion of the plaza supported by the
steel framing will have a completed roof deck covered by granite pavers
from the House Steps to the Senate Steps. In May, Members can expect to
see stone masons on the plaza laying granite pavers on the East Front
Plaza deck beginning on the north side of the deck near the Senate
Steps. A plan describing the plaza finishes and the accessible areas of
the CVC site for the Inauguration has been presented to the CPC and
Rules Committee staff. Other landscape elements will be in place and
some portions of the hardscape elements, including the retaining walls
around the House and Senate grassy oval areas, will be partially in
place. At the same time, all the interior facilities will continue to
be worked on and ultimately commissioned and turned over so those
operating the facility will have time to adapt to the facility and
establish operating procedures before the CVC opens to the public.
The current estimated completion date for the CVC is spring 2006.
After a long and thorough review of project activities and the line-
item schedules of both Sequence 1 and 2 contractors by my office, our
construction manager, and the General Accounting Office, we have
determined this more accurate opening time frame.
The overall base project budget stands at $351.5 million. This
amount includes the $265 million appropriated for the core CVC space
and the shell for House and Senate expansion space; $38.5 million for
additional security enhancements funded after September 11, 2001; and
$48 million to accommodate higher than expected bids, additional
changes in scope and design due to unforeseen site conditions and
weather impacts, and the management and construction costs associated
with the scope and design changes, as well as contingency funds.
Additionally, $70 million has been appropriated for the build-out of
the House and Senate expansion spaces.
As construction continues, we continue to plan the exhibits that
will be featured inside the CVC and work with representatives of the
Capitol Preservation Commission to determine how services such as food
service, gift shops, guide services, and first aid to our visitors will
be provided. Because our 16,500 square foot gallery will be the only
one in the country dedicated to the history and accomplishments of the
Congress and the growth of the Capitol, it will feature a number of
interesting and educational exhibits. It will include a 10-foot tall
touchable model of the Dome with cutaway interior; a curving marble
wall inset with state-of-the-art document cases featuring historic
documents from the Library of Congress and the National Archives
chronicling legislative achievements; a set of six alcoves covering the
history of the House, the Senate, and Capitol Square; virtual House and
Senate theaters allowing historical programs and live access to floor
proceedings; a ``Behind the Scenes'' area covering everything from
subways to grounds-keeping; a photo exhibit featuring the Capitol as a
national stage for important ceremonies; and an interactive area where
visitors can access touch screen programs about ``Your Congress/Your
Capitol.''
Mr. Chairman, I know that we all eagerly await the opening of this
unique, historic, and very necessary visitor center that will offer
free and open access to all people in a safe and secure environment so
that they may witness and learn about the workings of democracy and the
legislative process.
PROJECT DELIVERY
As the example of the CVC illustrates, in recent years the number
and complexity of our projects has greatly increased. Therefore, the
AOC has worked to develop core and technical competencies for its
project managers and contracting officers. Specifically, we have
established a competency framework and training assessment for both AOC
contracting officers in line with the Defense Acquisition Workforce
Improvement Act (DAWIA) and AOC project managers in the engineering and
architectural series that mirrors the Project Management Institute Body
of Knowledge.
We are also working more closely with our clients to design and
control the scope of our projects to assure high quality drawings and
specifications, to minimize changes during construction, and to deliver
quality projects on time and on budget. All current projects have been
prioritized and the more critical projects have been assigned to the
Project Management Division. Appropriate levels of support are being
provided to these project managers to assure that they have the
resources necessary to move these high priority projects forward.
The Capitol Complex Master Plan that is under development will help
facilitate consistent management and oversight of all our projects and
assist us in setting priorities. Its key objectives are to document
existing conditions; provide context for site selection and site
development within and near the Capitol Grounds; address cross-
jurisdictional questions of historic preservation, sustainability,
infrastructure renewal, permanent security measures, visitor management
strategies, traffic and parking issues, and landscaping; and identify
facility needs and future building trends, and coordinate planning
efforts with local, regional, and Federal development plans.
The existing master plan is nearly 25 years old and does not
address present-day issues such as increased security, new and
advancing technologies, and future needs. As you know, since September
11, the AOC has undertaken substantial new projects to adjust to a
demand for heightened security. Chief among these projects is perimeter
security which has seen significant progress.
--Capitol Square.--All work on the Senate side of Capitol Square is
complete except the outer perimeter work along Constitution
Avenue, N.W., and the work which is currently impacted by the
Capitol Visitor Center project. The portion near 1st Street and
Constitution Avenue, N.W., which is part of the Capitol
Complex's outer perimeter, is also ongoing. The north entry
will be constructed following the completion of the tunnel work
on the CVC. The work along the Northeast Drive and 1st Street,
N.E., will be completed following the completion of the CVC
itself. The portion of the outer perimeter near 1st Street and
Constitution Avenue, N.W., will be completed as part of the
later phases of the Senate Office Building Perimeter Security
program.
The work on the House side of Capitol Square is largely complete
with the major exception of the work which is currently
impacted by the CVC project and the portion near 1st Street and
Independence Avenue, S.W., which is part of the Capitol Complex
outer perimeter.
--Senate Office Buildings.--A contract has recently been awarded for
the perimeter security work along Constitution Avenue between
Delaware Avenue and 2nd Street, N.E. This work is currently
planned to be completed in November 2004. The remainder of the
perimeter security around the Senate Office Buildings will be
completed in phases over the next two years.
--House Office Buildings.--The work along Independence Avenue in the
front of the House Office Buildings is largely complete with
full completion anticipated this spring. The remainder of the
perimeter security around the House Office Buildings will be
completed in phases over the next two years.
Another project underway that will address the current and future
needs of the Capitol Complex is the expansion of the West Refrigeration
Plant at the Capitol Power Plant. This project replaces the aging and
outmoded East Plant refrigeration machines and provides for additional
heating and cooling requirements. The project is approximately 25
percent complete and, when finished, will enable the Capitol Power
Plant to reliably meet cooling requirements through 2025 and will
significantly increase overall plant efficiency, thereby lowering
annual energy consumption.
HUMAN CAPITAL
Because the AOC is a service-based organization, our workforce is
our most valuable asset. We continue to look at new and innovative
approaches to better attract and retain highly qualified employees so
that we continue to be in a position to meet the needs of all our
clients.
We have hosted in-service Federal Employees Health Benefits Days to
assist employees with any problems they may have or to answer questions
about various health plans. We plan to host sessions twice a year. We
have also developed a new Leadership Development Program that we plan
to roll out soon. It expands the existing framework to address all
leadership levels of AOC to develop the skills needed to achieve
competencies that are considered to be government-wide standards. In
addition, we have invested in employee training and provide other
incentives, such as transit subsidies.
This past year we established a new Office of Workforce Planning
and Management (WFPM) as approved in our fiscal year 2003 full time
equivalent appropriations request. This office is responsible for
position management, organizational analysis, and succession planning.
WFPM staff has conducted an Administrative Study in which they
evaluated the need of administrative positions, the duplication of
positions, and whether AOC's positions and functions align with the AOC
Strategic Plan.
In September 2003, the AOC launched AVUE, a Digital Services
Recruitment and Staffing Module that lists all AOC vacancy
announcements and allows job applicants to apply online. In addition,
all position descriptions are developed in AVUE. Its implementation has
significantly reduced the time it takes to generate and issue a
referral list of qualified candidates to managers, thereby reducing the
time to fill vacant positions.
With the assistance of the Office of Information Resources
Management, kiosk computer stations were established in every
jurisdiction so AOC employees can have access to computers to develop
their employment profiles, view vacancies, and apply for AOC vacancies
at any time. In conjunction, we opened an AOC Employment Center. The
center is open every Tuesday and Thursday and by appointment. AOC Human
Resources staff members are available to assist employees in developing
their employment profiles and providing instruction to apply for
positions online.
INFORMATION TECHNOLOGY
Our budget request for the Office of Information Resources
Management (OIRM) has increased as a result of our efforts to
centralize all information technology (IT) functions under OIRM. In the
past, individual jurisdictions controlled some portions of IT funds.
In addition to bringing AVUE online, OIRM successfully managed a
number of projects this past year including: developed and published
the AOC's Enterprise Architecture; completed the foundation for the
upgrade to AOC's network, AOCNET; completed the infrastructure build-
out at the Alternate Computer Facility (ACF); implemented the Financial
Management System fixed assets module on schedule which provides the
AOC with automated records of its fixed assets and enables the
Accounting Division to record automated depreciation entries in the
general ledger (proper accounting of fixed assets is required to
receive an unqualified audit opinion); developed and launched the
Senate's web site; and completed the AOCNET Fiber-optic Ring Project.
SENATE RESTAURANTS
Another area in which we provide client service is in the Senate
Restaurants. We have been making strides in reducing economic
dependency over the past few years through cost reductions and the
marketing of our services.
Our management has taken a number of steps to help resolve some
issues regarding its billing procedures including: sending out bills to
collect unpaid balances; implementing a detailed code system to explain
charges and verifying who authorized such charges; and billing on a
more regular cycle.
