[Senate Hearing 110-742]
[From the U.S. Government Publishing Office]
S. Hrg. 110-742
LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2009
=======================================================================
HEARING
before a
SUBCOMMITTEE OF THE
COMMITTEE ON APPROPRIATIONS UNITED STATES SENATE
ONE HUNDRED TENTH CONGRESS
SECOND SESSION
on
H.R. 2771/S. 1686
AN ACT MAKING APPROPRIATIONS FOR THE LEGISLATIVE BRANCH FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2008, AND FOR OTHER PURPOSES deg.
__________
Architect of the Capitol (except House items)
Government Accountability Office
Government Printing Office
Library of Congress
Office of Compliance
United States Capitol Police
U.S. Senate
__________
Printed for the use of the Committee on Appropriations
Available via the World Wide Web: http://www.gpoaccess.gov/congress/
index.html
__________
U.S. GOVERNMENT PRINTING OFFICE
41-263 PDF WASHINGTON : 2009
For sale by the Superintendent of Documents, U.S. Government Printing
Office Internet: bookstore.gpo.gov Phone: toll free (866) 512-1800;
DC area (202) 512-1800 Fax: (202) 512-2104 Mail: Stop IDCC,
Washington, DC 20402-0001
COMMITTEE ON APPROPRIATIONS
ROBERT C. BYRD, West Virginia, Chairman
DANIEL K. INOUYE, Hawaii THAD COCHRAN, Mississippi
PATRICK J. LEAHY, Vermont TED STEVENS, Alaska
TOM HARKIN, Iowa ARLEN SPECTER, Pennsylvania
BARBARA A. MIKULSKI, Maryland PETE V. DOMENICI, New Mexico
HERB KOHL, Wisconsin CHRISTOPHER S. BOND, Missouri
PATTY MURRAY, Washington MITCH McCONNELL, Kentucky
BYRON L. DORGAN, North Dakota RICHARD C. SHELBY, Alabama
DIANNE FEINSTEIN, California JUDD GREGG, New Hampshire
RICHARD J. DURBIN, Illinois ROBERT F. BENNETT, Utah
TIM JOHNSON, South Dakota LARRY CRAIG, Idaho
MARY L. LANDRIEU, Louisiana KAY BAILEY HUTCHISON, Texas
JACK REED, Rhode Island SAM BROWNBACK, Kansas
FRANK R. LAUTENBERG, New Jersey WAYNE ALLARD, Colorado
BEN NELSON, Nebraska LAMAR ALEXANDER, Tennessee
Charles Kieffer, Staff Director
Bruce Evans, Minority Staff Director
------
Subcommittee on the Legislative Branch
MARY L. LANDRIEU, Louisiana, Chairman
RICHARD J. DURBIN, Illinois LAMAR ALEXANDER, Tennessee
BEN NELSON, Nebraska WAYNE ALLARD, Colorado
ROBERT C. BYRD, West Virginia THAD COCHRAN, Mississippi
(ex officio) (ex officio)
Professional Staff
Nancy Olkewicz
Carolyn E. Apostolou (Minority)
Sarah Wilson (Minority)
Administrative Support
Teri Curtin
C O N T E N T S
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Page
Wednesday, April 30, 2008
Architect of the Capitol......................................... 1
United States Capitol Police..................................... 15
Library of Congress.............................................. 25
Material Submitted Subsequent to the Hearing
U.S. Senate:
Office of the Secretary...................................... 79
Sergeant at Arms and Doorkeeper.............................. 140
Government Accountability Office................................. 162
Government Printing Office....................................... 171
Office of Compliance............................................. 182
LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2009
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WEDNESDAY, APRIL 30, 2008
U.S. Senate,
Subcommittee of the Committee on Appropriations,
Washington, DC.
The subcommittee met at 3:33 p.m., in room SD-138, Dirksen
Senate Office Building, Hon. Mary L. Landrieu (chairman)
presiding.
Present: Senators Landrieu, Alexander, and Allard.
ARCHITECT OF THE CAPITOL
STATEMENT OF STEPHEN T. AYERS, ACTING ARCHITECT OF THE
CAPITOL
opening statement of senator mary l. landrieu
Senator Landrieu. Good afternoon. Our subcommittee will
come to order.
We meet today to take testimony on the fiscal year 2009
budget requests for the Architect of the Capitol (AOC), the
U.S. Capitol Police, and the Library of Congress.
I want to welcome my good friend, Senator Lamar Alexander,
now our new ranking member of the subcommittee, along with
Senator Allard, the former chairman and ranking member of our
subcommittee, and to thank Senator Allard again for his
outstanding work in those capacities in the previous years. I
look forward to working very closely with Senator Alexander as
we have on several other subcommittees.
The legislative branch budget request is a total of $4.7
billion. This is an increase of nearly $700 million, or a 17.4
percent increase over the current year.
Last year the subcommittee received an overall increase of
only 3 percent. So as you can imagine, a 17 percent budget
request will make it very difficult. Part of the goal of this
hearing is to establish some potential priorities and to allow
you to explain the request before us. We will need to look very
closely at this.
I want to welcome our witnesses today, our Acting Architect
of the Capitol, Stephen Ayers; Chief of the Capitol Police,
Phillip Morse; and Librarian of Congress, James Billington.
Stephen, I would like to begin by commending you for a job
well done taking over as Acting Architect of the Capitol nearly
15 months ago.
We in the Senate are grateful for your leadership and
steadfast commitment to the many issues that face us in the
Capitol complex, especially our Capitol Visitor Center (CVC) as
it comes on line. I look forward to hearing an update from you
on this extraordinary facility. Since our last meeting, dozens
of Senators and House Members have had a chance to tour the
facility. Their general reactions have been very enthusiastic.
aoc deg.aoc fiscal year 2009 budget request
The fiscal year 2009 budget request for your office totals
$643 million, an increase of $228 million, or 55 percent. You
explained this to me earlier this week and I am looking forward
to your explaining it here. This is an enormous increase,
perhaps justified, and that is part of what this hearing will
be about because I know there are a number of maintenance
projects, health and safety violations that need to be
corrected, but we will have to work very closely see what is
possible.
I understand that most of what is pushing this is a $1.4
billion backlog of deferred maintenance and capital improvement
projects, including many critical life safety projects in our
complex. There are a large number of items in your request that
contribute significantly to this increase, such as $127 million
for ongoing repair work in the utility tunnels, which are quite
extensive, that connect and lay under many of the buildings in
the Capitol complex. This is a project of critical importance
to our complex and, of course, to the safety of our workers.
With a commitment to the Office of Compliance to complete this
project totaling nearly $300 million in the next 5 years, I
realize that this puts some constrictions on your budget.
Finally, before I move ahead, I would like to extend my
personal gratitude to your entire staff for their hard work in
maintaining our Capitol complex on a daily basis. You have a
very dedicated workforce and I appreciate it.
aoc deg.united states capital police fiscal year 2009 budget
request
Chief Morse, welcome. I want to commend you for a job well
done over the last 18 months. The pressures on your police
force have been exceptional during this time of uncertainty,
and the men and women who put their lives on the line each day
are to be commended.
I also want to thank you for sharing the story with me, in
my office, about your officers showing up on a day they did not
have to to protect our complex, and I hope to share the details
of that story so people can really appreciate all that you do.
I also want to welcome your Assistant Chief, Dan Nichols, and
your recently hired Chief Administrative Officer, Gloria
Jarmon.
Your budget request totals $334 million. This is an 18
percent increase over current year. I realize the challenges
your Department will face with the opening of the Capitol
Visitor Center, the Library's New Visitor Experience, and the
merging of the Library of Congress police department with
yours. We will have some questions about that a little later.
aoc deg.library of congress fiscal year 2009 budget request
And last, let me welcome our Librarian, Dr. James
Billington. It is always good to see you. I want to
congratulate you on the opening of the New Visitor Experience.
I had family from Louisiana visiting just last week and they
thoroughly enjoyed seeing the refurbishment of the Thomas
Jefferson Library. I understand this was done primarily with
private contributions, but with the great oversight of the
Library. It truly is a gift to the Nation that the project
turned out so beautifully, and I cannot wait to see it myself.
The Library's budget request totals $646 million, 5 percent
above current year. I commend you and your staff for submitting
a budget that is in line with what is normally done. It makes
our jobs a little bit easier.
I want to acknowledge your continuing commitment to the
digital talking book project, which is also a priority of mine.
Many people here in the room today are advocates for the
extension and expansion of that project, and I want to
recognize them.
aoc deg.library partnership appreciation
I would also like to express my appreciation to you and the
Library for your partnership with several of our universities
around the country through Teaching with Primary Sources, and
in particular, Southeastern University in Louisiana. It has
been a great opportunity for them, as well as the resource
established with the Middle Tennessee University and several
others around the country.
Finally, I would like to acknowledge your position as
chairman of the Board of Trustees of the Open World Leadership
Center, an independent international exchange program in the
legislative branch. The subcommittee accepts for the record
that written testimony of the Center's executive director who
is here with us, Ambassador John O'Keefe, on the Center's 2009
budget request of $13.9 million.
Open World does a wonderful job in representing Congress
and hosting young political and civic leaders from the
countries of the former Soviet Union in communities in all 50
States and building lasting partnerships between United States
citizens and Open World delegates. I fully support this mission
and its inclusion in our legislative branch.
I would now like to turn to my ranking member and friend,
Senator Alexander, for his opening remarks, and then we will
proceed with your testimony and a series of questions from our
panel. Thank you very much.
statement of senator lamar alexander
Senator Alexander. Thank you, Madam Chairman. I look
forward to working with you. This is my first meeting as
ranking member of the subcommittee, although Chairman Landrieu
and I have worked together on a lot of other things over the
last several years. I look forward to continuing this.
I also want to say to Senator Allard that I respect very
much the amount of time and interest he has given to this
subcommittee, especially to the Capitol Visitor Center. As time
has gone on, he has dedicated an unusual amount of time to it,
and I think it has had a very good result for the people of
this country. It is not the kind of time that makes a lot of
headlines at home, but it is the kind that does a lot of good
for all of us. So I thank him very much for that.
I think the chairman has done a nice job of going through
the issues.
Dr. Billington, Chief Morse, Mr. Ayers, welcome. I can
remember when I was on your side of the table a few years ago,
I was the Education Secretary and I came to my first hearing,
and I noticed that I was seated in an uncomfortable chair that
was very low, and all the Senators were way up here making it
look like you were looking up at us. I remember being briefed
for what was supposed to be called a hearing, and I went to it
and barely got to say a thing. I came home and told my staff I
think it should be called a talking because the Senators did
all the talking, and I did not get to say a thing.
So I am going to say I agree with the survey of issues that
Chairman Landrieu has talked about. I am looking forward, as
she is and Senator Allard, to the opening of the Capitol
Visitor Center.
aoc deg.utility tunnels--structural problems
I would like to hear more about the structural problems in
the utility tunnels in the Capitol complex and the large
backlog of deferred maintenance and capital improvement
projects. I have asked the Government Accountability Office
(GAO) to study the way projects are being prioritized in the
budget. Just because the Office of Compliance says something
needs to be done does not necessarily mean, in my opinion, that
it should go to the top of the list, and I would like to hear
how you prioritize these things, given the urgency of a great
many issues.
The Capitol Police have a lot of new responsibilities and
will have more, and I am looking forward to hearing how you are
handling those. I am concerned about the overtime in the
budget. I hope sometime during this discussion you can help me
understand a little bit more why we have the large amount of
overtime.
loc deg.library of congress new exhibits
Dr. Billington, the new exhibits in the Library of Congress
are very exciting, and your imagination and that of your staff
and your accommodation to all who visit there is really to be
commended. I know how important your work with computers is,
bringing what is inside that magnificent place to teachers and
students all over the country. As we discussed, Middle
Tennessee State University, which graduates about 80 percent of
Tennessee teachers, is now going to have a chance to do that.
We look forward to that.
I thank you for coming. I look forward to this hearing. I
will have some questions, and I look forward to working with
you.
Thank you very much, Madam Chairman.
[The statement follows:]
Prepared Statement of Senator Lamar Alexander
Chairman Landrieu, this is my first hearing as ranking member of
the Legislative Branch Subcommittee and I look forward to working with
you to meet the most important needs of the Legislative Branch. Clearly
the budget request of $4.7 billion for fiscal year 2009--a 17 percent
increase--will be very difficult to accommodate, so I'd like to get a
clear picture of the highest priorities in each of the agencies.
I would like to welcome Acting Architect of the Capitol Stephen
Ayers. Mr. Ayers, I understand you have been ``acting'' as the head of
the agency for over a year and have done a fine job.
There is quite a lot on your plate: finishing the Capitol Visitor
Center and finalizing operations plans so when the facility opens later
this year, visitors can expect a first-rate experience. While
construction is 99 percent complete, I understand that fire alarm
testing has been very challenging and will take several more months.
I note that in the last year you hired a new director for the
Visitor Center, Terrie Rouse, who has been working hard on operations
plans and has hired a number of key staff.
Another major project underway is fixing the structural problems
and asbestos in the utility tunnels that underlie the Capitol complex.
I understand it will take many years and hundreds of millions of
dollars to complete.
Also, you have been working on plans to address the large backlog
of deferred maintenance and capital improvement projects campuswide. At
the same time these high-priority projects are taking place, your staff
must ensure that day-to-day operations of your agency are carried out
effectively.
That said, your budget request of $642 million--a 55 percent
increase--will be a tough sell in view of budget constraints. This is
why I've asked GAO to study the way projects are prioritized in your
budget--to be sure the dollars we appropriate are going to those
projects which can yield the biggest improvements in safety and
reductions to deferred maintenance.
After hearing from the AOC, I look forward to hearing from Capitol
Police Chief Phil Morse. Chief Morse, along with his Assistant Chief
Dan Nichols, has been doing an excellent job managing the U.S. Capitol
Police in the last year, while attempting to address many critical
operational and management challenges.
The budget request for the Capitol Police is almost $334 million,
$52 million or 18 percent above this year's budget. There are a number
of new responsibilities the Capitol Police will be required to take on
next year, including screening thousands of visitors each day to the
Capitol Visitor Center, and absorbing the Library of Congress police
force.
We want to be sure you are managing your resources appropriately,
according to a thorough analysis of the threats we face. You've taken a
step in the right direction in the recent hiring of Gloria Jarmon as
Chief Administrative Officer, and I expect she will help bring about
improvements in financial management over the next year.
I'm concerned about the amount in your budget for overtime
spending, and want to be sure we look at this requirement very closely.
Last, we will hear from Dr. James Billington, Librarian of
Congress, accompanied by the Library's Chief Operating Officer JoAnn
Jenkins. The Library's budget request of $646 million is 5 percent over
the current year.
Dr. Billington, you and your staff deserve accolades for the
exciting new exhibits the Library has opened in the last couple of
months, funded through the generous contributions of private donors.
These exhibits are a great opportunity for visitors to learn about
American history and the creation of our democratic form of Government.
I also want to thank you for the initiative you will be starting at
Middle Tennessee State University to train teachers on using the
Library of Congress' web site in their teaching curricula. This
program, called Teaching with Primary Sources, has been tremendously
successful in a number of States and we're delighted that it is coming
to Tennessee.
Finally, I appreciate that in this tight budget you were able to
include $12.5 million for the Digital Talking Books for the blind
program. It is imperative that you make the switch from cassette tapes
to a digital format so that the blind community can continue to benefit
from the Library's resources.
Thank you, Madam Chair.
Senator Landrieu. Senator Allard, do you have any opening
comments?
Senator Allard. Madam Chairman, I do not have any comments.
I am anxious to hear from the witnesses that we have here. I
just want to thank both you and Senator Alexander for your
gracious remarks. Thank you very much.
Senator Landrieu. Thank you.
Mr. Ayers, if you would begin. Thank you.
SUMMARY STATEMENT OF STEPHEN AYERS
Mr. Ayers. Thank you, Madam Chairman, Senator Alexander,
and Senator Allard, for the opportunity to testify today
regarding the Architect of the Capitol's fiscal year 2009
budget request. It was nearly 15 months ago, as you noted, that
I began serving as Acting Architect and a little more than 1
year ago that I first testified before this subcommittee on our
budget, operations, and accomplishments.
This budget represents change for the AOC. It represents a
change in leadership and a change in direction. It represents
change from a reactive organization to one that looks forward,
plans, and takes action to anticipate problems.
It has also been a year of growth for us. Specifically, we
have seen our scope of responsibility grow from 15 million
square feet of buildings to 16.5 million square feet and from
370 acres of land to over 450 acres. With that additional
responsibility comes added cost for maintenance, staff,
utilities, and physical security.
At the same time, the historic buildings and other physical
infrastructure in our care continue to age.
In addition, as fire and life safety standards have become
more stringent since the buildings were constructed, we face
significant requirements from the Office of Compliance to
improve fire safety conditions throughout the complex. We are
committed to ensuring that deficiencies are corrected and
significant resources are devoted to protecting the people who
work in and visit the Capitol complex each day.
AOC deg.DEFERRED MAINTENANCE BACKLOG
As the chairman noted, we have a backlog of more than $600
million in deferred maintenance and $800 million in capital
renewal projects. As the AOC continues to be unable to fund
these projects, this bow wave of unfunded requirements
continues to grow. We have developed this budget through a
deliberate planning process and it reflects only the highest
priority initiatives and funding for our core activities. We
made some difficult choices, and we have not requested funding
for a long list of projects, additional staffing, and several
operational initiatives and resources.
While we obviously recognize this is a significant request
at a time when fiscal restraint is necessary, we believe that
without this important investment, these facilities will
continue to deteriorate. It is fiscally responsible to request
the budget needed now instead of waiting until facilities are
in a crisis or beyond repair, thereby costing millions more to
restore, renovate, or renew. If not addressed, facility
requirements will only grow more serious and expensive over
time. Therefore, we are requesting $643 million in our fiscal
year 2009 budget.
AOC deg.OPERATING BUDGET REQUEST
Our annual operating budget request of $385 million
provides for funding for operating and maintaining the
infrastructure that supports the Congress, as well as the AOC's
internal infrastructure needs.
The second component of our 2009 budget request is $258
million for capital projects. Chief among our responsibilities
is maintaining, preserving, and upgrading the national
treasures entrusted to our care. Determining which work is done
first and where our limited resources are used involves a
deliberate approach and multi-year planning. Our primary focus
is on ensuring that fire and life safety deficiencies are
corrected as quickly as possible.
Madam Chairman, I noted earlier that the past year has been
one of significant achievement for the AOC, in addition to
seeing the substantial completion of the Capitol Visitor
Center. Some of our other accomplishments include adding the
Library of Congress' new Audio Visual Conservation Center to
our inventory; signing into effect our first collective
bargaining agreement with AFSCME Local 626; completing office
moves for the 110th Congress, including 21 Senate offices and
840 Senate staffer moves; and closing 68 of 98 open items from
the Office of Compliance.
In addition, we closed 48 of 65 GAO's general management
recommendations aimed at improving our organization, and we
received our fifth clean audit opinion on our financial
statements.
Internally, we continue to foster a results-oriented
workplace and encourage communication throughout our team. I am
pleased to report that a direct result of our efforts is a
decrease in our injury and illness rate; it has reduced for the
eighth year in a row.
Madam Chairman, we greatly appreciate this subcommittee's
support and the investment the Congress has made in our
facilities and infrastructure over the past several years.
However, as these buildings age, they will require significant
repairs, renovations, and upgrades to continue to be safe and
healthy working environments. This will require a significant
investment.
AOC deg.ARCHITECT OF THE CAPITOL TEAM
AOC has accomplished much and experienced numerous
successes. These achievements can be directly attributed to the
dedicated professional individuals making up our team. Because
of their efforts and commitment to excellence, we continue to
provide exceptional service to the Congress and visiting
public.
PREPARED STATEMENT
Once again, thank you for the opportunity to testify today,
and I am happy to answer any questions you may have.
Senator Landrieu. Thank you. We are going to hold our
questions until the end of the panel.
[The statement follows:]
Prepared Statement of Stephen T. Ayers
Madam Chairman, Senator Alexander, and members of the subcommittee,
thank you for the opportunity to testify today regarding the Office of
the Architect of the Capitol's (AOC's) fiscal year 2009 budget request.
It was nearly 15 months ago that I began serving as Acting Architect of
the Capitol, and a little more than a year ago that I first testified
before this subcommittee about the AOC, our budget, our operations, and
our accomplishments.
We have seen much change and growth in our Agency, and we have
experienced many accomplishments and achievements. Specifically, we
have seen our scope of responsibility grow from 15 million square feet
of buildings to 16.5 million square feet of facilities, and from 370
acres of land to more than 450 acres. With that additional
responsibility comes added cost for maintenance, staff, utilities, and
physical security.
At the same time, the historic buildings and other physical
infrastructure in our care continue to age. They require extensive
maintenance in order to preserve them, as well as ensure that they
continue to serve as functioning, professional working environments for
years to come. Our buildings range in age from 27 years old for the
Library's Madison Building, to more than 200 years old for parts of the
Capitol Building. This year we are celebrating the 100th anniversary of
the Cannon House Office Building, and next year will be the 100th
anniversary of the Russell Senate Office Building.
As fire and life-safety requirements and standards have become more
stringent since the buildings were constructed, we face significant
requirements to abate Office of Compliance citations, and improve fire
safety conditions throughout the complex. We are committed to ensuring
that deficiencies are corrected and significant resources are devoted
to protecting the people who work and visit here. Life-safety projects,
such as the utility tunnel repair program, are very high priorities.
Based on Facility Condition Assessments (FCAs) that have been
conducted throughout the Capitol complex since 2004, we have been
prioritizing projects based on a set of objective criteria. The FCAs
indicate a backlog of more than $600 million in Deferred Maintenance
and $800 million in Capital Renewal projects, with $900 million of the
total $1.4 billion being urgent or high priority. As the AOC continues
to be unable to fund Deferred Maintenance, Capital Renewal, and new
projects and initiatives, the ``bow wave'' of unfunded requirements
continues to grow, as demonstrated in the following table.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
We have developed this budget through a deliberate planning
process, and it reflects only the highest priority initiatives and
funding for our core activities. We made some difficult choices in our
efforts to be good stewards of the Capitol complex. We have not
requested funding for a long list of projects, additional staffing, and
several operational initiatives and resources.
While we recognize this is a significant request at a time when
fiscal restraint is necessary, we believe that without this important
investment Capitol complex facilities will continue to deteriorate. It
is fiscally responsible to request the funding needed now instead of
waiting until facilities are in crisis and beyond repair, thereby
costing millions more to restore, renovate, and renew.
If not addressed, facility requirements will only grow more serious
and expensive over time. Thus, we are requesting $642.7 million for
fiscal year 2009. This is more than $228 million greater than what was
appropriated to our Agency in fiscal year 2008, or a 55 percent
increase.
A large portion of that increase, however, is for our Utility
Tunnel Improvement Program. In order to meet the 5-year schedule as per
the agreement with the Office of Compliance signed last spring, we have
requested $126.6 million for the Utility Tunnel Improvement Program in
fiscal year 2009. Without the Tunnel Improvement Program request, our
budget request would be 24.5 percent over what was appropriated in
fiscal year 2008.
Madam Chairman, we look forward to working with this subcommittee,
the House Subcommittee on Legislative Branch, and our Oversight
Committees to address the backlog of maintenance and repair projects,
as well as find ways to improve and modernize Capitol complex
facilities, so that a crisis situation is averted.
annual operating budget request
Our fiscal year 2009 annual operating budget request for $384.4
million provides funding for continuing the routine activities of
operating and maintaining the infrastructure that supports the
Congress, other Legislative Branch Agencies, and the public, as well as
AOC internal infrastructure needs in information management systems and
operations. The increase of $48.1 million is driven primarily by the
upfront investment requirement to meet legislated energy usage
decreases; as well as fund the initial full-year operations of the
Capitol Visitor Center (CVC).
To date, the appropriation for the CVC has provided funding for the
construction of the CVC and minimal operational start-up costs and
facility maintenance. Beginning in fiscal year 2009, this appropriation
will need to fund full-time, annual CVC operations and administration,
as well as potential construction claims. In addition to salaries,
equipment, and supplies, our fiscal year 2009 request will provide
funding for the printing of informational brochures, educational public
programs, exhibits, training, and other programs associated with the
opening of the new facility.
We are also looking to increase our investment in information
technology (IT) in fiscal year 2009 to ensure a sustainable life-cycle
replacement and upgrade program. Over the past 4 years, the AOC has not
been able to replace or upgrade aging network, storage, server, and
desktop systems at a rate required to sustain a secure and reliable IT
infrastructure.
Many of these systems were last upgraded or replaced in 2002
following the terror attacks of September 11, 2001, and are now nearing
or past their expected life span. They have not been replaced due to
budget shortfalls and restrictions under the continuing resolutions of
the last few years. Those same shortfalls have also impacted our
ability to perform the overdue certification and accreditation of our
IT systems and to implement industry and Government-standard IT
security capabilities, such as secure remote access and encryption. In
fiscal year 2009, we will also complete the modernization of our
computing infrastructure to take advantage of new ``green''
virtualization technologies and move to a Microsoft Exchange e-mail
system, which is the de facto standard throughout the Government.
In addition, new energy reduction and management initiatives, the
utility tunnel upgrade projects, and the digitization of our curatorial
photo archives are significantly increasing costs related to the
management and storage of our electronic data. We are also working to
migrate to a Web-based time and attendance system that will integrate
with our facilities management system to enable more effective cost
accounting for projects and integrate with the time clocks required
under our union agreement.
Finally, we are also continuing to develop and expand the
capabilities of our automated human resources and financial management
systems to keep pace with evolving technological and process changes
and improve efficiency and usability of those systems.
capital project budget request
The second component of our fiscal year 2009 budget request is
$258.2 million for capital projects. As I discussed earlier, chief
among our responsibilities is maintaining, preserving, and upgrading
the national treasures entrusted to our care by Congress. This includes
the facilities, grounds, art work, and other assets. Determining which
work is done first and where our limited resources are best used
involves a deliberate approach and multi-year project planning.
A vital tool that we rely on during this process is our Facility
Condition Assessments (FCAs). The AOC has been conducting FCAs
throughout the Capitol complex since 2004, to help us catalog and
prioritize projects based on a set of objective criteria that allow us
to evaluate the merits of each project. FCAs also provide us with a
method for measuring the current condition of all facilities in a
uniform way to assess how much work is necessary to maintain or upgrade
their conditions to acceptable levels to support organizational
missions, prevent further deterioration, and help to determine when
this work should occur.
Once an FCA is completed on each facility, the information is
rolled into a 5-year Capital Improvement Plan (CIP). The CIP is used to
evaluate projects based on a set of pre-established criteria. These
criteria include whether the work addresses fire and life-safety
issues; code compliance; preservation of historic or legacy elements;
economics and life cycle cost considerations, physical security and
other considerations, such as environmental and energy efficiency. The
projects are further evaluated based on the conditions of the
facilities and their components, and the urgency in correcting the
deficiencies.
We are also developing the Capitol Complex Master Plan (CCMP) which
requires executing necessary deferred maintenance and renewal work to
keep existing facilities functioning while planning for major renewal
projects. The CCMP and individual Jurisdiction Plans seek to address
these growing problems through a flexible investment strategy
incorporating reinvestment and new construction. Each Jurisdiction Plan
is being evaluated to ensure sequencing of short- and long-term
priority work is properly expedited and aligned to ensure successful
execution and avoid duplication of efforts. Ultimately, the CCMP will
establish a framework that will help the Congress to prioritize the
maintenance, renovation, and construction of facilities over the next
5, 10, and 20 years while allowing for prudent budgeting of the costs
for necessary upkeep and construction.
Using the CIP process, we are able to comparatively vet the
projects to ensure that the most urgent get addressed most quickly.
Setting these priorities and setting limits resulted in some projects
not rising to the top of the list based on the objective criteria used
as part of the CIP process. It is not that these projects are not
important. They are all needed and are mission critical, but the
fiscally responsible thing to do is address the most urgent needs
first. This multi-step methodology was used to produce the project
priority list included in our fiscal year 2009 budget request submitted
for the subcommittee's consideration.
As in previous budgets, our primary focus is on ensuring that fire
and life-safety deficiencies are corrected and that significant
resources are devoted to protecting the people who work and visit the
Capitol complex. An example of a major life-safety project is the
Utility Tunnel Improvement Program.
In May 2007, the AOC and OOC signed a comprehensive settlement of a
complaint and three citations involving safety in the utility tunnels.
The AOC will permanently abate safety and health hazards within 5 years
unless extended by mutual agreement of the parties or necessitated by
funding shortfalls. Receipt of the $126.6 million requested in fiscal
year 2009 assures that the AOC remains on schedule to meeting its
obligations under the settlement agreement with the OOC.
Other key capital projects included in the AOC's fiscal year 2009
budget request are: U.S. Capitol Grand Stairs Smoke Control System;
Smoke Control System--Adams Building; Refurbishment of FOB-8; and
Various Energy Conservation Studies.
In addition to these new capital projects, we have nearly completed
construction of the Capitol Visitor Center project and are preparing to
open the facility later this year.
capitol visitor center budget request and project update
Our fiscal year 2009 budget request for the CVC includes $31
million to finish the construction phase of the project. Specifically,
this money will be used to fund delay costs associated with increased
scope, fire alarm changes, and the final acceptance testing. Last year,
I testified before this subcommittee that CVC construction was 91
percent complete. Today, we are 99 percent complete with construction
and are well underway with the final acceptance testing of the complex
fire and life-safety systems in the facility.
In the past year, we made much progress on the project. We worked
with the Government Accountability Office (GAO) and reached agreement
on an estimated cost-to-complete figure of $621 million and an opening
date of November 2008. We also established and met the November 15,
2007, substantial completion date, effectively stemming project delays
and associated delay costs, which assured that the complex fire and
life-safety pre-testing began on schedule on November 16.
With regard to our progress in completing construction, we are
working to complete punchlist items such as millwork, wall stone, floor
stone, ceiling panels, plaster work, carpeting, doors, and other
finishes. Professional crews have been thoroughly cleaning all of the
CVC's major public spaces.
A further indication that we are successfully transitioning from a
construction project to a visitor services operation is that the 11-
foot model of the Capitol Dome was installed in March, and it is an
impressive sight to see at the center of Exhibition Hall. Historic
drawings and sophisticated technology were used to create this unique
3-D model, and AOC staff ensured that every detail of the model is
accurate. It is an important part of the CVC experience because it will
allow children to have a very ``hands-on'' experience at their Nation's
Capitol.
Video screens in the Senate and House Virtual Theaters have been
installed and are being tested. Workers are now installing the 10-foot
wooden doors on the east side of the Rotunda. The Capitol
Superintendent's Office has initiated relocation coordination meetings
with future occupants, and has begun to identify its equipment and
inventory needs to fully support maintenance operations.
Outside, the East Front is taking on a much greener appearance with
the warmer weather and the ongoing landscape restoration work being
done. All of the construction trailers have been removed and crews have
been preparing the grounds for sod placement and plantings.
The sidewalk along First Street, NE., across from the Supreme Court
Building, has been restored. The CVC truck entrance which had been
located there since 2002 has been completely dismantled and the area
has been restored.
We are pleased with the overall progress, and we believe that we're
on schedule to receive the temporary Certificate of Occupancy by July
31, 2008, as planned, and that the CVC will be available to open in
November 2008.
Madam Chairman, as you know, the CVC has been designed to greatly
enhance the visitor experience by providing greater educational
opportunities and much-needed amenities to the millions of people who
visit their Capitol Building each year. It is designed to match the
Capitol in quality and endurance, and generations of Americans will
greatly benefit from all it has to offer.
In that regard, I am pleased to note that the CVC was recently
recognized by the Washington Building Congress. Specifically, the
project was singled out for 11 Craftsmanship Awards for the high-
quality, professional workmanship demonstrated throughout the facility
by individuals who are ``creative, precise, and possess the special
skills associated with quality craftsmanship.''
The features that were recognized with Craftsmanship Awards include
the six skylights which allow natural light into the CVC; the custom
light fixtures located throughout the CVC and Expansion Spaces that
complement the existing fixtures in the Capitol Building; the
installation of major hard scape features such as stairs and seat
walls, as well as the re-installation of historic elements such as
fountains and lanterns on the East Front; and the installation of
monumental interior wall stone and marble, and ornamental staircases,
doors, and other hardware. Technical skills of the teams responsible
for electrical and fire alarm systems installation, and plaster work
were also honored.
In addition to the 11 Craftsmanship Awards, several of the winners
were extended additional honors with the receipt of the ``Star Award''
for projects deserving of special recognition for demonstrating the
highest level of quality. The CVC project was recognized for visual
excellence and technical excellence, and the project also received the
Hall of Fame award for the masonry work done throughout the facility.
For the Washington Building Congress to recognize the CVC for its
superb craftsmanship and quality is a true honor. The fine team that
has worked on this project can take great pride in their role in
helping to complete the largest single expansion of the Capitol
Building.
On the operations front, we hired a Chief Executive Officer for
Visitor Services in September 2007 to join the AOC/CVC team, Ms. Terrie
Rouse. She, in turn, has begun hiring staff to prepare for the CVC's
opening to the public. In addition, she has been developing a
communications plan which focuses on executing an effective and
valuable public education campaign about the CVC and all it has to
offer. We have also been working on a transportation plan, as well as
on the exhibits and other informational materials in anticipation of
the opening later this year.
a year of aoc accomplishments
Madam Chairman, as I discussed earlier, the past year has been one
of significant achievement for the AOC in addition to seeing
substantial completion of the CVC. I would like to sum up my testimony
by listing a few of our many accomplishments.
--Added the Library of Congress' new 415,000 square-foot National
Audio Visual Conservation Center located on the Packard Campus
in Culpeper, Virginia, to our facilities inventory.
--Signed into effect a Collective Bargaining Agreement with the
American Federation of State, County, and Municipal Employees
(AFSCME) Local 626, representing approximately 500 laborers,
custodians, gardeners, and other workers in the House and
Senate Office Buildings, U.S. Capitol, and the U.S. Botanic
Garden.
--Completed office moves for the 110th Congress, including 21 Senate
Offices and 840 Senate staffer moves with a 96 percent
satisfaction rating, and 181 House Offices and 20 House
Committees with a customer satisfaction level of 96 percent.
--Completed the purchase of the Senate Mail Facility.
--Completed the start-up, personnel training, and initial operation
of the Capitol Power Plant's West Refrigeration Plant
Expansion.
--Closed 68 of 98 items from the 39 Office of Compliance citations,
as of April 2008, and we have submitted a request to close six
additional items.
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In addition, after working with the Government Accountability
Office to regroup and consolidate some recommendations, we closed 48
out of 65, or 74 percent, of the GAO's general management
recommendations that we are tracking. Many of the remaining actions are
larger, long-term efforts, and we continue to focus on moving them
forward.
In October 2006, we implemented our new fiscal year 2007-fiscal
year 2011 Strategic and Performance Plan which emphasizes our mission
areas and enabling services and focuses on results. In order to comply
with the spirit and intent of the Government Performance and Results
Act (GPRA), the AOC submits to Congress a Strategic Plan for program
activities in accordance with the guidelines under Section 306
(Strategic plans) of the GPRA. The AOC consults with its employees and
the Congress, and solicits and considers the views and suggestions of
those entities potentially affected by or interested in such a plan.
AOC employees also prepared an annual performance plan in
accordance with the GPRA. The annual performance plan establishes
objective, quantifiable, and measurable performance goals for each
activity. In addition, we submit an annual report on performance for
the previous fiscal year in the performance section of the AOC
Performance and Accountability Report, in accordance with the GPRA.