The Senate Restaurants offer services designed to provide Senate
Offices with new menu options when planning small, in-office functions
that are less expensive than fully catered events. Senate staffers can
log on to our expanded web site and check out the daily specials in
each restaurant and look for special events. The site is registering
more than 5,000 hits per month.
This year we upgraded our cash registers in both the North Servery
and Senate Chef to accept credit cards. Shortly we hope to institute a
discount debit card for use in the North Servery as well.
Finally, I am especially pleased to inform you that for the sixth
straight year, independent auditors have found no reportable conditions
or material weaknesses in financial controls.
CONCLUSION
The Office of the Architect of the Capitol has been serving
Congress since 1793 and continues to provide client services through
hurricanes, ice storms, anthrax, and ricin incidents.
Over the past year, we have undergone significant change and have
reaffirmed our commitment to providing high-quality service to Congress
and the American people. Our request for funds is in direct response to
our customers' requests for important projects and programs. In
addition, we continue to strive to achieve the level of safety,
security, preservation, and cleanliness, expected across the Capitol
Complex.
I am dedicated to providing a safe, secure, and productive
environment for all who work at the AOC and for those who work and
visit the Capitol Complex each year. We have completed thousands of
work orders, have met our clients' expectations, and have achieved our
goals due to the hard work and dedication of all our 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. Once again, thank you for this opportunity to
testify today. I'd be happy to answer any questions you might have.
CVC LANDSCAPING
Senator Campbell. Once the pavers are on the plaza, is
there going to be an automobile parking lot, or is that going
to be a garden look?
Mr. Hantman. Certainly, from the perspective of the front
yard to the Capitol, Mr. Chairman, my recommendation would
certainly be that parking would be extremely limited to those
people who really need to bring cars up onto the east plaza.
But that is clearly an administrative decision for the----
Senator Campbell. Are we going to replant the grass and
some of the trees that were there?
Mr. Hantman. Absolutely. Absolutely. We will, in fact, have
more trees----
Senator Campbell. There will be enough soil, on top of the
roof of that, to be able to hold trees?
Mr. Hantman. The areas that have been directly adjacent to
the Capitol, say, between the central rotunda steps and the
Senate steps, between the central rotunda steps and the House
steps, those panels will be there. We will be having grass,
just as Mr. Olmstead originally planned it. The concept was not
to have heavy trees or gaudy planting that would detract from
the building itself at those locations.
So, those will be replaced. We will have adequate room for
growing the grass that we need in those panels, as well as on
the eggs. The House and the Senate eggs will be replanted.
Trees, the alle of trees leading down East Capitol Street will
be fully replaced with trees that are in line with the original
design of Mr. Olmstead.
Senator Campbell. And you feel confident that the surface
is going to be done before the 2005 inaugural activities?
Mr. Hantman. We will have that surface ready for--if there
is a motorcade for the President, if the helicopter, the
Presidential helicopter has to land, it will be in place, the
troops need to pass in review, that will be all ready for that.
FISCAL YEAR 2005 FUNDING REDUCTIONS
Senator Campbell. We have big problem with money this year,
as you know. AOC has requested a 41 percent increase. That is
large and it may be very well needed, but it will be tough to
accommodate. I have asked everyone who has come before our
committee, what happens if we cannot fund that request? Have
you prioritized what is the most important thing that we need
to be aware of if we need to trim some money from your request?
Mr. Hantman. Well, within my agency, Mr. Chairman, I have
really reviewed both operations and the capital improvement
requirements that were requested by the superintendents of each
of our jurisdictions; a separate jurisdiction for the Senate
office buildings, the House, the Capitol, Library of Congress.
And we balanced their priorities for fire, life safety,
security, and operational requirements, against the fiscal
realities; to ensure that we could fulfill our responsibilities
without significant budget increases.
In addition to refining the AOC needs for maintenance
operations and funding for capital projects, we also worked
very closely with our clients to ensure that we were addressing
their needs as part of the requirements of the overall Capitol
complex.
I recently requested that the Library of Congress and the
Capitol Police review and formally reconfirm their needs and
requests, and they have done so. I have letters for the record
submitted on March 23, from Dr. Billington, and April 5, from
Chief Gainer, which really talk to their projects and the need
for those very important projects.
[The information follows:]
The Librarian of Congress,
Washington, DC, March 23, 2004.
The Honorable Alan M. Hantman, FAIA,
The Architect of the Capitol,
Washington, DC.
Dear Alan: In response to your March 10 letter, I am writing to
reaffirm the Library's mission-critical need for the following projects
in the Architect of the Capitol (AOC) fiscal year 2005 budget.
Fort Meade Modules 3 and 4: $39,500,000
There has already been a delay of more than five years in obtaining
this desperately needed space.
Failing to fund Modules 3 and 4 in fiscal year 2005 would adversely
affect library materials.
--The special format collections that are scheduled to fill Modules 3
and 4 and the four specially designed cold vaults total
approximately 26.2 million items, and include: 500,000 reels of
microfilm masters, many of which are in imminent danger of
deterioration that will render them unusable unless they are
transferred to cold storage; 10 million manuscripts; 340,000
maps; 750,000 print and photographic negatives; and 500,000
boxes of special collections from the collections of Prints and
Photographs, Music, Law, Rare Book and Special Collections,
Folklife and rare bound volumes from Serials and Government
Publications.
Many of these materials are stored in conditions that do not meet
preservation standards. Others are stored in better environmental
conditions, such as Iron Mountain, but are not readily retrievable for
processing or consultation by researchers, seriously hampering core
Library activities.
Copyright Deposit Facility: $59,200,000
A delay in funding would: add more time of storing copyright
deposits in unsuitable conditions, further advancing the deterioration
of these deposits; and continue the risk of public criticism that
copyright deposits are not being preserved to meet the requirements of
the law.
We are currently storing more than 135,000 cubic feet of copyright
deposits.
Copyright's capacity requirements will grow, particularly with the
1999 Copyright term extension, which means the Office will have to
store unpublished deposits for an additional 20 years.
Collections Security (Secure Storage Rooms): $860,000
In compliance with the Library's congressionally approved
Collections Security Plan, funding is needed for the construction of 12
secure storage vaults within the Library's three Capitol Hill buildings
to house all ``platinum'' and ``gold'' collections.
Current funding allowed the construction of five vaults; fiscal
year 2005 funding will support an additional three vaults, with the
remaining four vaults built in fiscal year 2006.
A delay in the construction of the vaults could result in a life
expectancy of about 20 percent of what it would be if the collections
were stored under proper environmental conditions.
Cafeteria Equipment: $210,000 (Price Correction from Memo)
The continued maintenance problems of current cafeteria equipment
(dishwashing machine) add service cost through staff downtime and
additional use of paper products.
If not funded, the condition of the equipment will continue to
deteriorate, consuming additional AOC maintenance labor hours needed
elsewhere.
With machinery not fully operational, it creates a safety hazard
with operators and health concerns with Library staff and patrons.
Study--Book Conveyor Integration/Upgrade: $400,000
Without this funding to study the alternatives for correcting
numerous deficiencies with the existing book conveyor systems, service
levels will continue to decrease. This may ultimately lead to a
complete failure of the book conveyor systems.
The decreased service levels will impact the Library's ability to
efficiently deliver materials to its staff and other customers, and
severely impact staff resources by eventually forcing the manual
delivery of books and research materials.
Funding is not required for the Madison Loading Dock Expansion
($125,000), and should be deleted from the fiscal year 2005 budget
request.
If you have any questions regarding the Library's fiscal year 2005
AOC budget requirements, please contact Budget Officer Kathryn Murphy
on 707-5186.
The Library appreciates the AOC's continued support with its
buildings and grounds requirements.
Sincerely,
James H. Billington,
The Librarian of Congress.
______
United States Capitol Police,
Office of the Chief,
Washington, DC, April 5, 2004.
The Honorable Alan M. Hantman, FAIA,
Architect of the Capitol, SB-15, The U.S. Capitol, Washington, D.C.
Dear Mr. Hantman: This is in response to your letter of March 10,
2004, requesting that we validate the inclusion, and provide a
statement as to the effect on our operations of deferring the three
USCP facility projects contained in your fiscal year 2005 budget.
Firing Range Design and Construction $12,000,000
The original partnership with the Federal Law Enforcement Training
Center (FLETC) on the new training facility in Cheltenham, Maryland
included 26 agencies. With the creation of Department of Homeland
Security and subsequent merger with Treasury/FLETC, the facility now
serves 70 plus agencies but the size of the range has not grown
proportionally. We continue to work with FLETC regarding issues on
availability of the facilities as well as funding requirements. We have
also been working with the Appropriations Committees regarding the
resolution of the issues. However, the issues remain unresolved. If the
scheduling requirements for all USCP firearms training and re-
certification can be accommodated by the FLETC, the USCP will not
require the facility requested by the AOC. However if the facility
availability issues are not worked out to our satisfaction, the
construction of a new firing range is critical to the operations of the
USCP.
Fairchild and GPO Build-Out $12,500,000
It is our understanding that the AOC only has funding for fit-out
of one of the four plus floors leased on behalf of the USCP in the
Fairchild building. Without the $12.5 million, renovations necessary to
occupy the remaining three floors could not be made. Without occupying
this space, the USCP cannot relieve exiting overcrowded conditions and
provide for current growth of personnel and equipment. We therefore
request that this item remain in your budget.
Off-Site Delivery $6,400,000
The current off-site delivery facility at P Street S.E. is in
dilapidated condition. It no longer sufficiently meets the operational
needs of the Congressional community nor does it address the growing
security requirements of the Congress. A new facility is critical to
the operations of the Congress. Given the current real estate market,
we need to be ready to immediately respond when an acceptable site is
identified. Therefore, we request that you continue to support this
funding in fiscal year 2005.
Thank you for requesting our input in these facility related issues
that so critically impact our operations. If you have any operational
questions please do not hesitate to contact Captain Morris, on 224-
4161.
Very Respectfully,
Terrance W. Gainer,
Chief of Police.
FISCAL YEAR 2004 SPENDING LEVELS
Mr. Hantman. Our goal, Mr. Chairman, would be to maintain a
steady state of operations at the same level as fiscal year
2004, providing essential services, as expected, levels of
safety and security throughout the Capitol complex. Our new
capital projects requested by our clients, which are valid and
important needs, would have to be deferred, if we, in fact,
were left at the fiscal year 2004 level.
Senator Campbell. Okay. I interpret that to mean they are
all high priorities?
Mr. Hantman. All of them, sir.
Senator Campbell. I understand that you have unobligated
funds from last year and prior years. Can we reprogram any of
those unobligated funds to projects planned for fiscal year
2005?
Mr. Hantman. We do have a large balance of unobligated
funds, as you mentioned. This includes a number of long-term
projects, some of them being built in phases, some of them
allocated towards the Power Plant, towards the CVC. But there
are several parts of that unobligated balance that could be
reprogrammed and reused, assuming that they would be
replenished in future years.
For instance, there is some $63 million to purchase the
Alternate Computer Facility. If we wanted to continue renting
for a period of time, that might be a possibility. There is $16
million in unobligated funds for the National Audio-Visual
Conservation Center. That is the Government's share of the
funding that is being provided by the Packard Foundation. If
that were replenished in a timely way to give that money
towards that project, that might potentially be used.
We do have other large unobligated balances for security,
and for the Cheltenham training facility, all of these issues.
But there would be things we certainly could talk to for
possible reprogramming, if, in fact, they were replenished in a
timely way.
Senator Campbell. We have given you an awful lot of work to
do. Should we consider perhaps a 1-year moratorium in on any
new projects?
Mr. Hantman. Mr. Chairman, we have effectively, in our
budget preparation timeframe, pretty well scrubbed--we
essentially incorporated a moratorium within the AOC for our
basic projects, already. When our superintendents came to us
with their requests, we basically said we are going to have--
and I think you referred to it in your comments--about an 18
percent increase in cost of living, in life-safety projects,
and the cost of utilities. We have absorbed that within our
total budget amounts.
By doing that, by absorbing that 18 percent, we essentially
already cut back on capital projects that we were trying to
achieve within our fiscal year 2004 levels. So, we have started
doing that already, sir. But as you have indicated, we
certainly do have a very significant workload, and we are
trying to work through that.
CAPITOL POWER PLANT
Senator Campbell. Okay. Thank you. You also mentioned the
Capitol Power Plant. Eighty-two million dollars has been
provided in the last several years for that. What is the status
of the project? I did not remember hearing if it is on time or
on budget.
Mr. Hantman. We are definitely on budget. That project is
proceeding well. There have been delays. The delays are the
same issues that we faced on the Visitor Center: weather-
related delays, utility-related delays; about 120 days, to
account for that.
But one of the things that we are doing, because the east
plant--the east refrigeration plant is in such poor shape right
now and that is, of course, why you have granted us the ability
to expand the west refrigeration plant and upgrade it, is we
are taking two 3,000-ton chiller units and putting them
temporarily in the east refrigeration plant; so that we can, in
fact, make sure that we meet all the requirements for heating
and cooling at the Capitol.
Those two refrigeration units will be moved into the west
plant as we move ahead. So, the fact that we are behind
schedule should not impact the operation and supply of
utilities to the facilities themselves; and if we want to buy
back some of that lost time, it would be fairly expensive. So,
we think that the solution of having these temporary machines
put into the existing east plant, moving them over is the more
financially appropriate way to proceed.
Senator Campbell. Okay. Thank you. Senator Durbin, I will
yield to you for some questions.
CAPITOL VISITOR CENTER MANAGEMENT
Senator Durbin. Thank you very much, Mr. Hantman. We thank
you and your staff for being here today, and I want to
particularly thank Matt Evans, the landscape architect, for his
cooperation and work with our staff on the Rain Garden project,
which we talked about last year. They are giving me good
reports and I thank all of you for your work in that regard.
I would like to make a statement for the record that there
have been some suggestions that the Capitol Visitor Center
needs a new bureaucracy, that we need to create a new office to
manage the Capitol Visitor Center. I think that is a very bad
idea. I think the Capitol Visitor Center should be administered
by your office. There may be a particular element that requires
someone on your staff to be assigned to that. But to make that
a separate operation, as someone suggested, I just think adds
another layer of bureaucracy and confusion that is expensive
and unnecessary.
WORKER SAFETY
I would like to ask you about a few things that have been
recurring topics. One was worker safety. Several years ago, the
reports were not too good in terms of workers' compensation and
injuries on the job. We brought in some people to give some
advice on that. What is the status today?
Mr. Hantman. Senator Durbin, I think with your impetus and
the help with this committee, we have really addressed that
tremendously. As you probably recall, we essentially had the
worst safety record in the Government at that point, something
like 17.3 percent injury rate per year. We have cut that down
tremendously with a very active life-safety program going on;
and every year, we continue to make more progress on that.
As of now, again, since the year 2000, we have cut down 56
percent in terms of the injury rates. We are down to 7.9
percent, which puts us approximately in the middle of Federal
governmental agencies. Again, given the fact that we are
largely a blue-collar, shop-oriented organization, that is
saying an awful lot compared to some of the white-collar
oriented groups. But I share your concerns. I continue to make
this a very high priority and make sure that all of our people
have the right protective gear, and that they have training.
We are about to initiate a new program, in fact, where we
have all of our supervisors and front-line people with new
buttons that they have to put on and wear in the field every
day to assure that they recognize that safety is one of our
highest priorities, and that they talk to their people about it
on a day-to-day basis. So it is very active, a lot of good
movement, and we still have a ways to go.
RECYCLING PROGRAM
Senator Durbin. On the recycling program, it is my
understanding that there were 90 offices that were involved in
the recycling program.
What are we doing to encourage offices to enroll in the
recycling program?
Mr. Hantman. We have a dedicated team, Senator, that goes,
essentially, to visit every committee as well as every Member's
office. As you know, this is a voluntary program. We do
encourage it. We encourage it also by making it as simple as
possible to recycle.
One of the recommendations from the outside consultants,
that we had brought in on this, was the fact that we combine
the mixed paper and the high-grade paper together so that we do
not have two separate bins at the desk for people to use. It
makes it easier for them. Hopefully, the education process we
are using, that says please do not drop your lunch into the
recycling bins, because that gives us essentially bales and
bales of material that cannot be recycled and effectively used.
We have essentially cut back almost to a zero percent
rejection by our vendors, because the amount of garbage that
has gone into these bales has been cut down to such a great
extent. So, we are making an awful lot of progress on that.
Again, your support has been critical to that.
PROJECT TIMELINES
Senator Durbin. I did a little research--or my staff did,
about how long it takes to do things. I asked them, how long
did it take to build the Dirksen building. It turns out it was
3 years and 9 months. How long did it take to build the Hart
Senate Office Building? It turns out it was 6 years and 8
months, 80 months compared to 45 months. The reason I asked
that was because I have been watching the progress on the north
end of the Dirksen building restroom remodeling. I can remember
the exact day that the remodeling started. It was Halloween. So
some 6 months ago, we started remodeling the bathroom.
I remembered what happened on the south end. It seemed like
1 year. Was it?
Mr. Hantman. I would have to check on the timeframe,
Senator.
Senator Durbin. Who monitors that, to make certain that
things are actually being done each day, and that they are on
schedule.
Mr. Hantman. Our superintendent of the Senate office
buildings and his staff monitor those projects internally. I
will check immediately on what the issues are on that specific
area.
Senator Durbin. Could I suggest that the Architect put up a
sign where they announce that the restroom was closed,
construction began October 31, 2003, as kind of an incentive to
maybe complete it? Now, I have had kitchen remodeling and
things, and I know that it goes on, and on, and on; but it just
seems like an extraordinarily long time to remodel a bathroom.
Six months. I know that they are doing it several floors at a
time but, if you could look into that, I would appreciate that
very much.
Mr. Hantman. I absolutely will.
[The information follows:]
Dirksen Bathroom Remodeling
Question. Why is it taking so long to remodel the bathrooms
at the North end of the Dirksen building? Is it possible to
place a sign depicting when work commenced as an incentive for
completion?