Using these important tools, we have continued to improve our cost
accounting procedures and internal controls. The results have been
significant. We have just received our fifth consecutive clean audit
opinion on our financial statements.
Over the past year we have also been working to create a healthy
and productive work environment where environmental awareness and
conservation are the normal ways of doing business in the Capitol
complex. There are a number of initiatives that the AOC has been
engaged in for several years, and we continue to see results in our
efforts to improve energy efficiency.
Some of our energy-saving initiatives include:
--Installing an E-85 fueling station.
--Replacing conventional incandescent light bulbs with compact
fluorescent lamps (CFLs) across the Capitol complex.
--Incorporating standards from the Leadership in Energy and
Environmental Design (LEED) Green Building Rating System into
our design standards to start new construction from a ``green''
baseline. The Capitol Visitor Center is a prime example of this
practice.
--Replacing old, inefficient windows with airtight, insulated ones in
buildings across the Capitol complex, including the Supreme
Court and the Ford House Office Building.
--Purchasing and leasing only Energy Star appliances and equipment.
--Using Energy Savings Performance Contracting to increase building
energy efficiencies and upgrade infrastructure.
--Installing modern heating/cooling systems and adjusting and
controlling HVAC schedules.
--Upgrading elevators and escalators with energy-efficient solid
state equipment, including high-efficiency motors.
--Installing restroom fixture motion sensors and additional low-flow
devices for water conservation.
--Implementing a pilot program to upgrade controls on heating,
ventilating and air conditioning (HVAC) terminal units in
Senate offices and committee rooms to reduce energy usage while
increasing comfort levels.
--Implemented a pilot program to install dimmable lighting ballast
systems with daylight and occupancy sensors in overhead
lighting to maintain consistent lighting levels in Senate
offices. A similar pilot is ongoing in the Capitol Building.
--Installing occupancy sensor light switches for offices, conference
rooms, and committee rooms upon request.
Internally, we continue to foster a results-oriented workplace and
encourage communication and teamwork throughout the Agency. This
involves holding regular staff or shop meetings, conducting biannual
town hall meetings with all AOC employees, and providing a variety of
training opportunities.
I am pleased to report that a direct result of our efforts is a
decrease in our Injury and Illness Rate for the eighth year in a row.
We dropped to 4.41 cases per 100 employees in fiscal year 2007, down
from 4.88 in fiscal year 2006, and significantly lower from a high of
17.9 in fiscal year 2000.
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In addition, we are institutionalizing best practices throughout
the organization. We have joined the Construction Users Roundtable
(CURT), Construction Industry Institute (CII), Construction Managers
Association of America (CMAA), and Building Owners and Management
Association (BOMA), and several other professional associations, to
learn about industry best practices and find ways to incorporate and
engage those practices into our Agency. We have developed extensive
core competencies in our procurement, financial management, and project
management organizations and have seen our efforts pay off over the
past year.
Most importantly, we have improved our delivery of services to our
clients as demonstrated by our annual Building Services Customer
Satisfaction Surveys. In fiscal year 2007, we received high marks from
our clients--more than 95 percent satisfaction--on areas such as
maintenance and cleaning standards, services provided by AOC shops, and
responsiveness.
conclusion
Madam Chairman, we greatly appreciate this subcommittee's support
and the investment Congress has made in our facilities and
infrastructure over the past several years. However, as these buildings
age, they will require significant repairs, renovations, and upgrades
to continue to be safe and healthy working environments for Senators
and their staffs. This will require a significant investment.
My goal is to begin reducing the backlog of Deferred Maintenance
and Capital Renewal work that has been identified over the past several
years through Facility Condition Assessments, and address the ``bow
wave'' of unfunded requirements that has continued to grow for our
Agency.
We are committed to working with Congress to address the backlog of
maintenance and repair projects, as well as improve and modernize
Capitol complex facilities, so that a crisis situation is averted. The
longer we wait to address these issues, the greater the cost will be to
fix the problems over time.
The AOC is committed to being good stewards of the Capitol complex,
and in that regard, over the past year; we have accomplished much and
experienced numerous successes. These achievements can be directly
attributed to the dedicated, professional individuals that make up the
AOC team; including a strong senior leadership team. In my role as
Acting Architect, I am honored and privileged to work along side them.
Because of their efforts and commitment to excellence, we continue to
provide exceptional service to Congress and the visiting public.
Once again, thank you for this opportunity to testify today. I'd be
happy to answer any questions you might have.
UNITED STATES CAPITOL POLICE
STATEMENT OF PHILLIP D. MORSE, SR., CHIEF OF POLICE
ACCOMPANIED BY:
DAN NICHOLS, ASSISTANT CHIEF OF POLICE
GLORIA JARMON, CHIEF ADMINISTRATIVE OFFICER
Senator Landrieu. Chief Morse, if you could limit your
remarks to 5 minutes, please.
Mr. Morse. Good afternoon, Madam Chairman and Senator
Alexander, Senator Allard. I would like to thank you for the
opportunity to discuss with you today the United States Capitol
Police's fiscal year 2009 budget request, as well as provide an
update on our progress to improve management and controls over
our programs.
I am pleased to be joined here today with my Assistant
Chief of Police, Dan Nichols, and my new Chief Administrative
Officer (CAO), Gloria Jarmon. The addition of Ms. Jarmon's
background and expertise provides the department with a well-
rounded leadership team necessary to complete our efforts to
become a premier organization, both operationally and
administratively.
CPB deg.SUBCOMMITTEE SUPPORT
I would also like to thank the subcommittee for its
continued support of the men and women of the United States
Capitol Police. Your support, as well as the support from other
oversight committees, is crucial to our successful execution of
our mission.
CPB deg.PROCESS OF CHANGE
During my time as Chief of Police, we have begun an
important process of change, one which will require inspection,
investigation, intelligence, enforcement, threat assessment,
and personal protection capabilities to be able to meet the
security requirements. I recognize that our requested increase
is significant, but I believe it is an appropriate reflection
of sound judgment on the part of those responsible for
executing the mission of the United States Capitol Police.
We realize that our request must be put into a broader
context within the final allocation decisions that must be
made. Whatever those decisions are, we remain committed to
continuing the highest possible level of security and services
provided to the Congress and the visitors to the Capitol
complex.
CPB deg.RECENT ACCOMPLISHMENTS
I would like to report that we have been very busy this
last year. Among the highlights--we conducted a broad scope of
law enforcement and security operations which resulted in the
arrests of over 1,100 people for various violations of the law.
We handled multiple major special events, to include the State
of the Union, Capitol concert series, large scale
demonstrations, and congressional events. We adopted a concept
similar to community policing which provides direct outreach by
our officers and officials to committees and Members' offices
within the congressional community. We implemented new security
screening guidelines throughout the Capitol complex. We
planned, coordinated, and evaluated a number of exercises
within the Capitol related to air evacuations, lockdowns, and
active shooter response. We finalized our continuity of
operations plan and implemented a process for review and
enhancement of that plan to meet evolving threats and
requirements. We conducted multiple training exercises across
the Capitol complex to improve readiness for our sworn
personnel in the field.
In the administrative arena, we brought on board a new
Chief Administrative Officer, and I am looking to her to
implement significant improvements in our administrative and
internal control processes.
In addition to filling our CAO position, we have made some
additional progress in this area as well, and I would also like
to welcome with us today our new Director of Financial
Management, Mr. Steve Houghton, who is sitting in the audience.
CPB deg.GOVERNMENT ACCOUNTABILITY OFFICE RECOMMENDATIONS
In last year's report, the subcommittee expressed concerns
related to the department's efforts to address GAO
recommendations. Today, I am happy to report that since October
2007, we have closed 33 percent of the GAO recommendations and
are actively working to address the rest of them. We have
developed a full set of financial statements for 2007 and are
actively working on statements for 2008. We have completed a
full inventory of our capital assets and assigned values to
these assets. We redesigned our budget planning and execution
process to include formalizing the department's Investment
Review Board, and at the direction of the committees of
jurisdiction, we completed an operational and administrative
requirements analysis related to the merger of the Library of
Congress police, and this resulted in the passage of
legislation. We have revised the uniform and equipment policy
of the Capitol Police that will result in uniformity of
appearance and overall cost savings. And while we recognize
that we have made progress over the year, we also realize we
have a long way to go to meet the challenges that lie ahead.
CPB deg.EMPLOYEE COMMITMENT AND HOMEWORK
In closing, I would like to say that I am looking forward
to continuing my efforts as the Chief of Police to make the
Capitol Police a best practices organization. The progress that
we have made in the last year demonstrates the commitment and
hard work of our employees. We will continue to see gradual
results and a constant evolution into the premier organization
I believe we should be. And I am committed to continuing to
keep you and other stakeholders informed and will insist on
continued transparency and openness both internally and with
our external customers and stakeholders.
PREPARED STATEMENT
I would like to submit my full written testimony for the
record, and my colleagues and I are prepared to answer any
questions that you may have. Thank you.
Senator Landrieu. Thank you very much, Chief.
[The statement follows:]
Prepared Statement of Phillip D. Morse, Sr.
Madam Chair and members of the committee, thank you for the
opportunity to appear before you today to discuss the United States
Capitol Police fiscal year 2009 budget request, as well as provide an
update on our progress to improve management and controls over our
programs. I am pleased to be joined here by my Assistant Chief of
Police, Daniel Nichols, and my Chief Administrative Officer, Gloria
Jarmon. As you know, Ms. Jarmon recently joined the Capitol Police from
the Government Accountability Office. Her background and expertise
provides the Department with the well-rounded leadership team necessary
to complete our efforts to become a premiere organization, both
operationally and administratively.
I would also like to thank the committee for its continued support
for the men and women of the United States Capitol Police. Your
support, as well as the support from our other oversight committees, is
crucial to the successful execution of our mission.
It has been a little over a year since I was selected to be the
Chief of the United States Capitol Police. During this time the
Department has undergone many cultural, operational, and management
changes. These changes are part of a larger process to modernize the
Department for mission capability and efficiency, while enhancing our
ability to protect the Congress. I welcome this opportunity to provide
you with an overview of the Department's fiscal year 2009 budget
request, as well as an update on our successes to improve our
management practices and internal controls thus far.
As in any organization, teamwork, and leadership are essential
qualities of a well-managed security and law enforcement operation. It
is through this teamwork and leadership that the USCP has been able to
achieve many successes over the last year. I would like to recognize
the hard work of all of the sworn and civilian personnel of the United
States Capitol Police who exhibit their leadership and dedication to
teamwork in meeting our mission every day. Each day of the year without
exception, these dedicated individuals, with the support of the Capitol
Police Board and the Congress, ensure the safety of the Members, staff,
and millions of visitors from across the globe who come to see
democracy at work.
The Department accomplishes its mission through a variety of
functions to provide round-the-clock protection to the Congress and the
legislative process. In an effort to leverage and maximize technology
as well as maintain efficiency and effectiveness in security
operations, the Department has made significant investment in our human
capital and infrastructure. We also provide high-quality training to
our recruits, officers, and staff. To manage our infrastructure
requirements, we have augmented our physical security as well as
countersurveillance capabilities, automated antiquated security and
administrative support systems, enhanced our detection and response
capabilities for explosive and hazardous materials, maintained a state-
of-the-art command center and sustained continued, uninterrupted
operations of our incident command and emergency notification and
response systems.
The complexity of these operations and infrastructure requires the
USCP to take a realistic approach towards identifying risks, and
resource requirements to meet them, while eliminating lower priority
operations and investment proposals for new departmental initiatives to
insure the prudent use of critical resources.
In our fiscal year 2009 budget submission, the Department is
requesting your consideration of its request for personnel costs of
$269.2 million and general expense costs of $64.4 million. This budget
request of $333.6 million represents an increase of $51.8 million,
which is nearly 18 percent over the amounts for fiscal year 2008 at the
enacted level of funding. As stewards of public resources and a
Department benchmarking itself against rising standards of success, we
are keenly aware of our increasingly lean resource environment. In
developing the fiscal year 2009 budget submission, our main priority
was to address the most critical threats, risks, and vulnerabilities to
congressional security and several initiatives directed by the
Congress, as well as addressing the administrative areas that pose a
risk of fraud, waste and abuse. The Department's fiscal year 2009
budget request focuses 81 percent of requested resources on Assessment,
Prevention and Response, while 19 percent is focused on support
activities for the overall mission.
It is important to note the reasons for the increase in the
Department's fiscal year 2009 budget request, as many of the items
included in this increase are not within the control of the Department.
Within these items is an increase of 6.1 percent of the nearly 18
percent increase related to the opening of the Capitol Visitor Center,
the implementation of the Library of Congress Police Merger, security
for the Architect of the Capitol's Tunnel Project and security for the
Library of Congress New Visitor Experience. Also included in the
overall increase is an increase of 1.1 percent related to security for
the upcoming Presidential Inauguration, as well as a nearly 1 percent
increase in the USCP Office of the Inspector General. In addition, 3.4
percent of the budget increase is related to the annualization of
fiscal year 2008 costs and the Department's annual cost of living
allowance.
The remaining 6.4 percent of the nearly 18 percent increase are
items, which reflect the Department's priorities and initiatives. Of
these items, is a $1.6 million request for reconsideration of several
new civilian positions, which were requested in the fiscal year 2008
budget request, but for which funding was not available within the
fiscal year appropriation to support new FTE. The remaining items are
salaries, to include overtime, and general expenses related to the
initiatives developed under our new Force Development Process, as well
as a select few of my priorities for the Department.
The Department is requesting an increase in sworn and civilian
personnel in fiscal year 2009, to include:
--121 sworn FTE, which include sworn personnel in the following
areas:
--87 related to the Library of Congress Police Merger;
--10 related to the Capitol Visitor Center, to include utilization
of the tunnels for staff-led tours, as well as funding for
the 21 sworn FTE authorized in fiscal year 2008;
--11 related to the Library of Congress New Visitor Experience; and
--13 related to the Protective Services Bureau's Intelligence
Capabilities Business Case.
--38 civilian FTE, which are intended to support the following areas:
--4 related to the Office of Financial Management to support budget
and accounting activities;
--4 related to the Library of Congress civilian support personnel
for police operations;
--3 related to the Protective Services Bureau's Intelligence
Capabilities Business Case;
--8 related to the Office of Information Systems to support the new
Radio project, and the closure of GAO and Inspector General
recommendations and findings;
--9 related to the Security Services Bureau to support security and
technical program execution and related technology
upgrades;
--5 related to the Training Services Bureau to support training
coordination department-wide;
--2 related to the Office of Human Resources to support a diversity
program and the closure of GAO and Inspector General
recommendations and findings related to workforce planning;
--1 related to the Office of Facilities and Logistics to support
workplace safety programs;
--1 related to the Office of General Counsel to support evolving
legal coordination and mission support; and
--1 related to the Office of the Chief Administrative Officer to
support administrative oversight and management.
--Additionally, our Inspector General is requesting an increase of 6
civilian FTE including a dedicated legal counsel and additional
auditors and investigators.
The increases referenced will raise the Department's authorized and
funded sworn personnel level from 1,702 to 1,823 FTE and civilian
personnel from 414 to 458 FTE. This is an overall increase in personnel
from 2,116 to 2,281 FTE for the Department.
The Department is also requesting an increase of $15.6 million in
general expenses over its fiscal year 2008 appropriated funding levels.
This increase includes:
--$4.1 million for the Office of Information Systems to support
lifecycle replacement costs for existing systems and to support
increases in ongoing contracts.
--$5.4 million for the Security Services Bureau to support lifecycle
replacement costs for existing systems and to support increases
in ongoing contracts.
--$1.2 million for the Office of Facilities and Logistics to support
the LOC Police merger and other new sworn positions, to support
the Presidential Inauguration, and to support increases in
ongoing contracts.
--$1.9 million for the Training Services Bureau to support the
training requirements for the LOC Police merger and other new
sworn personnel, as well as the operation of the Practical
Application Center.
--$200,000 for the Protective Services Bureau to support the
Intelligence Capabilities Business Case from our Force
Development Process.
--$900,000 for the Office of Plans, Operations and Homeland Security
to support a study of our Command Center requirements,
increases to the Security Camera Operators contract, and
various costs associated with the Presidential Inauguration.
--$1.1 million for the Office of Human Resources to support increased
costs related to sworn applicant testing and background
investigations; and
--$800,000 for the Uniformed Services Bureau, the Operational
Services Bureau and other organizational elements in support of
training activities, the Presidential Inauguration, and
increased fuel costs.
I recognize that our requested increase is significant, but I
believe that it is an appropriate reflection of sound judgment on the
part of those responsible for executing the mission of the Department.
We expect to refine our budget process further in upcoming years and
hope that this will help us realize efficiencies, which we can
incorporate into future budget estimates. However, we felt it was
important to present to the Congress the resources that in our best
judgment are needed to optimally execute our mission in fiscal year
2009.
We realize that our request must be put into a broader context
within which final allocation decisions must be made. Whatever, those
decisions are, we remain committed to continuing the highest possible
level of security and service provided to the Congress and the visitors
to the Capitol complex.
The Department considers maintaining our onboard workforce and the
completion of the Library of Congress Police Merger to be within the
top 5 percent of our priorities. Among the remaining top 10 percent of
our priorities are the CVC security, security operations for the
Presidential Inauguration, and the lifecycle replacement of our
critical systems, as well as the increased cost of current security
contracts, sworn post scheduling, critical training programs, and
funding for sworn applicant testing and backgrounds to meet attrition
and new mission requirements.