Answer. The Dirksen Bathroom Renovation is proceeding on
schedule and on budget. The duration of this project is a
function of many constraints, specifically, hazardous materials
abatement, constrained working environment and restricted work
hours. Hazardous materials abatement requires the construction
of containment areas to ensure environmental and OSHA
compliance while limiting specific trades progress. The
physical size of the space restricts the amount of manpower
which can safely work at any one time thus extending the
critical path of the project. Finally while working in an
occupied building a significant number of activities are
limited to night work to minimize disruption to the clients.
As of April 19, 2004, the Senate Superintendents Office
replaced the existing signs with signs that included the
project start date and completion date.
SENATOR OFFICE BUILDING ENTRANCES
Senator Durbin. Let me ask you about the entrance ways. You
made reference to them. There are times when employees come to
work or there are large groups of visitors, when people are
standing outside, waiting to get in to go through security,
sometimes in bad weather. Are there any design changes that you
are considering to accommodate that possibility, where people
might be out in the rain, or the snow, or cold weather, or
heat, that are visiting our buildings?
Mr. Hantman. We do have a plan at the Russell Senate Office
Building on Delaware Avenue, just to the north of the major
steps entering that building. We have a project in place to
build a larger vestibule outside the face of that building,
where people can be screened outside of the structural
framework of the building itself, so if an incident does occur,
it will be less damaging to the building itself.
This will facilitate the ability of people in a very tight
entrance to be able to come in and back up a bit. That would be
the major entrance for ADA, as well as a security perspective.
Senator Durbin. And that is for the other buildings, Hart,
Dirksen?
Mr. Hantman. The first--this was the first pilot project.
We wanted to do this first. We were looking at the possibility
of doing Dirksen on the D Street side, as well as taking a
look--Hart already has the canopy out on the Second Street
side. But Dirksen would be the next.
CVC COST TO COMPLETE
Senator Durbin. With regard to the Capitol Visitor Center,
do you believe the current estimated cost of completion, $351.3
million, is accurate?
Mr. Hantman. These are the dollars that we have had come
up. As you know, the original project budget was $265 million.
We had $38 million added, after the 9/11 timeframe, and some
$48 million added to the project as the result of the General
Accounting Office's analysis of the project to complete.
We believe that--we are working very diligently towards
making sure that we can work within these budget guidelines. We
are at a very delicate point in the project, Senator, which
says that our second major contractor, which is Manhattan
Corporation, is just about to come on-site. The integration of
the 3,000 elements that have to be integrated between our
first-phase contractor and our second-phase contractor are
still being worked out in terms of their overall scheduling.
If we can get them together most effectively, and that is
one of the reasons we brought on Bob Hixon as our executive on
the project. People in the field need to coordinate this most
effectively. It is a very tight budget and we are working very
effectively towards trying to mitigate any claims and issues
that the contractors may have, and we will have a better handle
on that in the next several months.
CVC PROJECT MANAGEMENT
Senator Durbin. When did you decide you needed a new person
to manage the CVC project?
Mr. Hantman. There were a series of issues, Senator. One of
the issues certainly was the fact that because of the weather-
related delays, and the other site surprises that our sequence
one contractor had, it became evident that we were going to
have to have our sequence two contractor work side by side with
them, as opposed to turning over the work at one point in time
for the second firm to start.
When it became very clear that the integration of all of
this work in the field would become even more critical, we
recognized that further field support would be necessary. In
fact, we asked Gilbane to bring on people who were less
administrative but more field-oriented, so that we could
coordinate the work.
RESTAURANT OPERATIONS
Senator Durbin. Are you under any timetable or plan to
privatize any of the restaurants in the Capitol complex?
Mr. Hantman. We have no plan to do that.
[The information follows:]
Senate Restaurants
In reference to my statement regarding privatization of the
Senate restaurants I would like to clarify my response. My
original response of ``no'' is correct, although ongoing
deliberations with the Capitol Preservation Commission about
dining facility operations in the Capitol Visitor Center has
raised the issue of privatization. In fact, the consultants
reviewing the proposed operations for the CVC have recommended
privatization of the dining facilities to the Capitol
Preservation Commission. In the context of a new contract for
food service operations there have also been discussions of
including options for potential inclusion of both the existing
Senate and House Restaurants. If this decision is made in the
future, I anticipate that it would include provisions for
current restaurant employees.
RETAIL SALES
Senator Durbin. Can you tell me if there has been any idea
of starting a retail sales operation at the Botanic Garden?
Mr. Hantman. We have been looking for some kind of
authority to do that from the Joint Committee on the Library.
As you know, the Botanic Garden, for purposes of security, was
made part of the Capitol grounds, for the first time in the
last year or so. We think that having a sales facility in the
Botanic Garden makes an awful lot of sense. We do not have the
authority to accept funds, to augment our income through such
facilities but we would like to have that, pretty much as the
Library of Congress has.
Senator Durbin. I understand that there may be some gift
shops in the Capitol Visitor Center. Is that correct?
Mr. Hantman. There will be gift shops. In fact, the
committee that Ms. Reynolds referred to before, the Capitol
Preservation Commission, is looking at how that will be
operated, who will operate the gift shop, what kind of
organizational structure, that you referred to, would be put in
place to manage it. That has not been settled yet.
CVC EXHIBITS
Senator Durbin. One of the other things that I have talked
to a number of Members about, and there seems to be interest
in, is perhaps in the Capitol Visitor Center, creating a new
opportunity for the States to honor some person. Statuary Hall,
with the two statues from most States, generally date to heroes
and heroines of a long time ago. There are some notable
exceptions to what I just said. But in my State's case, it goes
back to quite a few years. I was wondering if we could work
with you to try to set up the situation where it might not
involve a statue or plaque, where States could, again, at their
own expense, honor a more contemporary person from each State
in that new Capitol Visitor Center.
Mr. Hantman. I would be more than happy to work on that
with you, Senator, and your staff. One of the things we have
been looking at, by the way, is, as you are aware, there is a
great hall, a major space in the Capitol Visitor Center. We
have been talking at the Capitol Preservation Commission
meetings about the possibility of moving some existing statues
from the Capitol Building into the Visitor Center, to give it a
sense of scale, a sense of tradition, to tie it into the
Capitol Building itself.
As you are aware, for the first time in the history of the
Capitol, one of the States recalled a statue of one of their
people. This was Kansas. They recalled Governor Glick and put
in a statue of General Eisenhower, which now stands in our
Capitol Rotunda. We have been getting several other suggestions
from states and indications that they want to recall statues,
and bring in Amelia Earhart, or other people, from their States
that might, in fact, give us a better sense of the diversity
and history that our country has.
So, we do have room in the Capitol Visitor Center for
statues; and clearly, some of them are not very well displayed
in the Capitol Building at this point in time. They are kind of
tucked into corners and not paid the kind of respect that
they----
Senator Durbin. Well, there is some talk in Illinois about
Michael Jordan, but I do not know if that would be the honoree.
I will just wait and see. I will let somebody else make
that decision.
CAPITOL FENCE
The last thing I would like to weigh in on is the great
fence around the Capitol, like the Great Wall of China. Can you
tell me where you stand on the great fence proposal?
Mr. Hantman. Well, clearly, I sat here, Senator, last week,
along with the Capitol Police Board and Chief Gainer on that. I
think that both of you gentlemen spoke eloquently to the need
to balance security and openness. It is not an easy question.
The Capitol Police Board has certainly given the freedom,
and the police should be taking the freedom, to bring
recommendations and concerns to the police board and take a
look at all the options that are on the table. That is, in
effect, what the Chief was doing.
There has been no formal movement on that. It has been an
issue that has been on the table, as you know, for a generation
at this point in time. So, we continue to look at all the
alternatives that the Chief presents to us and try to determine
what needs to be recommended to the Congress. But no official
movement has been made on that.
Senator Durbin. My concern is then, and I share the
feelings of the chairman, that I just do not think that this
ought to be something that we push forward unless we are shown
that it is absolutely the only alternative. But it seems like
the belt-and-suspenders approach, having put in all these
bollards to deal with traffic, and then to establish a
perimeter fence, and keep traffic away from the bollards. I am
not quite sure what the thinking is there. But I will keep an
open mind, because we want everyone to be safe in the Capitol
complex; but from an aesthetic viewpoint, I think it would be a
disaster.
Thank you for your testimony.
SENATE RECYCLING
Mr. Hantman. My staff just slipped me a note, sir, and it
indicates that the Senate Appropriations Committee does
recycle. I will be happy to provide you with additional
information on that.
[The information follows:]
Recycling
Question. Does the Senate Appropriations Committee
participate in the recycling program?
Answer. The Appropriations Committee was provided with
recycling bins, instruction and training to implement the new
combined paper recycling program on March 12, 2004 and they are
currently participating in the program.
CLOSING STATEMENT
Senator Campbell. Mr. Hantman, I have several other
questions I am going to submit in writing, if you would get the
answers back to the committee. I have one that is not really an
important question but just to settle it in my own mind, if you
would. You talked about the fire alarms in your testimony, new
fire alarms being put in the building some years ago. I have
been in the same office for the last 12 years, over in the
beautiful older building, the Russell. I love it over there. I
never wanted to move from there, in fact. I have one of those
old offices that has a fireplace, and there have been logs in
that fireplace for 12 years, and I have been dying to light
them up. Do those things work?
Mr. Hantman. There is always a balance, Mr. Chairman,
between the need for fire security and in fact, as you are
probably aware, there have been an awful lot of requests in the
Capitol Building itself for activating fireplaces, which
sometimes have had ducts run through them, or wiring run
through them over the past number of years. We kind of look at
that as a one-on-one type of situation. Clearly fireplaces,
especially when you have alarm systems in the building, are not
wonderful.
ADDITIONAL COMMITTEE QUESTIONS
Senator Campbell. No, not a good thing. Okay. I guess I
will have to leave the Senate then never having been able to
use that fireplace. But I will have to live with that.
[The following questions were not asked at the hearing, but
were submitted to the Architect for response subsequent to the
hearing:]
Questions Submitted by Senator Ben Nighthorse Campbell
CAPITOL VISITOR CENTER
Question. What is the status of the Capitol Visitor Center?
Answer. Overall, Sequence 1 is approximately 60 percent complete
and Sequence 2 is underway--with 10 percent of the value of their
fabrication work underway--largely of stone.
Significant progress has been made throughout the CVC site.
Specifically, the roof deck now covers the entire western half of the
project area and most of it has been waterproofed. Crews have begun
placing the topping slab on the north side of the site and we will
begin setting granite pavers on the deck in May.
Our project team continues to integrate the schedules of Sequence 1
and Sequence 2 contractors and we are reconciling a number of issues.
Gilbane has added resources in the areas of management, change
resolution, scope-gap identification and engineering support. As a
result of these partnering efforts, we have seen tangible progress and
results.
Most importantly, we are on track to meet the requirements to
support the inauguration in January 2005 and to complete and open the
Visitor Center in spring 2006. The overall base project budget stands
at $351.3 million. This amount includes the $265 million appropriated
for the core CVC space and the shell for House and Senate expansion
space; $38.5 million for additional security enhancements funded after
September 11, 2001; and $47.8 million to accommodate higher than
expected bids, additional changes in scope and design due to unforeseen
site conditions and weather impacts, and the management and
construction costs associated with the scope and design changes, as
well as contingency funds. Additionally, $70 million has been
appropriated for the build-out of the House and Senate expansion
spaces. An issue we are currently working through is the significant
increase in steel prices which might impact portions of the work that
have not yet been procured.
Question. What are the most significant problems you have
experienced in this project to date?
Answer. Any project that requires a massive excavation has the
potential to encounter unforeseen conditions, and our project, has been
no exception. During our preconstruction effort, before actual site
excavation began, we encountered many difficulties during our utility
relocation effort. Every utility line running through our project
footprint had to be relocated and, more often than not, the drawings
that were available to us, some dating back to the early 1900s, were
inaccurate and unreliable. The utility relocation effort took months
longer than expected.
Another significant problem arose after the events of September 11,
which prompted a full project design review. While the general layout
of the facility did not change, we were required to provide for more
robust mechanical systems, which in turn, required some structural
changes. Increased on-site security also made delivery of materials
more challenging.
Most problematic was that at the height of our excavation process
in January 2003, we endured the second wettest year on record for this
region. It is very difficult to move heavy equipment in the mud, it is
difficult to excavate, and the material becomes undesirable as backfill
at other project sites. Further, crews cannot erect steel in the rain
and they cannot weld, so structural work was also hampered. On top of
the persistent wet weather, we lost several days due to heavy snowfall
and several more days preparing, and then restoring the site, after
Hurricane Isabel.
Finally, we also experienced unforeseen conditions during the main
excavation of the site. One example is the discovery of an old well
approximately 40 feet below the original House wing, directly in the
path of our perimeter wall. To clear the path for our perimeter wall,
the large stones around the well had to be crushed and removed and a
stable base for our perimeter wall had to be established. In short,
what should have taken one week to place three perimeter wall panels in
that location took close to eight weeks.
Question. What are the biggest challenges ahead of you?
Answer. Our most significant challenge is coordination between the
Sequence 1 and Sequence 2 contractors. There remain more than 3,000
project line items to be accomplished between the two contractors and
these activities need to be closely coordinated and sequenced so that
work can be accomplished efficiently and expeditiously.
Also, there is still a potential for unforeseen site conditions
related to excavation of the Library of Congress tunnel and our main
utility tunnel down East Capitol Street, which could result in schedule
delays. Other unknowns related to changes in scope, changes in the
security environment (such as those that occurred after September 11),
severe weather conditions, or other external factors could present
further challenges.
Question. Are you confident you will be able to complete the
project within the funds appropriated to date?
Answer. The CVC budget is very tight, but barring any significant
unexpected site conditions, scope changes, or other unknown issues, we
will continue to work diligently to stay within the available funding.
Once the Sequence 2 contractor begins working on the site, this will be
much easier to gauge. Until now, most Sequence 2 work has been
preparatory in nature as the contractor waits for space to be turned
over by the Sequence 1 contractor.
Question. The western half of the plaza is to be sufficiently
complete to support 2005 inaugural activities. Are you confident you
will meet this critical milestone?
Answer. Yes. The western half of the plaza from the large skylights
to the face of the Capitol, from the House Steps to the Senate Steps,
will have a completed roof deck covered by granite pavers. This portion
of the plaza will be able to accommodate pedestrian and vehicular
traffic, including the presidential motorcade, and if necessary,
support the landing of Marine One. Presently, we are placing the top
slab on the plaza on the north side of the roof deck and we expect to
see stone masons placing the first of 200,000 granite paving stones in
May.
Since last year, the CVC project team has had discussions with
Capitol Preservation Commission staff and senior staff of the Senate
Rule Committee regarding the requirements and expectations for the
January 2005 Inauguration ceremony.
Question. You have recently changed the management team of the CVC.
Can you explain how the new team will change the way the project is
managed?
Answer. I would characterize the recent personnel changes, in
particular, the additions of Messrs. Bob Hixon and Gary Lee from GSA to
the AOC, as well as the addition of a new construction manager by
Gilbane, not so much as a change in management approach, but more as a
strengthening of the management team with greater ``in-the-field''
experience, made necessary by the intensive coordination efforts that
are required to closely integrate the Sequence 1 and Sequence 2
activity schedules.
Bob Hixon has provided knowledgeable advice and assistance to me
informally for several years while GSA has been actively working with
the AOC on the procurement side of the CVC project. As Director of the
Center for Construction and Project Management at GSA, Mr. Hixon has
been responsible for GSA's Construction Excellence Program, bringing
the highest possible standards of construction management to a
portfolio of more than 160 projects worth more than $5 billion. Mr.
Hixon joined the AOC effective March 7, 2004, and has assumed
responsibility for the project. He has begun conducting an in-progress
review of the construction management of the CVC, including
recommending changes and best practices to be followed in the
construction management area involving both the Sequence 1 and 2
contracts.
Question. You have requested 51 CVC-related staff in your budget
request. Are all of these staff really needed in fiscal year 2005 if
the facility will not open until 2006? Will any of the 16 FTE
authorized for the current year be utilized?
Answer. Many options related to the startup of the operations of
the CVC are still being considered. These numbers are based on the best
information available provided by the J.M. Zell Company, the operations
startup contractor, working with the Capitol Preservation Commission.
Once the decision regarding how and by whom the CVC will be operated,
some refinements may be appropriate. The Capitol Preservation
Commission requested that, in the interim, we submit this request in
our budget.
Ten of eleven currently authorized FTEs are working on project
management and other directly related tasks for the CVC and one
position is currently vacant. The remaining 5 FTEs are not being
utilized in the current year. We have requested that the funding to
support these FTEs be reprogrammed to fund other activities within the
project.
CAPITAL IMPROVEMENT PLAN
Question. Several years ago this Committee directed AOC to develop
a master plan for the Capitol complex as the existing master plan is
nearly 25 years old. What is the status of the master plan? What is
your Capital Improvement Plan and how does it relate to the Master
Plan? What are the most significant construction requirements we can
expect will emerge from this planning process? Do you have any estimate
of how much funding might be required for maintenance and repair
projects over the next 5 years?
Answer. In the fiscal year 2004 budget, $4.2 million was
appropriated for the development of the Capitol Complex Master Plan. We
have narrowed the list of prospective architectural engineering firms
to four, and have conducted extensive interviews with these firms. A
final selection is expected to be made in May, after which we will
undertake a negotiation with that firm. Contract award and project
kick-off are scheduled for July. The draft Master Plan will be ready
for review by the Committees in 2006.
The Capitol Complex Master Plan provides the umbrella provisions
and guidance under which all project planning and land use will occur
over the next 20 years, and therefore is a critical prerequisite to a
fully functional Capital Improvements Plan (CIP). The Master Plan will
identify major capital projects that are needed whereas our ongoing
Condition Assessments focus exclusively on projects needed to maintain
our existing facilities and include smaller projects falling below the
Line Item Construction Program (LICP) threshold (currently $250,000).