Of primary concern to achieving our operational and administrative
goals are the potential impacts resulting from a lengthy continuing
resolution in fiscal year 2009. With the upcoming opening of the
Capitol Visitor Center, the Presidential Inauguration, the State of the
Union, the Library of Congress (LOC) Police merger, the LOC New Visitor
Experience and the security requirements for the AoC Tunnel Project, as
well as maintaining normal post requirements, the Department's salaries
and general expense resource requirements under a continuing resolution
(CR) will exceed our expected CR allocation. Therefore, the Department
is preparing a Continuing Resolution Impact Statement to provide the
committees with information on the potential impacts, as we know them
today. In addition, we will continue to work closely with your staff to
clearly define our resource needs in the event of a CR.
In an effort to improve overall effectiveness, we have focused on a
number of areas, beginning with overtime management. In fiscal year
2007, the Department concentrated heavily on the efficient utilization
of our overtime allocation within our salary appropriation, as well as
ways to effectively control the Department's utilization of this
resource. Based on current mission requirements, the current number of
on-board sworn personnel is not sufficient to meet all of the
identified mission needs. Therefore, USCP sworn personnel must be
utilized to work overtime to meet these resource requirements. Last
year, through a process of load leveling sworn personnel across the
Department, constant analysis, and the reduction of low risk posts, we
were able to reduce our projected overtime requirements of $24.7
million by close to $3 million. Yet, we still had to utilize over $22
million in order to meet our basic mission requirement. With the
upcoming openings of new areas of the Library of Congress, the Capitol
Visitor Center, the implementation of the Library of Congress Police
merger and the anticipated presence of special events and protests in
and around the Capitol, we know that we must continue the use of
overtime to meet the Department's mission. However, we believe that by
continuing to utilize our established overtime allocation and tracking
process, we will be able to ensure that we are utilizing overtime in an
efficient and effective manner, balanced against the Department's need
to request additional sworn personnel to fill identified mission
activities related to normal post requirements.
As such, the Department is requesting consideration for overtime
funding in fiscal year 2009 at $30.5 million, which is an increase of
$4.1 million over the enacted fiscal year 2008 funding level of $26.4
million for overtime within our salary appropriation. Included in this
request is $21.7 million in overtime to address normal post
requirements; $900,000 to support the security requirements for the AOC
Tunnel Project; $1.1 million related to supporting additional posts
requirements for the Library of Congress New Visitor Experience until
sworn personnel are authorized, recruited, hired, trained, and
deployed; $4.9 million to support security operations for the Capitol
Visitor Center, to include backfill for additional sworn personnel
until the positions are recruited, hired, trained, and deployed; and
$1.9 million to cover the 2009 Presidential Inauguration post
requirements.
Another area of focus is in the area of human capital resource
requirements. In the last few months, the Department received the final
report from its contractor, Enlightened Leadership Solutions, which
provides a detailed analysis of operational processes and the required
manpower necessary to carry out each component of these processes. This
Manpower Study, along with the Department's Strategic Plan, the Force
Development Process, the annual Environmental Assessment Process, and
our soon to be published Strategic Human Capital Plan, will be utilized
by the Department in future years to develop and enhance a single,
long-term vision and related resource requirements. Our wish is for
this vision to be a guide for us in everything we do from this point
forward, as well as provide an indicator to you of our plan, process
and progress. The goal of this entire effort is to create a set of
clear targets to define our plan, budget and performance measurements
for the next 10 years.
Previously, the USCP Concept of Operations (ConOps) dealt mostly
with security at the entrances of congressional buildings and the
Capitol grounds. The current situation in the world posed by terrorism
and other threats has required us to develop a ConOps that stretches
our capabilities beyond stopping a threat before it can get through the
door. We utilize intelligence provided by our partners throughout the
Federal Government to remain constantly vigilant of threats, so we can
stop them long before they come within striking distance of the Capitol
Complex and Members of Congress. Through the Manpower Study analysis,
we have determined an immediate need to further develop this capability
in fiscal year 2008 through some staffing realignments and in fiscal
year 2009-2010 through a request for an increase in authorized sworn
and civilian personnel to support this counter-intelligence effort.
With an aging infrastructure, the limitation of current facilities
and the quickly changing technology surrounding law enforcement, the
Department is faced with a communications challenge. This challenge
will require us to invest in a new radio system. We are grateful for
the resources and support we have been given by Congress in this area
to date. We recently received a cost analysis from our contractor based
on a comprehensive requirements survey for our new radio system. We
plan to provide this analysis to the committees following our internal
validation of the data.
Regardless of the approach we take in the future, our facilities
are not designed and built to handle a modern operation, and may not be
capable of handling the necessary infrastructure for this purpose. To
that end, we are working with the Architect of the Capitol to develop a
comprehensive facilities requirement, which will accompany our radio
system resource requirements request to the Congress.
In order to ensure that the Department had credible and supportable
costing data before requesting additional support from the Congress, we
did not include a request for funding for the new radio system in our
fiscal year 2009 budget submission, as this supportable data was not
available at the time of the submission deadline. Now that this data is
available, the Department would like to initiate discussions with the
Congress regarding the most appropriate venue to pursue this critical
funding.
During fiscal year 2007, the Department affected over 1,100
arrests, which range from robbery to driving while intoxicated to
disorderly conduct to traffic offenses. In the first 5 months of fiscal
year 2008, the Department affected over 340 arrests ranging from
larceny to driving while intoxicated to traffic offenses. In addition,
the Department conducted over 65,000 K-9 sweeps during the same 5-month
period.
In an effort to better engage our stakeholders in the mission of
the Department, we have adopted a concept similar to ``Community
Policing'', which provides direct outreach by USCP officers and
officials to committees and Member offices within the congressional
community. Over the last year, the Department has focused on this
effort with positive response from our stakeholders by visiting every
congressional office as a part of this outreach. Through this proactive
communication process, the Department is better able to keep the
congressional community abreast of security and safety issues of
importance. Last month, we began our theft protection outreach efforts
with Member offices and will continue this effort throughout the summer
months.
Additionally, to better plan and execute security for special
events and demonstrations, the Department has focused its efforts to
ensure a holistic event plan is developed, to include staffing and
resource requirements, as well as roles and responsibilities. Further,
the Department has implemented an after action reporting process to
capture issues and achievements from each event to be used for
corrective actions, future planning and training purposes.
During the high-volume months when visits to the Capitol complex
are at their height, the Uniformed Services Bureau is making specific
efforts to expedite visitors through security screening checkpoints. A
contributor to our success in this area is the Department's new
security screening guidelines. So far, we have trained over 600
officers, officials and security aides, to include all sergeants and
lieutenants. These new security-screening guidelines standardize this
process, so that officers are more consistent with their screening
applications and more proficient in the detection of prohibited and
unlawful items. Since the training was implemented, there have been
some significant weapon seizures, to include the detection of a cane
with a sword concealed inside and a switchblade knife in a backpack.
Both of these detections resulted in arrests.
Further, we have planned, coordinated and evaluated 15 exercises
within the Capitol related to air evacuations, lockdowns, and active
shooter, which simulates a person with a weapon within Capitol Complex
structures. We have also conducted 60 training exercises across the
Capitol Complex to improve readiness for sworn personnel in the field.
In addition, the Department has recently finalized its initial plan
on continuity of operations to ensure its readiness to support the
Congress in the event that the legislative process must be relocated.
This will serve as a living document for the Department, upon which we
will continue to enhance our preparedness and readiness efforts.
Further, the Department has focused efforts to ensure the readiness of
our personnel to address short-term limited evacuations from buildings
or the interruption of activities, so the Department has the ability to
perform its mission.
These are just a few of the operational activities that the
Department has undertaken in an effort to enhance its management
infrastructure. But, just as critical are the mission support functions
in our administrative area.
As we develop these synchronized systems and improve the overall
planning and mission capability of the Department, we are also working
toward developing and implementing best financial management and
internal controls practices within our organizational elements. We have
taken on several positive steps in this area, and most recently have
worked towards the ability to produce a full set of auditable Federal
financial statements.
I am pleased to report that we have shown some progress in meeting
this goal. The Department completed a full inventory of our capital
assets, and assigned values to these assets. This effort led to the
completion of a full set of Federal financial statements for the fiscal
year that ended on September 30, 2007. We know that our financial
statements require further refinement and improvement. We are committed
to continuing these efforts over the next several years under the
guidance of our CAO, with a goal to achieve a clean opinion on the
financial statements for the fiscal year ending September 30, 2010. We
also know that even with a clean opinion, we will have to continue to
address audit findings in this area until we achieve a best practices
financial management operation.
We have also taken steps to identify and address critical staffing
requirements within our Office of Financial Management, to include the
areas of management, budget, procurement, and accounting. Without
filling these key positions, I am concerned that we will not be able
meet our goals to correct the recommendations and findings in this
area. I am pleased to report that over the last 8 weeks, the Department
has advertised all current vacancies within OFM, and we have selected a
Director for the Office of Financial Management, a Procurement Officer,
a Budget Officer, and a Procurement Analyst, as well as finalized the
hiring of an accountant and a contracting officer, who have both
already started working for us. We hope to have selections made and the
requests for appointment forwarded to the Capitol Police Board and
authorizing committees soon for the Deputy Director for the Office of
Financial Management and the Budget Analyst.
I am also pleased with our efforts to redesign our budget planning
and execution process, with the approval and assistance of the
Appropriation Committees, as a part of our new Force Development
Process. We have provided for the first time a budget submission, which
we believe demonstrates the resource requirements of the Department,
defines our methodology for making these resource requests and
demonstrates how the Department is utilizing the resources provided to
it by the Congress.
During my tenure, the Department has focused on instutionalizing my
vision of ``Rising to the Challenge,'' and we have set the bar very
high for our officials and staff in an effort to make the USCP better
able to meet our mission and enable every sworn and civilian employee
to take more pride in the organization.
We began instituting the ``Rising to the Challenge'' vision by
tackling goals that are as simple as officers' consistently looking
professional and alert on post; or as complex as developing a standard
and repeatable planning process for the Department that utilizes a
comprehensive series of assessments and investment decisions. We have
also worked to instill the common values of consistent practices, goal
setting and commitment to the overall mission throughout every level of
the Department.
To ensure our success, we have worked to enhance communication and
transparency, in order to keep all employees better informed on the
workings of the Department, and the expectations of leaders and
stakeholders. We have increased accountability down through all levels
of management, so that the senior leaders can count on the front line
supervisors to run the day-to-day operations, while we make a concerted
effort at the statutory and Executive Management Team levels to map out
the long-term strategic initiatives for the Department.
Some key outcomes of my vision in 2007 were the successful
completion of the Department's Force Development Process for the fiscal
year 2009 budget development and submission, as well as the development
of a formal process to track and address recommendations from the OIG
and GAO.
Force Development incorporates the principles of threat based
planning into our Concept of Operations (ConOps), investment decisions
and resource requests and allocations. This standardized business
approach is based on the concepts of consistent planning, budget
formulation, execution and performance evaluation, in the spirit of the
Government Performance and Results Act (GPRA.) Force Development sets
timetables and accountability for planning resource requirements, based
on security risks and threats, as well as a higher level of
accountability.
Many of the components of the Force Development Process were
already in place at the Department. We have simply designed a process
flow that sets a consistent time table, integrates risk and other
assessments into the formal process, links activities into one
consistent and unified process, and adds a new level of performance
tracking and reporting.
I am also pleased with the intensive analysis that we have
conducted in order to develop a small number of specific investment
proposals for the fiscal year 2009 budget submission using a five-step
process. Lead Agents, which were members of our Senior Management Team
and program managers, developed detailed business cases for specific
investment proposals that where designed to meet the most critical
needs identified by the Department's annual environmental assessment.
We utilized an internal costing group made up of representatives from
the operational bureaus and administrative support areas of the
Department, to define accurate resource requirements for each
investment. We incorporated analysis panels of Senior Management Team
members to meet with the Lead Agents to challenge their business cases
and more clearly define the needs of the Department and develop
recommendations for our Investment Review Board (IRB), which is
comprised of members of the Department's Executive Management Team.
Finally, the IRB met to discuss each business case proposal and ask
questions of the Lead Agents to further validate and refine the
requirement. Following the IRB meetings, we conducted an online rating
and ranking process which delivered to me a comprehensive analysis of
the IRB rating, ranking, and comments for each investment proposal.
This analysis allowed me to make my final decision for the proposals
considered for inclusion in our budget.
The second outcome from my vision is the Department's efforts to
address its management challenges. As you know, the Department
struggled for several years to address the recommendations of the
Government Accountability Office (GAO) and the Department's independent
auditors. One of my first directives to the Executive Management Team
was to embrace and implement the recommendations provided by the GAO
and the USCP's Office of the Inspector General, which included the
recommendations of our auditors.
My goal was to use these recommendations as a roadmap for the
Department's overall organizational improvement. The recommendations
have provided the Department with an opportunity to implement a myriad
of administrative and operational changes to create a well-managed
organization, prevent the risk of waste, fraud, and abuse, and ensure
the successful execution of our mission.
As a first step toward meeting this goal, we established an Audit
Liaison to coordinate the tracking and reporting of all open
recommendations with the Executive Management Team. We implemented a
directive, which establishes a formal audit resolution process, and is
based on the examples provided through policies and best practices
followed in other Government agencies. In addition, the Directive
established a process of developing action plans to deal with each open
recommendation and ensure accountability from all levels of USCP
employees responsible for their resolution and closure.
Today, I am pleased to report that the Department has made
significant progress in addressing these recommendations and findings
since October 2007. Since the beginning of the fiscal year, we have
closed over 30 of the 118 remaining recommendations and findings,
leaving open a total of 80 recommendations and findings to resolve. Of
those closed, 8 recommendations were in the financial management area.
The remaining closed items were in the human capital, asset management,
information systems, strategic management, operations, and overall
management and internal controls areas.
Over the last year, we have:
--Developed and submitted for audit a full set of financial
statements.
--Developed and implemented a standardized and repeatable process to
ensure compliance with reprogramming requirements concerning
appropriated funds.
--Implemented actions to monitor our purchase, travel, and fleet card
programs and the expenditures made under these programs.
--Implemented a standardized process for addressing procurement
workloads to avoid backlogs.
--Formalized the Department's Investment Review Board process and
provided training for its members.
--Established a formalized process for responding to and resolving
recommendations and audit findings.
--Institutionalized our semi-annual reporting to the Capitol Police
Board and our oversight committees.
--Finalized our Continuity of Operations Plan and implemented a
process for review and enhancement of the plan to meet evolving
threats and requirements.
--Finalized, submitted, and received approval for the USCP's
organizational chart.
--Revised and implemented the processes and protocols for the use of
blocking vehicles.
--Revised and implemented protocols for the usage of radio
frequencies during operational activities.
--Developed and implemented a formalized process for the review and
approval of information technology procurements.
Additionally, we have developed and are initiating the
implementation of a strategic human capital plan, to include linkages
to the Department's strategic plan and vision. This plan will assist
the Department in addressing the gaps in the number, deployment, and
alignment of human capital approaches to enable and sustain the
contributions of critical skills and competencies within our workforce.
We believe this plan is critical to our ability to hire and retain a
professional workforce necessary to support the mission of the
Department.
Further, we have taken steps to suspend, review, and overhaul
certain programs to validate that they are operating within the intent
of Congress and under effective internal controls.
Some examples of these are:
--Suspension of the Student Loan Repayment Program in order to revise
the overarching directive and procedures governing the program
to ensure that the program is being utilized as a recruiting
and retention tool, as intended.
--Suspension of the Specialty Assignment Pay, Fitness Proficiency
Pay, and Firearms Proficiency Pay in order to review these
discretionary programs for prudent management and oversight.
--Enhancement of our internal controls program. These efforts have
provided a framework for organizational elements to address and
resolve audit findings and recommendations.
--Review of our uniform and weapon inventories. This review resulted
in my decision to implement changes to our uniform policy, to
include the number and types of uniforms utilized by the
Department. My intent is to streamline the uniforms used by the
Department and reduce our inventory and long-term uniform
expenditures.
--Review of other support areas such as training, procurement, travel
processes, and fleet management to continue progress in
addressing management and controls issues.
In addition to our focus on these operational and administrative
management activities, we have also been focused on the planning for
and implementation of several large-scale initiatives, which will be
impacting the Department within the upcoming year.
The Department is making plans to provide security to the upcoming
Democratic and Republican Conventions in August and September 2008,
respectively. We are currently engaged in various planning efforts and
site visits leading up to the events.
As the completion of the Capitol Visitor Center nears, we are
gearing up for the opening of this facility and to welcome the American
public with courteous, efficient, and safe security. We are grateful
for the authorization of an additional 21 sworn FTE in fiscal year 2008
to support the USCP's CVC operational plan. As you know, we are
requesting an additional 10 sworn FTE in order to support staff-led
tours in the congressional office building tunnels. With these
resources, we will have the tools to implement our operational plan
consistent with current operating assumptions for the facility.
In addition, with the recent legislation enacted in January 2008,
Congress has expressed a timeline for the complete merger of the
Library of Congress Police into the USCP. We have developed a very
successful relationship with the Library of Congress (LOC) Police over
the past few years and have integrated our sworn employees into their
operations. In fiscal year 2009, we will be integrating the remaining
LOC sworn personnel into the Department and will be training,
equipping, and employing them as members of the USCP. Likewise, we will
be welcoming their civilian employees into our ranks.
While these are just a few examples of the serious efforts we have
undertaken to enhance the management and internal controls of the
United States Capitol Police, as well as implement long-term planning,
I believe they represent our commitment to meet the challenges raised
by the Congress and the successful execution of our mission to protect
and defend the legislative process. Although much work remains to be
done at the Department in the areas of management, we believe that
significant progress has been made in implementing systems and
processes that improve the administrative functions and our ability to
perform our mission.
In closing, I would like to say that I am looking forward to
continuing my efforts as Chief of Police to make the Capitol Police a
best practices organization. The progress we have made in the last year
demonstrates the commitment and hard work of the employees of the
Department. I want to recognize the fact that in many ways we are
addressing and correcting processes, programs, and a culture that has
been present for a long time. Everything will not be made perfect all
at once. However, we will continue to see gradual results and a
constant evolution into the premier organization I believe we should
be. I am committed to continuing to keep you and our other stakeholders
informed, and will insist on continued transparency and openness, both
internally and with our external customers and stakeholders.