Together, they will be the basis for our future CIPs.
The CIP describes how the Master Plan can be implemented through a
series of achievable planning and programming steps. It presents an
achievable Capital Plan by identifying the projects necessary to
satisfy the goals and objectives of the Master Plan. The CIP implements
the Master Plan in that all known and valid projects are evaluated
against established criteria in the following five categories: Safety,
[Physical] Security, Preservation, Impact on Mission, and Economics
(Cost payback, savings). The inclusion of projects in future CIPs will
be based on a more detailed development and analysis of projects'
requirements, identification of prerequisites, development of
appropriate sequencing, and establishment of priorities. This will be a
principal basis for assignment of projects to a specific fiscal year
LICP. As the Master Plan and the condition assessment are completed,
subsequent CIPs are likely to reflect some changes in project
identification.
We are still in the process of developing our CIP. Until such time
as our condition assessment and Capitol Complex Master Plan are
completed, we will not be able to give the Committee a total list of
projects nor a cost associated with these projects. However, based on
the current draft CIP, the Dome restoration project, additional
elevator modernization, the Fairchild and GPO build-out, high voltage
switchgear, logistics warehouse facility, campus-wide roof repairs, and
the Library's storage modules at Fort Meade and the Copyright Deposit
Facility are among the list of significant construction projects for
the next five years.
CONDITION ASSESSMENTS
Question. AOC planned to award building condition assessment (BCAs)
contracts to assess the House and Senate Office buildings and the
Capitol in 2003. Since these BCAs are an integral part of the Capitol
Hill master plan (expected to be issued in April 2006), what is the
current status of these BCA efforts?
Answer. The Building Condition Assessment (BCA) contract for the
Capitol, House and Senate Office Buildings was awarded on February 26,
2004. BCAs are planned for other jurisdictions as well. The AOC will
begin receiving information from the current BCAs in July 2004--in time
to potentially include projects in the fiscal year 2006 LICP, if an
urgent undertaking is needed. If not urgent, identified projects will
be included in subsequent fiscal year LICPs, as appropriate. Completion
of the BCAs for the House and Senate is scheduled for September 2004.
Upon review, BCA information will be available to the Congress soon
thereafter. The timing of the BCAs is such that they will appropriately
feed into the Capitol Complex Master Plan.
PROJECT MANAGEMENT
Question. One of the major areas cited by the General Accounting
Office as needing improvement within the AOC in its 2003 management
review was project management. How is project management being handled
differently today in an effort to deliver projects on time and within
budget?
Answer. Project management has instituted significant positive
changes in the last year. These changes include: strengthening and
modifying the perimeter security project team to increase its
effectiveness; establishing project priorities; developing a simplified
project summary reporting method that continues to be refined to assure
it provides required information in a concise manner; conducting a
workload analysis; holding staff meetings and monthly Planning,
Coordination and Scheduling (PS&C) meetings to discuss relevant project
issues and encourage teamwork. In addition, there has been an increased
emphasis on use of established procedures, such as best practices. The
roles of the Contractor Officer Technical Representative (COTR) and
their interaction with project managers have been clarified, and there
is greater cooperation between the Procurement, Architecture,
Engineering and Construction Divisions due to increased management
oversight. We have determined core competencies for project managers
and we have developed contract modification management procedures.
CUSTOMER SERVICE
Question. AOC has identified improving customer service as an
important goal. What strategies are being developed to become more
responsive to customer complaints and improve building conditions and
cleanliness?
Answer. The Senate Superintendent's Office is implementing a number
of initiatives to proactively address customer complaints and improve
customer service. In the past year, we have initiated meetings with all
Senate office managers and Committee chief clerks to provide
information on the services provided by the Superintendents Office,
project status, and points of contact for programs such as ergonomics
and ADA issues, as well as personally address and resolve specific
issues with clients. This effort has proved successful as the Senate
Superintendents Office realized an 11 percent increase in pro-activity
as seen in the annual Buildings Services Customer Satisfaction Survey.
In addition, we have initiated our Annual Business Planning effort
with a focus on client service, performance management, and bench
marking. Through execution of the business plan our responsiveness
rating increased 8 percent. While these initiatives have been
productive, we continue to strive to improve our responsiveness to
clients' needs. Current initiatives include the implementation of the
Senate Superintendent's web site which provides a direct link to the
Superintendent's Office, instant feedback on work order status, an on-
line furniture catalog, building information alerts, and project status
updates. Client surveys will be generated automatically and sent to
clients upon completion of a work order to obtain instant feedback
regarding quality and timeliness of service. This survey data will be
analyzed and action plans developed to address common themes and bridge
gaps in service.
With regard to building cleanliness, the annual Buildings Services
Customer Satisfaction Survey indicated a 13 percent increase in
satisfaction with the cleanliness of Member suites. This is a direct
result of the implementation of the quality assurance program which
requires custodial staff to follow comprehensive cleaning checklists,
integrates management quality inspections, and establishes clear lines
of accountability. This year the program has been expanded to include
the public restrooms and integrated into a performance based contract
for cleaning and policing of public areas and restrooms. We also have
intensified our focus on daily inspections of public areas and
restrooms. Through this inspection process we quickly assign the
resources necessary to address building ``hot spots.'' The Senate
Superintendent's Office is currently analyzing the floor care program
and researching best practices and modern equipment to provide world
class maintenance for the various floor surfaces in the Senate Office
Buildings.
With regard to building conditions, the recent award of the
Facility Conditions Assessment contract will provide a comprehensive
assessment of the condition of buildings structures and systems, a 10-
year prioritized plan to address deficiencies, and a complete inventory
and bar coding of systems to complete our current Preventative
Maintenance initiative. Use of this information will ensure the
strategic care of the facilities and world class preventative
maintenance resulting in improved building conditions and performance.
Concurrent with our improvement initiatives, we are promoting a
culture of customer service within our workforce through the use of
implementation tools, best practices, accountability, and employee
recognition.
MANAGEMENT IMPROVEMENTS
Question. In order to improve management of the agency, the fiscal
year 2003 legislative branch bill language was included establishing a
Chief Operating Officer position, and requiring the development of a
strategic plan. Now that AOC's strategic plan has been finalized by the
agency's Chief Operating Officer and he has submitted an action plan as
mandated, what changes can we expect to see in AOC's management
approach and priorities? What milestones have been established to help
the COO and AOC track progress in the development of its strategic
management and accountability framework?
Answer. The AOC is following the actions identified and published
in its Annual Performance Plan and the COO Action Plan as the
foundation for its organizational business priorities. Specific
milestones are published as a part of the Annual Performance Plan and
the COO Action Plan.
The Strategic Plan is linked to more detailed, functional planning
through the AOC Performance Plan. The Performance Plan outlines the
specific actions and milestones planned to achieve our goals. In order
to track progress implementing AOC's strategic initiatives, the COO has
instituted a monthly management reporting requirement. To ensure that
the Strategic Plan is a living document, the Senior Leadership Team
uses the monthly reports to continually assess the Agency's strategic
priorities and make adjustments as needed. The Architect, COO, and the
Senior Leadership Team hosted its first quarterly management review of
AOC's newly-published Strategic and Performance plans with the Agency's
Management Council.
Question. Performance measures are also important to help an agency
manage its progress in achieving its goals, what is the status of the
development of AOC's specific performance measures and how are they
being used to manage the agency? Some areas that AOC designated in its
strategic plan as performance measures to be developed are: client
satisfaction, employee satisfaction, on-time projects, on-budget
projects, project quality, facility maintenance, asset preservation,
employee safety, clean audit, recycling, budget execution.
Answer. While many of the jurisdictions track measures that are
specific to their daily work, AOC does not currently have an Agency-
wide approach to collecting and analyzing this data as it relates to
the Strategic Plan. Over the course of the year, AOC will be developing
a process for cascading the high-level measures identified in the
Strategic Plan down and across the organization. Once that work is
completed, AOC will develop a systematic approach to tracking results
using the measures.
Since 2002, the AOC has conducted an annual Building Services
Customer Satisfaction Survey among occupants of the Capitol, the House
and Senate Office buildings, and the Library of Congress buildings.
Last year occupants of the U.S. Capitol Police Headquarters were also
invited to participate. This year the scope will be expanded to include
Supreme Court building occupants. Respondents are asked to indicate
their satisfaction level regarding 61 areas that cover services
provided by the AOC that range from the effectiveness of the Office of
the Superintendent to the maintenance of sidewalks. Questionnaires are
tailored to each jurisdiction so customers are asked only about
services relevant to them. AOC jurisdictions integrate customer input
in the annual business plans and use survey results to draw specific
action plans. For 2004, the survey period is June 1-20.
Jurisdictions have been implementing a web-based on-going customer
satisfaction survey to assess customers' satisfaction with the on-
demand work order process, from task request to work completion. This
effort is now being implemented in the House and Senate jurisdictions.
Other jurisdictions will follow as they establish websites.
The AOC is assessing the satisfaction of its internal customers
with provided services through focused surveys. The Architecture,
Engineering, and Project Management Divisions and the Safety, Fire, and
Environmental Programs Office have surveyed their internal customers,
and are taking actions based on the results. The Human Resources
Management Division will issue its survey next summer. Other AOC
organizations will join this effort in a coordinated manner to ensure
that action plans are drawn to respond to internal customers' input. We
also will be conducting an AOC-wide employee focus group survey later
this year.
Question. In his action plan, the Chief Operating Officer (COO)
states that he has established a Senior Leadership Team to help lead
AOC's transformation and he also envisions a flatter organizational
structure to facilitate decision making in a more timely manner. What
have been the results of this new structure?
Answer. A new organizational structure was proposed for Committee
review as part of our fiscal year 2005 budget submission. We have been
piloting the new structure and find it has streamlined decision making
and more clearly delineates Senior Leadership lines of authority and
responsibility. Unless directed otherwise, with the approval of the
fiscal year 2005 budget, we will implement an organizational structure
that will assist us in clarifying lines of supervision and
communication throughout the AOC.
Question. One of the Architect's and COO's priorities is improving
communication with employees and stakeholders. What efforts are being
made to communicate agency progress and project status with
stakeholders? What is being done to obtain input from employees? How
will this information be used to help better manage the agency?
Answer. The Architect and the COO have been holding periodic
meetings with stakeholders and have been meeting with employees as part
of their daily business meetings or at special functions within the
jurisdictions. We also have a number of employee workgroups and
committees that provide program and operational information and input
to Agency management. In addition, we are planning to complete an AOC
employee survey later this year. The input from these sources assists
management in the evaluation of Agency policies, programs, priorities
and overall business operations. Employees also make valuable
suggestions for changes/improvements in business processes and delivery
of services.
The AOC recognizes that communication is a powerful tool to affect
change, educate, and empower employees by helping to deploy AOC's
strategic goals throughout the organization.
To effectively reach our audiences and develop the Agency's
message, we have crafted a Communications Plan to establish regular
processes, forums, and mechanisms for employee communication, which are
aligned with efforts to obtain and respond to employee feedback and
other outreach efforts to external audiences.
Through the publication of the employee newsletter, ``Shop Talk'',
and distribution of the electronic newsletter, ``AOC This Week'', and
postings on the AOC Intranet site, messages are frequently communicated
with employees regarding project status, program and policies changes,
and safety messages.
AOC uses a variety of creative vehicles to communicate internally
since our employees work different shifts in many buildings across the
Capitol complex, and not everyone has ready access to electronic tools
such as e-mail and voicemail.
Part of the communication loop is to receive feedback from
employees. We are doing so by the use of surveys, town meetings, and
focus groups regarding specific areas. For example, in January we
conducted an Agency-wide survey asking employees about their
perceptions, opinions, and attitudes about safety. The response rate to
the survey was 62 percent when typically these surveys receive a 30
percent response rate.
This input is used to develop and enhance our safety communications
efforts, identify deficiencies in training, and establish programs to
reward employees for jobs well done.
Externally, the AOC is stepping up efforts to communicate with
Members of Congress, their staffs, community leaders, and visitors
through a variety of vehicles. The strategy for communicating with
these audiences involves the use of personal mailings; reports;
briefings; testimony; press releases; stakeholder surveys, and
meetings. In addition, a quarterly newsletter from the Architect to
Members of Congress reporting on major projects has been developed.
Methods for communicating with other external audiences such as the
visiting public; dignitaries; Capitol Hill community; Federal
government agencies; architects and engineers; historians; vendors; and
the media include: postings/stories on the AOC Internet site--
www.AOC.gov; public meetings; press releases; media interviews; news
stories; speeches; Capitol seminars; targeted mailings; scholarly
articles; trade shows; and small meetings.
Question. Please describe the significant accomplishments to date
completed as a result of AOC's three financial management action plans.
What is the status of AOC's first financial statement audit? How is AOC
leveraging the financial statement preparation and audit processes to
improve financial control and accountability?
Answer. We made significant strides in meeting each of our
strategic financial management objectives. For example, we established
an Audit Committee; we produced our first financial statements and
initiated a Congressionally-mandated financial statement audit; and we
compiled values for all Capitol Hill real property. We also completed
our first external reporting via FACTS I and FACTS II; developed
written accounting policies and procedures; improved our major
consumable inventory process and measurement techniques; and
streamlined critical accounting functions.
According to John Webster, CFO of the Library of Congress (LOC) and
an AOC Audit Committee member, the AOC accomplished in two years
achievements that took the LOC seven years to accomplish.
In 2003, we accomplished the following:
--Drafted and implemented the Audit Committee charter and recruited
highly-qualified and respected independent Audit Committee
members.
--Within two years of establishing an integrated trial balance, we
produced full sets of comparative, OMB-compliant, financial
statements and instituted year-end procedures to record all
adjustments and accruals and closed within 10 days of the end
of fiscal year 2003.
--Wrote the Statement of Work and performed all necessary
administrative functions to award a five-year audit contract of
our first financial statement audit of AOC balance sheets.
--Researched and resolved issue regarding ownership of Capitol Hill
real property and directed massive effort to properly identify,
classify, and value all AOC land, buildings, software,
construction work-in-progress, and personal property.
--Implemented fixed asset module by converting all manual property
records into electronic asset tracking records and reconciling
to manual data and developed written policies and procedures
for capitalization of assets and construction work-in-progress.
--Produced comprehensive written accounting policies and procedures
for the first time and devised new accounting procedures to
accommodate MIPR imputed funding and various reimbursable
projects in accordance with appropriations law.
--Managed a major effort to resolve long-outstanding Fund Balance
with Treasury issues. The un-reconciled balance is now zero. We
also installed new processes for accurately measuring and
reporting liabilities on the AOC balance sheet never previously
considered.
--Completed 18 months of negotiations with OMB and Treasury regarding
proper accounting treatment for the Thurgood Marshall Federal
Judiciary Building and also obtained Auditor concurrence of the
transactions and valuation.
--Communicated regularly with GAO, GSA, OMB, and Treasury staff to
improve AOC processes at every level.
--Improved the accuracy rate of the AOC inventory from the 2002 rate
of 54 percent to 83 percent for 2003. This represents a one
year improvement of more than 50 percent.
--During fiscal year 2003, no complaints were received, either
internally or externally, and on average we processed and paid
more than 1,000 invoices totaling more than $25 million per
month, accurately and on time, in support of the AOC's mission.
--Took decisive action to correct deficiencies in credit card
processing and controls.
--Issued AOC Funds Control Administration Order which establishes
procedures to improve internal controls and integrated program
planning, budgeting, and financial control processes. It places
control of financial resources at appropriate management level
and provides for documented Delegation of Authority down
through the management chain to operating officials.
--Produced internal fiscal guidance for budget execution establishing
obligation goals.
--Developed Agency tracking procedures for bill and report directives
which establishes responsibility and monitoring, sets timelines
for completion, and provides for quarterly status updates.
--Hired Business Financial Analysts (BFAs) in several jurisdictions
to provide hands-on financial direction and guidance in the
field, as well as acting as a liaison between the AOC Budget
Office and the jurisdiction.
The AOC is undergoing its first financial audit. We expect to
conclude the audit by June 30 and receive the auditor's opinion in
July. This performance tracks with the experience of other agencies
undergoing their first audit. The accomplishments listed are examples
of how we leveraged the financial statement preparation and audit
process to improve financial control and accountability.
Question. GAO's January 2004 status report on AOC's implementation
of management review recommendations states that the hiring of the
first group of financial managers in AOC's various operating
jurisdictions is underway. What benefits have resulted from these
increases in staffing?
Answer. Business Financial Analysts (BFAs) have been hired to
provide day-to-day financial procedures, support, and advice for
programs, projects, and activities at the jurisdictional level while
supporting the Jurisdiction Account Holder's financial objectives. Some
of the readily identifiable benefits that have resulted and that are in
process include:
--Produced a Zero Based Budget Review of Facilities Maintenance and
personnel for the Senate and House Office Buildings that was
included as a supplement to the fiscal year 2005 Budget
Submission to Congress.
--Working directly with the jurisdiction to develop and streamline
procedures using best business practices to meet Agency
obligation goals.
--Provides guidance and advice on fiscal policy, procedures, and
regulations to all levels of staff within the jurisdiction.
--Establishing a method to accurately track and monitor FTEs
including Construction Management project labor at the
jurisdiction level.
--Forecasting material and equipment expenditures against current
budget amounts.
--Closing out completed projects funded in prior years and preparing
documents to move any remaining available funding.
--Streamlining day-to-day procurement procedures at the jurisdiction
level.
--Tracking and documenting final invoices in order to monitor
unliquidated obligations and deobligate funds that are no
longer valid to enable execution of the funding for other
purposes within the program as appropriate and within
reprogramming guidelines.
--Provides financial guidance to field personnel entering financial
documents in the Financial Management System (FMS).
--Developed a process in the jurisdiction to track funding
reallotments within program groups or activities.