We at the Capitol Police look forward to working collaboratively
with the Congress to continue to safeguard the legislative process,
Members, staff, and visitors to the Capitol Complex. Through this
collaborative partnership, I believe we will realize our collective
goal of transforming the United States Capitol Police into a premiere
law enforcement organization.
Thank you for the opportunity to appear before you today and the
committee's continued support of the men and women of the United States
Capitol Police.
My colleagues and I are ready to address any questions you may
have.
LIBRARY OF CONGRESS
STATEMENT OF DR. JAMES BILLINGTON, LIBRARIAN OF
CONGRESS
ACCOMPANIED BY JO ANN JENKINS, CHIEF OPERATING OFFICER
Senator Landrieu. Dr. Billington.
Dr. Billington. Madam Chair, Senator Alexander, Senator
Allard, it is really an honor to be here to present the Library
of Congress' fiscal year 2009 budget request and to be here
along with our Chief Operating Officer, Ms. Jo Ann Jenkins, and
other members of the Executive Committee who are seated behind
me.
I thank the Chair for your continuing interest in the
vision and goals of the Library, for your efforts to focus
attention on the Veterans History Program, and for the
opportunity to work with you to bring Southeastern Louisiana
University into our educational network which helps K through
12 teachers to make broader use of the Library of Congress'
collections of digitized primary sources.
Senator Alexander, we look forward to working with you as
well on a similar program with Middle Tennessee State
University, and I thank you for being such a strong and
thoughtful proponent of American history and civics education,
which we are trying to advance with our educational programs
and with the new library experience. So I look forward to
continuing to work with you both and with all members of the
subcommittee.
Senator Allard, we have enjoyed hosting your capital
conference at the Library these past several years. You will be
missed. We thank you for your great interest in the Library and
your support over the years, and when you retire at the end of
the 110th Congress, we will miss you and wish you the very
best.
Madam Chair, we have submitted a very modest budget request
for fiscal year 2009, based on fiscal year 2008 operating
levels--levels that were achieved with some painful cuts in the
Library's budget. We have limited ourselves to request funding
only to meet mandatory pay raises and unavoidable price level
increases, to sustain basic current services, and to rescue
from the brink of collapse the unique program that the Congress
mandated and funded in 2001 for preserving the growing volume
of important information and knowledge that is produced only in
highly impermanent digital form.
LOC deg.COLLECTING AND PRESERVING DIGITAL CONTENT
The fiscal year 2007 rescission of $47 million from the
National Digital Information Infrastructure and Preservation
Program resulted in a total loss to the program of $84 million
when you add in the matching amount that the partners would
have provided. We have requested $6 million in fiscal year 2009
and have provided a 5-year plan for keeping this program alive.
I will submit the plan with my testimony. Collecting and
preserving ephemeral digital content is increasingly important
for serving the information needs of the Congress--and for
validating our new way of doing business, by sharing ongoing
costs and expertise with a trusted network of vetted partners--
in Louisiana, Tennessee, Illinois, Nebraska, and other States.
We have had to accept that our long planned roll-out of the
transition to a digital format for talking books and playback
machines will be prolonged from 4 to 6 years.
Madam Chair, the Congress of the United States has been the
greatest patron of a library in the history of the world. The
Congress can be proud of the record of acquiring and
preserving, even in difficult financial periods, the largest
and most varied collection anywhere of the world's knowledge
and of this Nation's creativity.
LOC deg.AUSTERITY AFFECTS LIBRARY MISSION
We respect the Congress' understandable desire for
austerity in this year's budget request, and its authority to
limit and redirect funds within the Library's appropriations.
But I feel obligated to say that if we are stretched much
further, we may soon reach a breaking point from which it will
be difficult to return, particularly if we have to cut deeper
into basic Library programs as we have had to do recently. For
instance, we had to absorb roughly $16 million in mandated
cost-of-living increases in fiscal years 2007 and 2008.
We now have about 1,000 fewer staff to do far more work
than was done 20 years ago when I became Librarian and before
we began the Herculean task of superimposing a digital library
and services on top of a traditional analog library. About
three-quarters of the staff reductions have been in library
services, endangering vital core missions. We are stretching
out the useful life of the technological infrastructure of the
Library. But we are reaching a dangerous point and we cannot
and should not put in jeopardy the important role that the
Library plays in the information infrastructure of America in
this information age.
LOC deg.NEW VISITORS EXPERIENCE
Despite these challenges, this is a time of great promise
for the Library--as we continue using digital technology to
transform the way we do our work and deliver our services to
the Congress and the Nation in all areas of the Library.
Relying largely on private philanthropy and in-kind
donations, our outstanding, dedicated staff has already begun
transforming the public spaces of the Jefferson Building into
an interactive learning center for the greatly increased number
of visitors who will be coming to the Library when the Capitol
Visitor Center opens. David McCullough said at the opening of
our new digitally enhanced exhibit of the priceless original
documents involved in the creation of the United States--and I
am quoting David McCullough--``I saw yesterday an exhibition
which every American ought to see: `Creating the U.S.'. If
visitors to this, our capital city, whether they're from our
own country or from abroad, were to see only one exhibition,
one building, one place during their visit, seeing `Creating
the U.S.' would be the one to see.''
We are also bringing into full operation the magnificent
new National Audio Visual Conservation Center created with the
support and funding of the Congress and the unprecedented gift
of more than $150 million plus expert guidance from David
Woodley Packard and the Packard Humanities Institute. And we
will begin putting on line, with the support of UNESCO and
other national libraries, an educational World Digital Library
of primary documents of other cultures that will be accessible
in seven languages.
LOC deg.STRATEGIC INFORMATION RESERVE
Madam Chair, we recognize that difficult choices will
continue to have to be made during this time of extraordinary
budget constraints. But this Library is an essential part of
our knowledge-based democracy. The Library collects, preserves,
and makes accessible free of charge both here on Capitol Hill
and everywhere else on the Internet important materials in
languages and in formats that no one else does. We are in many
ways a key part of our Nation's strategic information reserve.
The small 2 percent increase for programs in our budget request
directly affects that strategic reserve. This Library has never
been more important for the economic, security, and civic
health of America than now in this information age and in the
midst of the digital revolution, the most profound change in
recent history in the mode of communication, as well as the
generation of human knowledge.
PREPARED STATEMENTS
I ask for your support for our modest funding request for
fiscal year 2009, and we look forward to working with the
subcommittee to craft a budget for fiscal year 2010 that can
ensure for the future the Library's historic mission of serving
the Congress and the Nation in these challenging and changing
but, at the same time, promising times. Thank you very much. I
will be very pleased to answer any questions.
Senator Landrieu. Thank you, Dr. Billington.
[The statements follow:]
Prepared Statement of Dr. James Billington
Madam Chair, Senator Alexander, and other members of the
subcommittee: It is an honor to be here to present the Library of
Congress fiscal 2009 budget request. Madam Chair, I thank you for your
continuing interest in the vision and goals of the Library. Senator
Alexander, I want to welcome you to the subcommittee and look forward
to working with you and all the members of the subcommittee.
We have submitted a very modest budget request for fiscal 2009,
based on fiscal 2008 operating levels--levels that were achieved with
deep and painful cuts to the Library's budget. The Library has
requested a total fiscal 2009 budget of $645.8 million, representing an
increase of 5.3 percent over fiscal 2008. With this request, we have
limited ourselves mainly to asking for funding to meet mandatory pay
raises and unavoidable price-level increases, and a much smaller amount
mainly to rescue from the brink of collapse the unique National Digital
Information and Infrastructure Preservation Program (NDIIPP) that the
Congress mandated and funded in 2001 for preserving the growing volume
of valuable information and knowledge produced only in highly
impermanent digital form.
The Congress of the United States has been the greatest patron of
the library in the history of the world. We respect the understandable
desire of the Congress for austerity in this year's budget request. And
we respect the Congress's authority to limit and redirect funds within
the Library's appropriations. But I feel obligated to say that if we
are stretched much farther, we may soon reach a breaking point. We are
extending the useful life of the technical infrastructure of the
Library, but we cannot and should not put in jeopardy this important
part of the information infrastructure of America in this information
age.
This is a time of great promise for the Library. In all areas,
digital technology is being used to transform the way we do our work
and deliver services to Congress. Copyright's re-engineering program,
Library Services' digital acquisitions program, the Office of Strategic
Initiatives' NDIIPP initiative, the National Library Service for the
Blind and Physically Handicapped Digital Talking Book program, and the
Law Library's Global Legal Information Network are but a few examples
of a broader institutional goal: to add digital content and services on
top of traditional Library programs. The relatively modest increases we
are requesting are almost all designed to sustain the progress we have
been making in the digital transformation of our collections, services,
and internal procedures. Our digital initiatives are not miscellaneous,
unrelated activities; they are related pieces in transforming all
Library functions for the future. The digital transformation will occur
over several years and will require continuity of congressional
support. Beginning with our fiscal 2010 request, we will provide
detailed advanced projections of what we will propose both to add and
to reduce over the next few years in order to sustain our historic
mission for the Congress and the Nation at a time of revolutionary
change in the generation and communication of knowledge.
The fiscal 2008 appropriation, including the across-the-board
rescission, resulted in a 0.83 percent increase for the Library of
Congress over the fiscal 2007 funding level. While total funding for
fiscal 2008 included a $12.5 million increase to support the Digital
Talking Book program, the Congress reduced funding levels in several of
the Library's other accounts, including a $10 million reduction to the
Copyright Office's no-year funding balance, a $4 million general pay
reduction, and more than $5 million in targeted reductions to our
Library Services program. In addition to these direct cuts, the Library
has had to absorb roughly $16 million in cost-of-living increases in
fiscal 2007 and 2008.
We now have more than 1,000 fewer staff to do far more work than
was done 20 years ago when I became Librarian and before we assumed the
Herculean task--and national leadership we have achieved--of
superimposing digital library collections and services on top of our
continuing role as the world's largest and most diversified repository
of analog materials (books, maps, movies, music, etc.). We already are
having to begin cutting back on one of our most vital core missions:
the comprehensive acquisition of information and knowledge that we
alone collect and preserve for the Nation's strategic information
reserve. With difficulty and a focus on fiscal restraint, the Library's
Executive Committee and I eliminated more than $52 million in critical
funding needs from this fiscal 2009 budget request, committing either
to forgo or seek to fund internally those items or activities in fiscal
2009.
All service units within the Library have been affected by the
austere budgets of fiscal 2007 and 2008, but two programs were affected
severely:
books for the blind and physically handicapped digital talking book
program
The Digital Talking Book Program (DTB) was funded at $12.5 million,
rather than our original request for a $19.1 million increase, which
means that our long- planned roll-out of the transition to a digital
format for talking books and playback machines will be prolonged from 4
to 6 years. During the appropriations cycle, the Library made an appeal
for $15 million for the DTB program, but this appeal was rejected in
light of budget austerity across the broader Legislative Branch.
Recognizing the very difficult budget environment that the Congress
and the entire Federal Government face, Library leadership accepted the
necessity of managing the Digital Talking Book program at the current
(fiscal 2008) funding level and over the extended (6-year) transition
period. Production of the playback machines is well underway, and
digital books are being created, but the current funding level will,
during this transition period, reduce the number of books on the shelf
for blind readers, for whom we are the sole source of free reading
material. The blind community continues to express its displeasure with
the consequences of the lower funding level.
national digital information and infrastructure preservation program
(ndiipp)
NDIIPP was founded and funded by the Congress in 2001 on the
principle of shared stewardship and costs. The fiscal 2007 rescission
of $47 million from NDIIPP resulted in a total loss to the
collaborative national digital preservation effort of $84 million. We
are living in an unprecedented period of unbounded creativity where
important knowledge creation, legislative proceedings, and political
discourse are increasingly documented only in ephemeral digital
formats. We cannot as a national cultural institution of the United
States afford to walk away from our mission responsibility to save
these valuable records for future generations. The rescission to NDIIPP
forced us to reduce by 75 percent the commitments we had already made
to our partners in fiscal 2007. The rescission to NDIIPP has taken away
the means by which we can save more content, expand the joint
stewardship network, and build out the necessary underlying technical
infrastructure.
We have requested an increase of $6 million in fiscal 2009 and have
provided a 5-year plan for keeping this program alive. Without these
program funds, we will be forced to begin shutting down the joint
stewardship program and walk away from shared stewardship and costs
with our sustaining network partners. Absent this funding, we will be
left only to voice our alarm at the risks of loss and remain on the
sideline in hopes that others will have the means to save our digital
cultural heritage records.
Collecting and preserving ephemeral digital content is essential if
we are to continue serving the information needs of the Congress. This
program is also important for validating our new way of doing business,
by sharing ongoing costs and expertise with the network of NDIIPP
partners we have built up in Florida, Iowa, California, and Minnesota.
The Library has developed specific goals it will achieve during the
next 5 years. The program has acquired 66 terabytes of at-risk digital
content collected and preserved by its partners within a network of
repositories. This is equivalent to the content in approximately 66
million books. It has developed a network of more than 130 partners in
the content, technology, research, Government, and business sectors
across 25 States; 10 of these partners are Federal agencies.
The NDIIPP partners have created, for free download, publicly
available tools for preserving digital content. These tools make the
life cycle management of at-risk content easier. Together with our
partners, we have created, standardized, and shared the means to
harvest content from the web, prepare content metadata, prepare content
for long-term storage, and allow sharing and exchanging content across
digital libraries.
During the next 5 years NDIIPP will increase by tenfold (to 650
terabytes) the digital content under national stewardship. It will
create a National Alliance for Content Stewardship that reaches all 50
States. This alliance will establish a formal presence in every State
to champion and catalyze digital preservation efforts and investments
from the public and private sectors, and also construct the technical
architecture necessary for storage of the 650 terabytes of content
distributed across the partnerships.
Other than funding for mandatory pay and price-level increases and
a $6 million increase for the NDIIPP program, the Library has limited
its fiscal 2009 program funding requests to $5.8 million in order to
maintain the services of our most critical programs. We have requested
$3 million to cover the increased assessment for the State Department
Capital Security Cost-Sharing program to keep alive our all-important
overseas offices; $0.9 million for the final increment of a 5-year
adjustment for inflationary cost increases in the Library's
Acquisitions Program; $1.8 million to restore salary funding for staff
operating the Packard Campus for Audio-Visual Conservation in Culpeper,
Virginia; and $156,000 for an additional staff member in the Library's
Office of the Inspector General.
library services
Beginning in fiscal 2006, Library Services (LS) began realigning
its base funding in order to meet new requirements and support needed
innovation without requesting new funding from the Congress for such
programs and activities as upgrading of its preservation research and
testing lab; acquiring historically important special collections that
should rightly be included in the national library; and refurbishing
many of the Library's most heavily used public spaces.
With the reductions to the LS budget in fiscal 2007 and fiscal
2008, current funding levels no longer support many important programs
and activities. For example, the Packard Campus preservation
laboratories are not yet operational. Even though staff and collections
have been moved to Culpeper, fully half of the capacity to preserve at-
risk collections at the New Packard Campus for Audio-Visual
Conservation cannot be realized.
LS has absorbed part of the fiscal 2008 cuts by delaying hiring.
This has resulted in gaps in critical language and subject-matter
expertise. It has also meant that important supervisory and managerial
vacancies in LS remain open at a time when anticipated retirements are
at an all-time high. The long-term effects of the budget reductions are
significant. Salaries and benefits of critical new hires will be
annualized in fiscal 2009. As a result, major preservation contracts
for mass deacidification and binding, and collections management
contracts that provide care and service of collections items, must be
reduced. This directly affects the stewardship of the collections built
over the past 200 years and their availability for future generations.
Finally, the Library will be unable to acquire many special collections
that are appropriate for the Library's collections.
copyright
The Library's fiscal 2009 budget justification includes a net
appropriation request of $12.9 million to support the Copyright
Office's core operations. Of this amount, $10 million represents a
request to restore funding the Congress temporarily reduced in the
fiscal 2008 budget. The Congress directed the Copyright Office to use a
no-year balance to fund normal operating expenses in fiscal 2008. As
the balance of the no-year account will be depleted in fiscal 2008, the
Copyright Office must have appropriated funding restored in order to
maintain operations.
The total increase in net appropriations requested for the
Copyright Office also includes $1 million to support the implementation
of the Copyright Records Preservation Project. This funding will remain
in place for 6 years for digital imaging of pre-1978 public records,
supporting at a very basic level the Copyright Office's preservation
and access goals.
congressional research service (crs)
The CRS Director's testimony identifies four ways in which the
Library's Congressional Research Service fulfills a unique niche for
the Congress. First, CRS has experts in the worlds that Members and
committees inhabit. They understand Congress as an institution, its
work processes, Members' responsibilities, and legal and constitutional
contexts. Second, the Service is in a unique position to analyze issues
that arise from and are often dominated by the operations of executive
agencies and their missions. Third, CRS is uniquely equipped to offer
multi-disciplinary, analytic approaches to identifying relevant public-
policy issues and to offer solutions to address them. The fourth is the
Service's ability to rally and immediately offer support when the
Congress is faced with an emergency or other unexpected major event.