--Designing a program to track reimbursable collections and spending
at the Capitol Power Plant.
--Comparing historical spending data to current spending to identify
trends.
Question. In its January 2004 status report, GAO indicates that the
use of interim dates by AOC for monitoring progress on individual
financial management action items would be beneficial because many
completion dates are not scheduled until fiscal years 2006 and 2007.
Has AOC begun to use interim dates for monitoring progress? If so,
please provide examples.
Answer. The financial management actions items have been updated to
incorporate additional interim action items. The current CFO action
items with status are provided for the record.
INFORMATION TECHNOLOGY PROJECT MANAGEMENT
Question. AOC had identified a software package that would produce
a unified schedule and show staff resources that would allow it to
better manage its projects. Has AOC obtained such a capability? If so
how is it working?
Answer. This software package has been received from the supplier
and the workstation components have been loaded on 2 personal
computers. The preparation of the work ``templates'' is currently being
developed to tie the software to AOC processes for projects. The vendor
representatives are scheduled to configure the server portion of the
software along with assisting us in refining use practices/definitions.
WORKER SAFETY
Question. Efforts to improve worker safety and create a world class
occupational health and safety program will require full involvement
and cooperation from jurisdictions--what steps has AOC taken to solicit
buy-in from the jurisdictions and to hold jurisdictions accountable for
their responsibilities in helping to transform AOC's occupational
health and safety program? Besides injuries and illness rates, what
other key measures are you using to assess your overall performance in
moving towards a culture of safety at the AOC?
Answer. The AOC has involved key jurisdiction personnel in
developing safety policy requirements, identifying resource
requirements, and establishing goals and planning documents. In
addition, ad-hoc working groups comprised of central office safety
staff and jurisdiction staff have been utilized to examine specific
issues and develop recommended solutions.
For each safety policy, a jurisdiction is assigned to serve as
lead. As a policy is developed, central safety staff and the safety
specialist from the lead jurisdiction provide input into the policy's
requirements. The draft policy is then distributed to various central
and jurisdictional personnel for review; this includes safety
professionals, management, Jurisdiction Occupational Safety & Health
Committee (JOSH) representatives, and union representatives. Each
comment submitted is addressed and documented, with the final draft
submitted to Senior Policy Committee for review and approval.
The AOC has also drafted an Occupational Safety & Health Program
Plan (OSHPP) to guide the Agency through the policy implementation
process and undertake other safety-related initiatives. The initial
goals and objectives were developed during a Senior Leadership Safety
Workshop facilitated by DuPont Safety Resources. This was used as the
framework for drafting the OSHPP. Further development of the OSHPP
included a review and input process similar to the one followed for
policy development.
Ad-hoc working groups and steering teams have been used to focus on
specific issues and provide recommendations to management. Some of the
issues these groups have addressed include: assessing workload impacts
of implementing and maintaining safety policies, reviewing safety
training requirements, and developing a safety communications plan.
Accountability for the jurisdictions begins with a clear
delineation of responsibilities in each of the safety policies and the
OSHPP. Software--such as the Facility Management Assistant (FMA) used
to track safety inspection findings, and the Incident Analysis Module
(IAM) used to investigate injuries--provides the AOC with tools to
monitor progress on improving safety and providing feedback on
performance. For individual employees, the AOC's Performance
Communication and Evaluation System includes safety as one of the four
performance evaluation criteria for non-supervisory employees, and as
one of five criteria for supervisors and managers. In a similar manner,
performance requirements for exempt personnel are addressed by the
AOC's Performance Review Plan, which includes safety as one of five
performance evaluation criteria.
While injury and illness statistics have served as a key indicator
of safety performance for the AOC--with our rate dropping from 17.90 in
fiscal year 2000 to 7.91 in fiscal year 2003--it is not the only
measurement used. The OSHPP establishes a number of performance
milestones against which success is measured.
INFORMATION TECHNOLOGY
Question. AOC has developed version 1 of its existing and target
enterprise architectures and a transition plan to move the agency to
the target. What steps is AOC taking to ensure that proposed systems
and systems under development will be aligned with the agency's
architecture?
Answer. The AOC/OIRM Business Systems Modernization Office (BSMO)
has established procedures to ensure that new IT proposals are aligned
with the AOC's Enterprise Architecture (EA). All proposals for new
technologies are presented in a business case format to BSMO for review
and approval. No project can be initiated or funded without approval.
For projects under development, BSMO periodically reviews them in
the capacity of the Project Management Board to ensure they remain in
alignment with the architecture as well as meet project milestones.
BSMO operates under the guidelines of our Information Technology
investment management process of which alignment with the EA is a
critical piece.
Annual reviews of the architecture are scheduled and releases of
the baseline EA, target EA and sequencing plan follow such reviews.
This is another way in which BSMO reviews systems in development and in
operation and assesses their continued alignment with the AOC's target
EA.
Question. AOC contracted for a new information technology system
life-cycle methodology, due for delivery on January 31, 2004, and
planned a two-month pilot to refine the methodology for implementation
as an agency-wide standard by March 31, 2004. Was the methodology
delivered, and did AOC conduct the planned pilot? Has the methodology
been implemented as an agency standard, and how many projects are now
being managed using the new methodology?
Answer. Systems Development Life Cycle (SDLC) guidelines and
procedures were delivered on schedule on January 31, 2004. The
methodology is aligned with the Capability Maturity Model Integrated
(CMMI) as recommended by GAO in their latest audit findings. The SDLC
guidelines address configuration management, risk management,
requirements management, acquisition management, test management, and
quality assurance throughout the life cycle of a project from inception
to implementation.
A pilot was conducted from February 1 to March 31, 2004, with
projects for facilities management systems, web-based systems, hardware
acquisitions, and information technology (IT) support systems. The
guidelines were revised based on lessons learned during this pilot.
The methodology was implemented on April 1, 2004, and the
guidelines are now available Agency-wide on the AOC intranet. Quality
Assurance oversight procedures are being implemented to ensure that
projects are managed in accordance with these established guidelines.
These procedures will include audits to determine if proper procedures
are being used and supporting documentation is present, as well as
document review, management systems review, systems monitoring, data
analysis, and participation in the deployment of new and modified
systems.
Quality Assurance oversight procedures will determine the number of
systems that are being managed using the new methodology. At this
point, few projects other than the 10 that were piloted are currently
using the methodology due to the brief time it has been available. This
number is expected to increase over time to include all major projects
within AOC as the methodology becomes institutionalized.
Question. AOC's plans include revising its comprehensive
information technology security plan by June 2004 and then implementing
the plan's elements. Currently, AOC plans to contract for an
independent security audit of AOC systems by September 30, 2004. In the
interim, what steps has AOC taken or does it plan to take to ensure the
security of the agency's systems is not being compromised?
Answer. AOC's mission critical systems have already undergone two
significant Information Technology Security audits. The first
assessment was performed by a vendor contracted by AOC. They provided a
``pre-audit'' review to identify conditions within the AOC's
information systems that would have resulted in findings during future
compliancy audits. Forty-four findings resulted in the vendor's
assessment. The vendor's findings were codified and incorporated into a
risk mitigation plan.
The second assessment was a financial audit, performed by a vendor
contracted by the AOC Inspector General. The financial auditors
reviewed AOC's current security posture to include people, processes,
and technology, as well as the previous 44 findings. The financial
audit resulted in 20 additional findings.
OIRM developed a risk mitigation plan to address the 64 findings
and any future findings. The 64 findings were incorporated into the
Chief Information Security Officer's Plans of Action and Milestone
schedule. The status of the Plans of Action and Milestone schedule is
monitored by the OIRM Director. On a monthly basis, the Chief
Information Security Officer and the OIRM Director report on the status
to the Deputy Chief of Staff and the AOC Inspector General. To date, 93
percent of the 44 findings from the first assessment have been
mitigated. Of the 20 findings that resulted from the financial audit,
50 percent have been mitigated. The Inspector General is seeking
contractor support to independently verify and validate the work
already performed to mitigate the 64 findings.
The AOC is in the process of selecting a vendor for the purpose of
performing a risk assessment on the applications currently in
production. Where the previous risk assessments concentrated on IT
infrastructure, policies, and processes, this third assessment will
focus on mission critical and mission essential applications and
databases. Any findings that result from the next round of assessments
will be incorporated into the Chief Information Security Officer's
Plans of Action and Milestone program and the mitigation of the
findings will be tracked accordingly.
The net effect of the financial audit and the two risk assessments
will place the AOC in a better position for the upcoming external audit
in September 2004. It also ensures that the security of the Agency's
systems are not compromised in the interim. We have a plan in place to
identify risk and to effectively mitigate those risks in a determined
and positive direction.
CONCLUSION OF HEARINGS
Senator Campbell. Thank you for your testimony. I
appreciate your being here.
Mr. Hantman. Thank you.
Senator Campbell. With that, the hearing is recessed.
[Whereupon, at 11:55 a.m., Thursday, April 8, the hearings
were concluded, and the subcommittee was recessed, to reconvene
subject to the call of the Chair.]