Funding cuts and shortfalls in mandatory pay increases were
mitigated by reducing the CRS staffing plan, deferring equipment
purchases, and placing additional constraints on the acquisition of
research materials. The plan for reducing FTE from 705 to 675 in the
fiscal 2008 Operating Plan targets support functions to avoid any loss
of direct research capacity. CRS has reduced equipment expenses by
deferring or eliminating upgrades or replacement of IT and office
equipment. Research material costs were lowered by reducing user access
to electronic resources; canceling selective print titles; not
purchasing new resources; and continuing to partner with Library
Services to acquire public policy research materials.
law library
The Law Library of Congress has placed special emphasis on the
content of the U.S. legal material in the Global Legal Information
Network (GLIN) and THOMAS to incorporate all laws published in the
United States Statutes-at-Large and all congressional hearings. This
will be expanded to include summaries and associated metadata for 100
U.S. treaties and other international agreements. The Law Library's
highest priority remains the need to re-classify books formerly
categorized as ``Law'' into the K class in order to ensure a complete,
current, and accessible law collection and provide timely responses to
congressional requests for foreign legal law information. The Law
Library has completed a comprehensive redesign of its public website
and launched four RSS feeds thus far in fiscal 2008 that allow users to
easily stay up-to-date with areas of interest by delivering news, such
as the latest Research Report or issue of the Global Legal Monitor, to
a desktop computer or other Internet device.
In response to fiscal 2008 funding shortfalls related to the
rescission and unfunded mandatory pay increases, the Law Library has
realigned base funding from contractual services and equipment accounts
in order to absorb payroll costs and to support key staff who provide
important services to the Congress. The impacts of these include the
shortening of performance periods for contractual services necessary to
perform core law collections maintenance services, elimination of
contracts providing GLIN data development and program support, and
scaling back technological enhancements to the Law Library Multi-Media
Center.
future projects and resource needs
The Library's budget formulation process highlighted other highly
critical activities that support the Library's customers, to increase
the use of the Library's digital resources to promote knowledge and
better world understanding and increase use of Library resources to
inform scholarly, educational, and public-policy discourse. However, we
chose not to bring forward a number of these important activities as
requests for funding in this budget.
The New Library of Congress Experience will give a greatly expanded
number of visitors the opportunity to experience expanded exhibits and
learn interactively from the breadth of our collections and knowledge
of our curators and staff, all at the end of the passageway from the
United States Capitol through the New Capitol Visitors Center. The
journey will begin with a new orientation experience and travel though
the Great Hall, as various new gallery spaces and educational content
are delivered through state-of-the-art technology that will greatly
enhance the in-person experience. To fulfill this journey, the Library
will need to hire new specialized staff and create new systems,
applications and interactive components to integrate and deliver
complex technological services. In fiscal 2009, the Library will do
what is possible with available resources and the significant private
funds we have raised to implement these plans. However, given the scope
of this effort, the Library will need to seek congressional support for
the New Library of Congress Experience in fiscal 2010.
Demand for online services, increased pressure on web services
operations to enhance THOMAS, the World Digital Library (WDL), and the
Legal Information Services (LIS) databases, and the need to develop new
configurations and applications have severely strained technical
assistance and infrastructure support provided by the Office of
Strategic Initiatives (OSI) and Information Technology Services (ITS).
Since 1995, THOMAS has provided free legislative information on the
web. Our congressional and public constituencies have for several years
been requesting upgrades to both THOMAS and LIS to enhance content and
searchability. Again, the Library will attempt to use the prioritizing
tools of the Strategic Plan to address these demands with existing
resources. However, the IT and digital demands on the Library will need
support from the Congress in fiscal 2010 to sustain the Library's
ability to provide services to the Congress and its constituents.
conclusion
2008 will be an exciting year in which our outstanding, dedicated
staff will be working to build a new constituency for the Congress's
Library. We will transform with mostly private funding the public
spaces of the Jefferson Building into a learning center for the large
number of visitors who will be coming when the Capitol Visitors Center
opens; we will begin operations in the magnificent new National Audio-
Visual Conservation Center made possible by the unprecedented gift of
more than $150 million by the Packard Humanities Institute and funding
from the Congress; and we will begin putting online, with the support
of UNESCO and a number of other national libraries, a World Digital
Library of primary cultural documents in seven languages.
Madam Chair, we recognize that difficult choices will continue to
have to be made during this time of extraordinary budget constraints.
But this Library is an essential part of our knowledge-based democracy.
I ask for your support for our modest funding request for fiscal 2009
and look forward to working with this committee to craft a budget for
fiscal 2010 that will sustain the Library's historic mission of serving
the Congress and the Nation.
______
Prepared Statement of Ambassador John O'Keefe, Executive Director, Open
World Leadership Center
Madam Chairwoman, Senator Alexander, and other members of the
subcommittee, I appreciate the opportunity to submit testimony on the
Open World Leadership Center's budget request for fiscal year 2009. The
Open World Leadership Center, of which I am the Executive Director,
conducts the only exchange program in the U.S. legislative branch and
has hosted more than 13,000 emerging leaders from Russia, Ukraine,
Azerbaijan, Kyrgyzstan, Tajikistan, Georgia, Moldova, Lithuania,
Uzbekistan, and Kazakhstan, our newest country. All of us at Open World
are very grateful for the continued support in the legislative branch
and for congressional participation in the program and on our governing
board. We look forward to working with you on the future of Open World.
Over the past 8 years, Open World delegates have had the
opportunity to meaningfully engage and interact with an estimated
120,000 Americans throughout the United States in professional, theme-
focused programming that increasingly emphasizes continuing projects
and partnerships. More than 6,000 American families and individuals in
all 50 States have hosted the visiting participants. And in 2007 alone,
the home hosting of Open World participants by dedicated Americans in
187 different congressional districts saved the Center an estimated
$1.8 million in per diem accommodation and meal costs. Over the life of
the program, Open World has awarded more than $32 million in grants to
hosting organizations located in every region of the country.
Open World's impact on program participants is captured in the
following statement by a Russian alumna from Orenburg who studied
issues related to HIV/AIDS during her visit to Des Moines, Iowa, in
2006: ``Upon return to Russia, I implemented several HIV preventive and
treatment approaches. I was aware of these approaches prior to the Open
World trip but it was only after seeing these efficiencies demonstrated
in practice in the United States that I was able to actually implement
them at home. To sum it up, the Open World trip to the U.S. confirmed
for me the realistic possibility of implementing these very important
measures in Russia.'' The alumna, who is a doctor specializing in
infectious diseases, met with various professional counterparts in
Iowa, including an HIV/AIDS outreach specialist at the Polk County
Health Department and the executive director of the AIDS Project of
Central Iowa.
Open World has a track record of identifying tomorrow's leaders
today. For example, Open World alumni make up 10 percent of the newly
elected Russian State Duma. I believe part of Open World's secret for
identifying leaders on the rise is its strategy of targeting all
regions in Open World countries, not just the major cities. In Russia,
the country with the largest and oldest Open World program, 80 percent
of Open World alumni live outside Moscow and Saint Petersburg. We also
select relatively young delegates--their average age is 38.
Program participants come to discuss topical issues of mutual
interest and benefit, such as ways of treating post-traumatic stress
disorder among war veterans, preventing the spread of avian flu,
furthering the rights of women and children, and protecting the
environment. Mayors and city council members see firsthand how our
elected officials respond to constituents. All our delegates work with
American hosts and peers who share their interests and are often eager
to partner with them on collaborative projects. For example, when Open
World first partnered with Rotary International in 1999, there were 33
Rotary clubs in Russia. Today there are 87 clubs and 21 Rotaracts.
Since August 2007, when we began a concerted effort to track post-
visit successes, Open World has identified approximately 100
collaborative projects, partnerships, and other concrete post-visit
results each month. Some illustrative examples.
calendar year 2007 highlights
Russia
Open World hosted 1,165 Russian participants in calendar year 2007.
Delegates came from 77 of Russia's then 85 regions and represented a
wide range of ethnic groups. Women accounted for 57 percent of the
delegates. These participants were hosted in 45 U.S. States and the
District of Columbia. Open World's civic hosting themes were
accountable governance, rule of law, and social issues.
Many exchanges focused on issues of importance to both countries.
For example:
A group of 16 nonproliferation experts visited the U.S.
Department of Energy national laboratories in Tennessee and
Washington State. As a result of the visit, an American
Material Protection, Control, and Accounting (MPC&A) contract
with a Russian entity that was due to expire in 2007 was
renewed for 2008, thereby enhancing control of nuclear
materials, including weapons-grade uranium and plutonium.
Another delegate who is a senior instructor in the
International Relations Department at St. Petersburg State
University has been selected by the university to teach a
course on nonproliferation policy, which would be the first-
ever such course in a Russian university.
In March 2007, Open World hosted Russian epidemiologists and
community health planning leaders who worked with their
counterparts in North Carolina on the preparation of a template
to assist small to medium-size communities around the developed
world in planning for, and responding to, outbreaks of
catastrophic disease.
A delegate active in anti-human trafficking efforts was offered a
$48,000 grant by her U.S. hosting organization at the
completion of her 2007 Open World exchange to Arlington,
Virginia. The September 2008-September 2009 grant, which is
likely to be renewed annually, will support the new Center for
the Study of Organized Crime and Corruption in Stavropol and
its research on border security issues and irregular migration
patterns that promote terrorism, human trafficking, and labor
exploitation. The associate director of trafficking victims'
assistance programs at the U.S. Conference of Catholic Bishops,
along with two Montgomery County, Maryland, detectives who met
with this delegate while she was in the United States, visited
Russia in April. The delegate helped arrange for the Americans
to speak at numerous events, including a gathering of top-
ranking police officers from Russia's Southern Federal
District, and a colloquy of students and faculty from the
Stravropol University of the Russian Ministry of Interior.
Another delegate visited United Cerebral Palsy of Pittsburgh,
Pennsylvania, and was inspired to organize a daycare program
for children with cerebral palsy in Volgograd, Russia. She
subsequently received the Russian Presidential Award and a
grant of $35,000 for establishing the program.
Four Russian mental health experts who counseled children and
families affected by the 2004 Beslan school attack spent the
evening of December 20, 2007, sharing experiences and
strategies for healing in a Lancaster County, Pennsylvania,
home with members of the Amish community who had suffered from
the Nickel Mines school shootings in October 2006. Grandparents
of one of the victims were among those who took part in the
profoundly moving session. Post-traumatic stress disorder
(PTSD) was the focus of a second Russian team hosted at the
same time by the University of Massachusetts Medical School in
Worcester, Massachusetts. Three of the Worcester delegates had
assisted Beslan survivors and continue to specialize in crisis
counseling; the fourth treats military veterans of the conflict
in Chechnya. During their Massachusetts visit, the delegates
worked with some of America's leading academic and clinical
experts in PTSD--including several Veterans Administration
specialists--and shared their own professional experiences in
the North Caucasus. Potential results of these visits include
journal articles, reciprocal visits by U.S. mental health
experts, and curriculum sharing between U.S. and Russian
institutions.
The past year also saw impressive achievements produced by
participants in earlier Open World exchanges. Below are just a few
examples:
Thanks to two Open World alumnae, the City of Ulan-Ude declared
2007 ``The Year of Civic Initiatives'' and allocated 2.8
million rubles (approximately $106,000) to 32 local NGOs to
organize 100 different activities and programs throughout the
year. One of the alumnae, an Ulan-Ude city administrator, was
inspired to launch this campaign by learning about the work of
Louisiana Eastern European Adoptive Families and other
Louisiana nongovernmental community organizations during a 2005
Open World exchange. She involved a second alumna, the first
deputy chairperson of her department, to help get the campaign
off the ground. As part of the initiative, the Ulan-Ude city
administration established an association called Family whose
goal is to develop a foster-homes program to help orphans
integrate into society.
This winter, cultural program alumnus Arkadiy Babchenko's award-
winning book ``A Soldier's War in Chechnya,'' an account of his
experience as a young soldier in Russia's Chechen wars, was
published in translation in the United States. Critics have
compared the book to ``All Quiet on the Western Front'' and
Michael Herr's ``Dispatches''.
Another Russian alumna-author, Kseniya Golubovich, was one of 30-
plus foreign writers to take part in the 2007 Fall Residency of
the University of Iowa's renowned International Writing Program
(IWP), thanks to a coveted fellowship she won while on a 2006
Open World cultural exchange hosted by IWP. Golubovich writes
essays on life in modern Russia for several newspapers and
journals, and publishes in a variety of genres. During her
fellowship she finished her second novel; met with a high
school creative-writing class; gave readings and talks at the
University of Iowa, Northwestern University in Evanston,
Illinois, and Harvard University; was invited to serve as a
presenter for an IWP-sponsored film series; and worked with
university students and faculty.
More and more Open World hosts are organizing visits to build
ongoing ties with their Open World counterparts and other
contacts. In 2007, 71 American judges and legal professionals
visited Open World alumni in Ukraine and Russia. In another
example, the Los Alamos (New Mexico)-Sarov Sister Cities
Initiative, a regular Open World host organization, coordinated
the reciprocal visit in June 2007 of four Los Alamos
firefighters and police officials to Sarov, a city closed to
most foreigners and Russians. There the Americans consulted
with counterparts on specialized procedures for fighting forest
fires in a nuclear city.
Ukraine
The new government seeks closer ties to Europe and the United
States and, with a substantial grant from the Millennium Challenge
Corporation, has begun a program to reduce corruption in the justice
system and reform education. Ukraine is a pivotal state in the region,
faced with pressures from east and west. Open World's program
supplements Ukraine's efforts to move toward more accountability and
transparency at all levels of government.
Open World welcomed 255 current and future Ukrainian leaders in
calendar year 2007, accomplishing wide geographic representation (25 of
27 Ukrainian regions), hosting delegations across the United States (24
States and the District of Columbia), and enrolling a high percentage
of women delegates (49 percent). The Open World hosting themes for
Ukraine in 2007 were accountable governance, NGO development, rule of
law, and elementary and secondary education. Twenty-four Ukrainian Open
World alumni took part in a major international forum entitled
``Ukraine's Euro-Atlantic Future,'' held in Kyiv June 11-13. Forum
sponsors included the Center for U.S.-Ukrainian Relations, the
Democratic Initiatives Foundation, the Konrad Adenauer Foundation, and
the NATO Information Center/Ukraine. The alumni were invited to share
the impact of their U.S. visits during forum sessions. Open World
alumni in attendance included government officials, judges,
journalists, human rights and democracy advocates, and NGO leaders. A
conference organizer said that the Open World alumni ``were the most
articulate and best organized group at our . . . event.''
Expansion Countries
Open World hosted 130 emerging leaders from Kyrgyzstan, Tajikistan,
Moldova, Georgia, and Azerbaijan in 2007. Participants included
parliamentarians, environmental leaders, health specialists dealing
with HIV/AIDS, judges, and prosecutors. One group of Tajik leaders
involved with ecotourism visited Nevada to see how State and local
officials and private individuals promote both ecotourism and cultural
tourism to the State's historic mining towns. During their exchange,
they met with Thomas Tait, a former executive director of the Nevada
Commission on Tourism. As a result of this meeting, the U.S. State
Department has invited Mr. Tait to Dushanbe in 2008 to discuss
ecotourism matters further with Open World alumni and other Tajik
leaders.
A Kyrgyz rule of law delegation hosted in Utah had the privilege of
taking part in a mock session of the Utah Senate with the participation
of State Senate President John Valentine. The following is an excerpt
from a blog post by Senator Valentine dated September 13, 2007:
Yesterday, we had the extraordinary honor of hosting 15 people
from Kyrgyzstan here at the Utah State Senate.
The Kyrgyz delegation is in Utah for a week to study America's
political processes and the Rule of Law. Senators McCoy,
Bramble, Dmitrich and I, along with Rusty Butler of UVSC [Utah
Valley State College], Representative Chris Herrod (who speaks
Russian), and a few gifted staff replicated a legislative
session and the Kyrgyz leaders played the part of Utah State
Senators.
They debated a mock bill, followed parliamentary procedure, tried
to amend the bill twice, and ultimately killed it. When it was
time to adjourn, they voted NOT to adjourn. Apparently we were
doing something right and they wanted to stay.
We had a great three hours. It was wonderful to spend time with
good people from a part of the world beginning to find its way
toward a stable democracy and self rule.
Senator Valentine subsequently visited Kyrgyzstan with the majority
leader of the Montana State Senate, Senator Carol Williams, in part to
be reunited with Open World alumni. In 1999, before her election to the
Montana Senate, Senator Williams personally hosted Open World
delegations through Peace Links, an Open World grantee. She had this to
say upon her return from the State Department-sponsored trip to the
capital city of Bishkek: ``More than ever, it is important for America
to maintain and grow our relationships in Central Asia.'' In order to
encourage the ties that are developing between the U.S. mountain States
and Central Asia, Senator Valentine hosted Open World's inaugural
parliamentary delegation from Tajikistan in 2007 and plans to visit
Dushanbe in 2008.
The mayor of the Azerbaijani village of Jil visited Texas in 2007.
He noticed during visits to Bellaire and West University Place that
``suggestion boxes'' were prominently placed to gather feedback from
citizens on how to improve city services. He also learned that city
administrators make their city's budget publicly available and publish
a special bulletin for citizens with news on the city's progress. Upon
his return to Jil, he immediately instituted all three of these ideas
in order to increase transparency and accessibility of information to
citizens. What is particularly notable is that Jil is only a 35-minute
drive from the border of Iran, where there are more Azeri-language
speakers than in Azerbaijan itself.
The U.S. State Department Resident Legal Advisor based in
Tajikistan, who confessed to harboring ``skepticism regarding U.S.
taxpayer-funded visits of foreigners to the United States,'' had this
to say after debriefing two defense attorneys who had traveled to
Gainesville, Florida, in June 2007 on an Open World rule of law
exchange:
I personally knew two of [the] defense attorneys before they left
for the United States, and ``debriefed'' them upon their return
to Tajikistan. I was anxious to determine if their experience
went beyond subsidized tourism. To my great pleasure I found
that [it] had. For several hours they asked me about, and we
discussed, critical aspects of criminal justice and Rule of Law
that were prompted directly and exclusively by their
``comparative law'' experience in the United States. Their
questions and expressions clearly indicated to me that they had
done far more than merely take a tourist's look around. In
addition to experiencing the general goodness of America, they
obviously saw and absorbed what I would have wanted of them in
satisfaction of my strict, developmental approach. This
educational opportunity will only enhance their professional
status in influencing change in Tajikistan. Moreover, it is
something I could vouch for in good faith to the U.S. citizens
who paid for it. I look forward to my continued involvement
with Open World, confident that the foregoing experience can be
replicated as to diverse individuals and fields of endeavor.
Representative Larry Brown of the North Carolina General Assembly
arranged for a delegation of newly elected Moldovan mayors to meet with
the North Carolina Wine and Grape Council in Raleigh during a December
2007 exchange. The U.S. hosts and delegates agreed that many of North
Carolina's smaller wineries would benefit from Moldovan expertise in
wine making. As a result of the meeting, the Continuing Education
Division of Forsyth Tech Community College, the Moldovans' host
organization, plans to launch a distance-learning course for small
North Carolina vintners taught by Moldovan wine experts. As Suzanne
Stafford of Forsyth Tech observed, ``The Moldovans get recognized and
reimbursed for their expertise and the North Carolina winemakers
improve their vintage. Everybody wins.''
Program Administration
In September 2007, the Center's first full audit, for the 2006
fiscal year, was completed. The independent auditor concluded that
``the accompanying financial statements . . . present fairly, in all
material respects, the financial position of the Center as of September
30, 2006, and its net costs, changes in net position, budgetary
resources, and financing of operations for the year then ended, in
conformity with accounting principles generally accepted in the United
States of America.'' The report also stated that the auditor's
``consideration of internal control over financial reporting disclosed
no material weaknesses.''
goals
In August 2006, the Open World Leadership Center Board of Trustees
approved a strategic plan for fiscal years 2007-2011. The Strategic
Plan was developed using the principles of the Government Performance
and Results Act. It incorporates a 5-year outlook for the program and
includes the following goals:
--Expanding the geographic scope of the Program to include Eurasia
\1\ and the Baltic States.
---------------------------------------------------------------------------
\1\ Eurasia here means Russia, Ukraine, Belarus, Moldova, Armenia,
Georgia, Azerbaijan, Turkmenistan, Kazakhstan, Uzbekistan, Tajikistan,
and Kyrgyzstan.
---------------------------------------------------------------------------
More than 43 million Muslims reside in countries where Open World
is now active, and planned expansion into another predominantly Muslim
country, Turkmenistan, in 2008 would increase this figure to 47.9
million. As stated earlier, in 2007 Open World hosted 130 leaders from
five expansion countries: Georgia and Azerbaijan in the strategically
important Caucasus region; Moldova in Eastern Europe; and Tajikistan
and Kyrgyzstan in Central Asia. Open World hosted its inaugural
exchange from Kazakhstan in April 2008. Rule of law was the focus for
all 12 delegates, including the members of an intellectual property
rights delegation that met with a staff member of the House Judiciary
Subcommittee on Courts, the Internet, and Intellectual Property in
Washington, DC, and then with the Motion Picture Association of America
at the hosting site of Los Angeles. The Strategic Plan calls for Open
World eventually to expand into all of Eurasia and the Baltic States.
--Enhancing productivity and improving efficiencies.
To offset increasing airfare costs, Open World has distributed
delegate travel more evenly throughout the year in order to take
advantage of lower fares during off-peak travel seasons. Distributing
travel over time in this manner has the added advantage of providing
staff more time to organize higher-quality programs. Center staff
comprehensively reviewed all contracts and identified and implemented
additional cost efficiencies. These cost savings will help the Center
maintain hosting at planned fiscal year 2008 levels.
--Continuing to enhance the quality of U.S. programming.
Open World has streamlined the process for reviewing delegate
program agendas and coordinating with U.S. hosting entities. The
monitoring of hosting programs, regular communication with hosts,
evaluative site visits, and post-visit evaluations contribute to annual
reviews and evaluations of all program elements.
Last year, the Center launched its new results-tracking mechanism,
called the Client Management System (CMS), which systematically gathers
quantitative results to measure the Open World Program's progress in
meeting its goals.
--Establishing a mechanism that facilitates the emergence of a
network of leaders in the United States and Open World
countries who have participated in the Program.
The new Client Management System not only tracks results but
automatically notifies Americans who have hosted Open World
participants about results related to these individuals. Through its
privately funded alumni program, Open World works closely with
Americans visiting Russia and other Open World countries to facilitate
meetings and partnerships.
Open World's multilingual website, which includes a digital
directory for direct, translated communications between American
professionals and hosts and Open World delegates, fosters interactive
communication and facilitates ongoing projects. Open World also
operates online forums and multiple list serves for Russian alumni, one
with news of grants, competitions, and other sources of financial
support, the other with updates on Open World news and announcements
and opportunities for cooperation and partnership with fellow alumni.
--Establishing diversified funding sources.
Open World is formulating a comprehensive development strategy and
identifying potential funding and cost-share partners within the
international organization community and the executive branch. The
Board of Trustees voted in January 2008 to establish a binational
business advisory board for the Russia program. Membership will consist
of business leaders from both the United States and Russia who will
advise the Center on sources of material support. The Center plans to
partner with Russia's Federal Culture and Cinematography Agency to
cost-share the travel to the United States of up to 200 Russian
cultural leaders in 2008. Open World will also work to raise private
funds to pay for 100 American cultural leaders to make reciprocal
visits to Russia, with hosting costs to be provided by the same Russian
agency.
open world 2008
In response to congressional recommendations and directives from
the Board of Trustees, Open World is maintaining a strong program for
Russia and continuing its successful Ukraine program and expansion
programs in Azerbaijan, Georgia, Kyrgyzstan, Moldova, and Tajikistan,
while launching a program for Kazakhstan. We will add Turkmenistan in
fall 2008 if funding is available. Below are just a few highlights of
this year's activities:
Building on the successes and results generated by past Open World
programs on human-trafficking prevention, Open World plans to host a
number of anti-human trafficking delegations this fall. Many of the
delegates will come from the Far East and southern regions of Russia,
where human trafficking is a serious problem. Open World will target
law enforcement officials, prosecutors, judges, legislators, NGO
officials, and legal advocates for participation. By meeting with their
U.S. counterparts, these delegates will learn about U.S. prevention
initiatives and have opportunities to discuss how Russian laws against
human trafficking might be strengthened.
The Center plans to partner with the House Democracy Assistance
Commission to provide Open World programming to 25 Ukrainian and
Georgian parliamentarians and parliamentary staff in 2008. We also plan
to extend our acclaimed judge-to-judge rule of law program to our
exchanges for expansion countries.
Overseas, the Russian Government is considering establishing a
mirror program to Open World. If begun, the program would be housed in
the Russian legislative branch and would bring American political and
civic leaders to Russia. And in May of this year, Open World will be
holding an alumni conference in Ulyanovsk, Russia, for regional judges
who have participated in Open World's rule of law program. The
conference will include sessions on the adversarial principle in the
litigation process, judicial ethics, and norms of international law,
and on how programs such as Open World can help develop professional
contacts and sister-court partnerships.
measures of success
The Open World Leadership Center tracks the results of the Open
World Program using eight categories, including projects, benefits to
Americans, reciprocal visits, and partnerships. Since launching the
results database in August 2007, Open World has identified more than
800 such results (see attached chart).
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
fiscal year 2009 budget request
The Center's budget request of $13.9 million for fiscal year 2009
is a 3.5 percent decrease from the original fiscal year 2008 request
($14.4 million), but a slight increase over fiscal year 2007 funding
($13.86 million). The funding request will enable the Center to restore
its programming to pre-fiscal year 2008 levels and fully restore its
proven mission of hosting young political, civic, and cultural leaders
from Russia; maintain its important program for Ukraine; and continue
smaller programs with select countries as approved by the Board of
Trustees, in consultation with the subcommittee. The Board of Trustees
believes that maintaining a robust grassroots-based Open World presence
in Russia is necessary and important for future U.S.-Russia relations
as Russia changes presidential administrations. Programs in expansion
countries will account for a larger percentage of hosting than in the
past, reflecting the growing geopolitical importance of Central Asia
and the Caucasus. Program hosting capacity in fiscal year 2009 at the
requested level remains far below the limit of 3,000 set in the
Center's authorizing legislation.
The budget request maintains hosting and other programmatic
activities at a level of approximately 1,400 total participants. Actual
allocations of participant slots to individual countries will be based
on Board of Trustees recommendations and consultations with the
committee and U.S. Embassies. The requested funding support is also
needed to meet mandatory salary and benefit increases in fiscal year
2009 and increased program costs due mainly to higher airfares and less
favorable exchange rates.
Major categories of requested funding are:
--Personnel Compensation and Benefits ($1.367 mil)
--Contracts ($7.691 mil--awarded to U.S.-based entities) that
include:
--Coordinating the delegate nomination and vetting process
--Obtaining visas and other travel documents
--Arranging and paying for air travel
--Coordinating with grantees and placing delegates
--Providing temporary health insurance for participants
--Grants ($4.7 mil--awarded to U.S. host organizations) that include
the cost of providing:
--Professional programming for delegates
--Meals outside of those provided by home hosts
--Cultural activities
--Local transportation
--Professional interpretation
--Administrative support
On March 31, 2008, as required by Public Law 110-161, the
Consolidated Appropriations Act, 2008, the Open World Board of Trustees
submitted a report entitled ``Potential Options for the Structure and
Funding of the Open World Leadership Center'' to the Chairmen of the
Senate and House Appropriations Committees. We look forward to
discussing with you and the congressional leadership the report
recommendations and the next steps to assure the Center's future.
conclusion
Funding the 2009 Open World Program will allow more than 15,000
Americans to meet and work with legislators, mayors, government
administrators, judges, environmentalists, experts in human-trafficking
prevention, and other leaders from across Eurasia. Many of our
participants will engage in collaborative projects and ongoing
partnerships with their new American contacts. Program participants
will come from countries that share more than 1,145 miles of borders
with Afghanistan and Iran. Americans will, once again, open their doors
to leaders from Open World countries and give generously by
contributing an estimated $1.8 million in donated accommodations and
meals--freeing up appropriated funding that is applied to more grants
to U.S. organizations to host delegates.
While these results are measurable and visible, there are
innumerable ``soft'' benefits that merit mention. In his ``2007 Year-
End Report on the Federal Judiciary,'' Chief Justice John G. Roberts,
Jr., of the United States Supreme Court discusses a recent Open World-
hosted visit to the United States by Russian Supreme Court Justice Yuri
Sidorenko, who chairs the Council of Judges of the Russian Federation.
Chief Justice Roberts writes that Justice Sidorenko, while visiting the
grave of Chief Justice William H. Rehnquist at Arlington National
Cemetery, met with a group of American schoolchildren and recounted his
friendship with the late Chief Justice, initiated during an earlier
Open World visit, and their shared interest in the rule of law. These
powerful ``defining moments'' occur regularly.
The fiscal year 2009 budget request will enable the Open World
Leadership Center to fully continue making major contributions to an
understanding of democracy, civil society, and free enterprise in a
region of vital importance to the Congress and the Nation. The
subcommittee's interest and support have been essential ingredients in
Open World's success.
AOC deg.UTILITY TUNNELS--NUMBER ONE PRIORITY
Senator Landrieu. Let us limit our first round of questions
to 7 minutes each and then we will take a second round of
questioning if necessary.
Let me begin, if I could, with Mr. Ayers. Could you please
explain why the utility tunnels are your number one priority
and what the consequences would be if we are unable to provide
the $127 million for the utility tunnel project?
You might also want to take a second to explain in this
very, very long and detailed list that you presented
yesterday--and we will make a copy of this--what is significant
about the top 10 projects that total $148 million.
Mr. Ayers. Thank you, Madam Chairman. I am happy to do
that.
First, of course, the utility tunnels are our number one
project for a number of reasons. One, there are some serious
safety deficiencies there that need to be corrected
immediately. So that is first and foremost.
Second, we have a complaint from the Office of Compliance,
which is essentially an enforcement action requiring us to
correct those issues.
Third, we have entered into an agreement with the Office of
Compliance whereby we abate all of the known hazards in those
utility tunnels by June 2012, a 5-year time period. In order to
do that, this is the funding level needed in fiscal year 2009
for us to meet our obligations of that agreement.
AOC deg.OFFICE OF COMPLIANCE/OCCUPATIONAL SAFETY AND HEALTH
ADMINISTRATION OBLIGATIONS
The repercussions of not funding it at that level is that
we will not be able to meet our obligations under that
agreement, and we will have to extend out the term by which we
ultimately correct the deficiencies there.
You mentioned the top 10 projects on our priority list. All
of those projects are fire and life safety projects, and all of
them have citations from the Office of Compliance. So that
gives us some indication as well as from the Office of
Compliance, that they are very important projects and that is
why they will ultimately flow to the top of our list.
[The information follows:]
However, the fact that a project has a citation is not the
only criteria used to evaluate whether or not the project is a
priority. The AOC has been conducting Facility Condition
Assessments throughout the Capitol complex since 2004 to help
us catalog and prioritize projects based on a set of objective
criteria that allow us to evaluate the merits of each project.
In addition, once a Facility Condition Assessment is completed
on each facility, the information is rolled into a five-year
Capital Improvement Plan. This is used to evaluate projects
based on a set of pre-established criteria. These criteria
include whether the work addresses fire and life-safety issues;
code compliance; preservation of historic or legacy elements;
economics and life cycle cost considerations, physical security
and other considerations, such as environmental and energy
efficiency.
The projects are further evaluated based on the conditions
of the facilities and their components, and the urgency in
correcting the deficiencies. Projects categorized as deferred
maintenance are the highest priority followed by capital
renewal, capital improvement, and capital construction
projects.
Senator Landrieu. So, in other words, before we get to any
of the beautification, expansion, cosmetic, and important
architectural changes that need to be caught up, we have 10
projects totaling what is it? $148 million I think.
Mr. Ayers. That is correct.
Senator Landrieu. $148 million. That is basically what the
legislative Occupational Safety and Health Administration
(OSHA) is saying we have to take care of before we can move on.
And if we do not, we could be fined or--I am not sure if they
can fine us. But there will be some actions taken for not
complying.
AOC deg.NONCOMPLIANCE ENFORCEMENT ACTIONS
Mr. Ayers. That is correct. There are a variety of
enforcement actions they can take on those, not only because
they are the Office of Compliance. Each of these are important
projects, ultimately, to do. They do ultimately protect life,
safety, and provide egress from the buildings to people in the
Capitol complex. So certainly those projects will ultimately
show up in our priority list, whether the Office of Compliance
issues a citation or not. Certainly the citation will help move
them to the top of the list.
AOC deg.GREENING OF THE CAPITOL
Senator Landrieu. Another question. Another issue that has
received a lot of coverage and interest is what we call the
greening of the Capitol--the energy efficiency measures that
have been initiated. How are these energy efficiency savings
gained from such initiatives? Will some savings be reflected in
the out-year budgets? Could you give a brief comment about any
of the specifics regarding that?
Mr. Ayers. Our basic requirement is to comply with the
Energy Independence and Security Act of 2007 which requires all
Federal agencies, including the Architect, to reduce energy
consumption 3 percent per year over 10 years. That ultimately
leads to a 30 percent reduction in 10 years.
We recently completed the second year of that program. The
first year we reduced energy across the Capitol complex by 6.5
percent. The last year, we reduced it by 4 percent. We are into
the third year of that program now, and we are implementing a
wide variety of initiatives.
For example, here in the Senate, we are working on a
dimmable lighting system in many Members' offices. We have
completed the first 10 of those and they are showing really
good results, an energy reduction of some of them of over 50
percent reduction in lighting load in each office. So we are
rolling that program out and have recently received approval to
do the next 10 Member offices.
We are also replacing and enhancing our steam distribution
system. We are turning off lights. We are replacing lights. We
are being very careful about our mechanical systems that heat
and cool office spaces, and we are also looking into public/
private partnerships through the use of the Department of
Energy's energy savings performance contracts. That is really
where we are going to get the most bang for our buck by
implementing those contracts over the course of the next
several years.
AOC deg.CVC SOFT OPENING--TRAFFIC CONGESTION
Senator Landrieu. One more question to you. I am privy to
the plans for a soft opening of the CVC. We have all been
briefed to some extent on the soft opening of the CVC and the
plans for the visitors to be transported basically to that
center with some limited access to certain streets surrounding
the Capitol. And, that there may be another drop-off point,
perhaps at Union Station.
Do you share with me a concern that the congestion in front
of Union Station today might not, under its current
configuration, be able to absorb the thousands and thousands,
if not millions, of tourists that might be dropped off at that
point? I know there are some plans being discussed, but what
are your views about that, Mr. Ayers?
AOC deg.CVC VISITOR APPROACH
Mr. Ayers. Well, first and foremost, in terms of visitor
approaches to the Capitol complex to visit the Capitol Visitor
Center and ultimately the Capitol Building, the basic principle
is those visitor approaches are not going to change from what
they are today. People are still going to be dropped off on the
west front, as well as use the Metro stations that are near the
Capitol complex. But certainly, buses will have the ability to
drop off on the west front and then go to Union Station to
park. They have newly established 85-space parking facilities
for tour buses there.
I do share your concern that without any modifications to
the front of Union Station now, it is very congested, it is
very confusing, and quite frankly, it is difficult for people
to cross the street there.
I do know that the Redevelopment Corporation has studied
the traffic around Union Station and they have proposed a
pretty expansive renovation of that space, and it is my
understanding that they intend to undertake that in the very
near future.
Senator Landrieu. Thank you. I will have some further
questions, but let me turn now to Senator Alexander.
AOC deg.PROJECT PRIORITY DEFINED
Senator Alexander. Thank you, Madam Chairman.
Mr. Ayers, continuing the chairman's questioning, if the
citations did not exist, would those 10 projects still be at
the top of your list of capital projects?
Mr. Ayers. They would certainly be near the top. I am not
prepared to say whether all 10 would be the first 10 on the
list, but they would certainly be near the top. We do consider
each one of them an important enhancement to life safety
without a citation.
Senator Alexander. But do you just automatically put
something at the top of the list if the Office of Compliance
gets interested in it?
Mr. Ayers. I would not say it is automatic, but the
likelihood of it reaching the top is in the high 90th
percentile.
Senator Alexander. The first 10 are all Office of
Compliance citations. I used to be president of a university,
and the accreditors would come by, say, for the law school, and
they would say, well, to have the kind of law school we think
you ought to have, you ought to spend all the money you have
got on the law school, or we will do something to you. I would
say, well, wait a minute. I was elected by the board to make
decisions. We have an engineering school that needs some money,
and we have a school over here that needs some money. We have
this, that, and the other. So we had a discussion back and
forth about that, and I did not accept everything the
accreditors told me they thought the law school needed because
I thought that was a big part of my job as well.
It looks to me like you have just accepted whatever they
said.
Mr. Ayers. Well, that is true.
AOC deg.OOC PROJECT ENFORCEMENT
Senator Alexander. Then why do we not just let them set all
of the priorities? I mean, why do we need a priority list from
you?
Mr. Ayers. Well, there is a list of projects that are below
those 10.
Senator Alexander. So you are saying we will just let the
Office of Compliance tell us how to spend the first--how much
is it? $148 million.
Mr. Ayers. Well, I believe by issuing a citation and
ultimately a complaint, that is an enforcement action against
my organization.
Senator Alexander. So you are saying every citation
requires you to put that in the top priority. You just
automatically put it there.
Mr. Ayers. Ultimately those are going to quickly go to the
top of the list, yes, because it is the law. It is an
enforcement action, and we are required and compelled to do it.
[The information follows:]
As I noted earlier, the fact that a project has a citation
is not the only criteria used to evaluate whether or not the
project is a priority. We use our Facility Condition
Assessments and a set of objective criteria, as well as
consider fire and life-safety issues, historic elements,
physical security, energy efficiency, and other important
factors in our project prioritization process.
Senator Alexander. But you said you negotiated with them to
do it over a period of time. Correct?
Mr. Ayers. We have done that on the utility tunnels, to do
that over a 5-year period.
Senator Alexander. What if you only had $100 million this
year to spend on construction projects? Would these 10
priorities still be the top 10?
Mr. Ayers. I would say that is true.
CPB deg.OVERTIME FOR CAPITOL POLICE
Senator Alexander. Chief Morse, your budget includes $30
million for overtime spending, which amounts to 574,000 hours.
This is an increase of about one-third over last year's
overtime budget. Help me understand why the increase is needed,
and once you are fully staffed, do you think there will be less
overtime? And what about the roughly 100 vacancies for sworn
officers you now have? Would filling those make a difference in
that, and if so, how realistic is it to expect that they might
be filled soon?
Mr. Morse. With regard to the increase, we have some
additional requirements with the ``R'' tunnel. The AOC's
current tunnel requirement is two posts 24 hours a day, 365
days a year. So that equates to 11 FTE's or the equivalent
overtime.
We also have the New Visitors Experience, the new
requirements of 385 hours per week beginning in fiscal year
2009.
We have preopening and certificate of occupancy and
inspection October 1 through November 15, 2008, which gives us
the opportunity to go into the CVC facility and begin training
our officers, acclimating them to the facility and all the
operating procedures, both emergency and routine.
We have requirements based on all our USCP personnel who
are working 16-hour days for events and rehearsals and security
walk-throughs for the inauguration itself.
So those are the additional requirements that are added to
our base overtime requirements which are the normal post
requirements, special events, extended sessions, our dignitary
protection travel, planned special events, and the recruit
class offsets, which you also mentioned.
Certainly when you meet your authorized level, the overtime
does drop. However, to exceed that current authorized level
also drives other expenditures related to facilities, general
expenses, training, et cetera.
CPB deg.OVERTIME REDUCTION
Senator Alexander. Well, I guess what I am getting to, are
we going to expect to live with this amount of overtime for the
next 5 years? Particularly with the Capitol Visitor Center?
Once you are fully staffed, can we expect a significant
reduction in overtime?
Mr. Morse. Yes. From this particular, you can see a
decrease because some of these are just new starts that will
not be in next year's budget. The inauguration is an example,
as is the CVC, once we are up to speed with that, the New
Visitors Experience, and then the completion of the tunnel
projects.
We also have, obviously, worked very hard to develop
operating plans to reduce overtime, and this past year we were
able to reduce overtime by about $3 million by simply taking a
look at the deployment of our officers in relation to hours of
operation, the number of pedestrians or vehicles that travel
through posts, et cetera. So with that good work, we have had a
significant reduction, and certainly with these additional
requirements not being there, we should see a decrease in that
request.
Senator Alexander. Thank you, Chief Morse.
Madam Chairman, my time is up.
Senator Landrieu. Thank you.
Senator Allard.
Senator Allard. Thank you, Madam Chairman.
AOC deg.OOC HISTORY
I am thinking back as to when we set up the Office of
Compliance, about 1994, and at the time it was set up, the
argument was made that the Members of Congress ought to learn
to live under the same rules and regulations that everybody
else has to in the private sector. And here we are. The Office
of Compliance was to bring the Congress under OSHA, just like
all the rest. We had issues between the executive branch. We
did not want an executive agency coming in here and telling us
what to do. So the Office of Compliance was set up.
Now I think we are beginning to feel some of those rules
and regulations that the private sector has to deal with when
they deal with an OSHA inspection.
There is no doubt that we have a problem with the tunnel,
and it does need to be dealt with. And I can understand why it
is your number one priority.
AOC deg.OOC ALTERNATIVE PLANS FOR PRIORITY PROJECTS
Has the Office of Compliance expressed an interest in
working with you in setting priorities if the Congress does not
come up with the money to meet your requirements that you need
to meet? Have they indicated which one is most critical to a
life-threatening situation, hazard to the workers and whatnot,
or even the public to those that may have a lesser health
hazard, if any at all?
Mr. Ayers. Yes, Senator. We have certainly had those
discussions with the Office of Compliance and we could
certainly work collaboratively to develop those priorities if
we were not funded at those levels. I think that is a clear
possibility.
Senator Allard. And do you think what they required is
necessary?
Mr. Ayers. Yes, I do. Each one of them are projects that
have a citation against it. I am familiar with all of them, and
ultimately all of them need to be done.
Senator Allard. I think it is good news if they are willing
to work with you and work with the priorities and work with the
Members of the Congress. It is too bad all the Members of
Congress are not here to appreciate how some of these rules and
regulations can impact somebody who is in business for
themselves because it is impacting the operation right here,
and it does upset your priorities. So I just wanted to make
that point.
AOC deg.UTILITY TUNNELS--REBUILD
The thing that surprised me is you have a $300 million
price tag on it. That is one-half the cost of the Capitol
Visitor Center. I am trying to think. Are you building new
tunnels completely? When we first talked about these tunnels, I
thought we were going in and just refurbishing and redoing
them. This sounds like you are building completely new tunnels.
Is that what we are doing?
Mr. Ayers. Pretty close to that. On the ``R'' tunnel, as
you know, from North Carolina all the way over to Constitution,
that entire Second Street corridor needs to be completely
excavated, curb to curb, all the way down to the floor level of
the tunnel, which is some 30 feet deep or more in several
areas. That is major, major construction work.
Senator Allard. It is.
CPB deg.UNITED STATES CAPITOL POLICE OVERTIME
The other thing I wanted to talk a little bit about was,
Chief Morse, I share the concern with the other members here on
the panel about the overtime on the police officers. We have
had this issue before here before this subcommittee. Are you
doing an analysis? I think last time you were here we asked for
an analysis. Would it be less expensive to bring on more
officers who put in regular time than to carry a few officers
with so much overtime? You understand the type of analysis. Is
that being requested? Is anything being done in that regard to
do that kind of an analysis?
Mr. Morse. We have completed a manpower study that we were
directed to do. And as a result of that, we have briefed the
committees of oversight and we are beginning to implement that.
But I think that the one issue that concerns me is that if we
go above the current full-time equivalent (FTE) authorization
that we have, it drives other cost factors, and facilities is
one of them. We have really met our limitation of facilities
with regard to the number of people that we have.
CPB deg.OVERTIME ANALYSIS STUDY
Senator Allard. Now, once you move into the new CVC, you
are going to have more operating space there.
Mr. Morse. We will have more operating space, but
unfortunately, we have already outgrown that before we have
actually gotten into it. So the mission continues to expand,
and with that comes people. And we have tried to be very
resourceful in the way that we deploy our officers and change
working hours and look at where we are spending overtime and
how to create a better overtime environment. But the mission
drives the need for that.
And also, there is a lot of variables that we cannot
control, and those are events that occur that drive overtime.
Senator Allard. Right after 9/11, I mean, that was a
different environment altogether. You are not anywhere near
that as far as overtime requirement.
But I guess the bottom line, you are telling me that your
analysis has indicated to bring on more officers does not
create a savings. You are operating as efficiently as you can
with the overtime that you are paying.
Mr. Morse. That is correct.
Senator Allard. Have you shared that study with this
subcommittee?
Mr. Morse. I believe we have talked about the ELS study.
Senator Allard. I think it would be beneficial if we could
have this subcommittee go over those because I think it is a
concern of the subcommittee, obviously, and one we have had.
And I think it would pay to have the subcommittee staff at
least review and maybe even have the Government Accountability
Office look at it and see if they come up with the same
assessment that you have come up with on that.
LOC deg.LIBRARY OF CONGRESS APPRECIATION
My time is about out. I want to conclude by thanking Dr.
Billington for his fine work over at the Library. When I was
chairman of this subcommittee and having been an avid user of
the Library, I have gained a great appreciation for the
facilities that you have there.
We have the new facility that we built out in Virginia for
the movies and the storage of the film and everything, and that
is pretty well completed and everything moving well out there.
That is the Hewlett Packard Foundation that put that in at
their own cost.
Now, I was thinking about the operation and maintenance of
that. Is that built into this budget or does their trust take
care of that? I thought we took care of the operation and
maintenance and everything of that building once it was
constructed.
LOC deg.MAINTENANCE AND STAFFING OF PACKARD CAMPUS
Dr. Billington. Well, I think it is well underway. The keys
were turned over to us last summer. We are still ramping up the
operation, but practically everything has been transferred out
there, more than 6 million items. We recently acquired the
``CBS News'' archive, a major addition to it, which we never
could have even contemplated taking. So it is already an
asset----
LOC deg.FUND LEVEL CONCERNS
Senator Allard. There is a lot of refrigeration over there
in that building, and I would think that would be a cost that
you have to deal with.
Dr. Billington. There is, indeed.
Senator Allard. Have you built that in?
Dr. Billington. Maintenance costs are covered. The main
problem we have is simply, the funds that were provided to
fully staff it in 2008 are not there for 2009. So we have a
request for the funding to get the campus up to the full
operational level. This is extremely important because this is
not just a question of entertainment. This is a question of
information that is available on television, on radio, on
recorded sound, as well as in films, documentaries, all kinds
of media. We have been able, thanks to a successful private/
public relationship, to bring these collections and services
all together. We are ramping up the various machinery and
mechanisms. We would love to give you and other Members a tour.
It was not only more than $150,000 from the Packard Foundation,
but a great deal of expertise, as David Woodley Packard is
probably one of the world's experts on this. Of course, we have
very talented staff.
The major thing that has not been covered is staffing.
There was a 5-year plan agreed on, you remember, going back to
the time that you were in the chair, which has been kept up
faithfully. Based on this plan we have been able to move things
out there, including all the 10 employees from the motion
picture and recorded sound section in Dayton who now are safely
relocated. We brought in collections from four different States
where this stuff was stored. So we now have it all together,
finally fulfilling a mandate that dates back to 1976 to create
a national archive for radio and television, in addition to the
movies and recorded sound.
Our major need is just to get funding for the staffing that
was part of the plan all along, but which for technical reasons
is not in the 2009 budget. The cost is about $1.7 million to
get those staff on board. With that funding for staff, we will
be all set basically.
There is an agreement to cover ongoing maintenance, thanks
to the cooperation of the Architect of the Capitol. And it has
been a wonderful three-way relationship to transform the
campus. The Packard people have landscaped it. It has been very
well accepted in the community. It is going to be a major force
not just for preserving our audiovisual heritage. It is the
biggest and most technologically sophisticated facility of its
kind in the world, and we are actually making the collections
more available through it for study, to be able to answer
questions from the Congress about what was on television x,
what was on radio y.
All we need in terms of the appropriations process is to
make sure that we have in the 2009 budget enough to bring on
the key staff as was intended from the beginning.
Senator Allard. Thank you.
Madam Chairman, I know my time is out, but I think he said
they spent $150,000. It is $150 million.
Dr. Billington. $150 million.
Senator Allard. Yes. We will get that inserted in the
record correctly. I think that is what you said.
Dr. Billington. I am sorry.
Senator Allard. Yes, I think that was.
Dr. Billington. $150 million.
Senator Allard. Thank you. Thank you, Madam Chairman.
Senator Landrieu. Thank you, Dr. Billington.
CPB deg.CVC SECURITY--TRANSPORTATION
Let me begin, Chief Morse, with my second round on the
question I brought up, just to clarify. We have spent $600
million-plus on a visitor center. The entrance was designed to
be on First Street, on East Capitol basically. East Capitol
comes right into the complex. And now I understand through a
security analysis that you all have conducted, that dropping
visitors off on First Street will probably not be able to occur
because of the potential threat of the cargo space in and
around many of these vehicles.
So, again, the Architect spoke to this, but would you
comment about some ideas that you might have about how to make
this a pleasant experience for the millions of people that come
to this Capitol? It is not just for those of us that work here
and call it our office, but for the millions of people who
actually own it and would like to get in to see it as
conveniently as possible, what do you think might work to try
to help resolve this, if we do decide that First Street cannot
be reopened?
CPB deg.LARGE VEHICLE RESTRICTIONS
Mr. Morse. I think that there are a lot of other issues
around buses in the District of Columbia and tourists than just
the security component. Certainly the assessment was conducted
and there is a risk there that was presented and the decision
was to restrict buses, large vehicles, trucks, et cetera, to
traverse the Capitol grounds. But we still allow public
conveyance, Metro, Maryland and Virginia transportation,
commuter transport, circulator system, along with sightseeing
and taxi cabs and private vehicles.
But one of the other components of buses into the city was
that they had no place to park, and they had no place to
traverse around the city other than the neighborhoods. And they
had no place to drop passengers off in inclement weather. They
had no place to spend time when perhaps a sightseeing
attraction was not available at the time.
So Union Station was just one option that was looked at as
a hub for bus parking, as well as the other amenities that it
provides. And the recommendations that were made were to also
provide transportation from that location that would drop off
at the visitor center itself.
CPB deg.TRANSPORTATION OPTIONS
Senator Landrieu. So, in other words, people would get off
a tour bus and get onto a circulator or another tour vehicle
and then approach the Capitol through the First Street, East
Capitol side of the Capitol.
Mr. Morse. That would be certainly one method, and then you
have Metro there. And we are also surrounded by two other Metro
stations. Also, the circulator proposal is also blended in with
the other major attractions in the city. So there are many
forms of transportation to the CVC, and as Mr. Ayers described
it earlier, the current bus drop-off down in the southwest,
First and Maryland Avenue, and the pick up at First and
Pennsylvania will still exist, and we think----
Senator Landrieu. But that is a walk up the hill. Right?
Mr. Morse. Yes, ma'am.
CPB deg.ACCOMMODATING CVC VISITORS
Senator Landrieu. And we have so many seniors that visit
this Capitol, and we have many disabled individuals that visit
and a lot of parents with small children, so I think we have to
be very careful. And I want to work very closely with all of
you to come up with the very best way to get the citizens of
this country, all of them, rich and poor and young and old,
into this building safely, thus providing them the most
enjoyable and enlightening and educational experience possible.
And, then to move them out, and to do it with the good will of
the neighborhoods. The city has a lot to say, and the local
neighbors, of course, about how all this works.
It is going to take effort, and it is going to take some
money to make these changes because this is a huge investment
that we have made in the visitor center. We want it to work
from the beginning through the end of a person's visit. It is
not just to make their visit to the Capitol better, but
actually more safe. I will come back to that.
Let me ask you one more question, and if the Senator will
allow me, I have two questions to Dr. Billington--actually
three.
CPB deg.COMMUNICATION ISSUE
The radio proposal you submitted--could you just comment
about the cost? I understand you just received a report. Could
you comment about that, please? Your hand-held radios.
Mr. Morse. Sure. The radio system proposal was a priority I
made last year. We have a 25-year-old system that is analog and
is in severe need of repair. Also, we are experiencing either
hardware or interruptions at least once a week, as well as the
lack of encryption and interoperability. We feel that in order
to facilitate the business of the Congress and the safety of
our officers and the complex, that we need a system that is
enhanced and that covers all those capabilities.
Senator Landrieu. How much is this system going to cost,
and is it interoperable with the police forces in the region,
specifically the District, Maryland, Virginia, et cetera?
Mr. Morse. The system is and will be interoperable with
local and Federal, State, municipalities that would assist us
in a critical situation here at the campus. It also enables
us--we are a very unique organization in that we have
subterranean locations that we have to operate within. The
actual procurement--from a procurement standpoint, they are
telling me that it would be procurement sensitive.
Senator Landrieu. You have not put an RFP out?
Mr. Morse. Right.
Senator Landrieu. So it is going to be an expensive system,
but we are working toward an interoperable system. Obviously, I
have had firsthand experience with the disasters of Hurricanes
Katrina and Rita and the communications system collapsing, and
we most certainly do not want that to happen again under any
circumstance.
One question to Dr. Billington. Then I will turn it over to
Senator Alexander.
LOC deg.DIGITAL TALKING BOOK IMPLEMENTATION
Could you just explain the difference in how you will be
able to conduct this digital talking book project? We have only
been able to fund this project at $12 million a year for 6
years, which is $72 million. The request from the advocacy
group was $20 million over 6 years. So it is going to be $12
million, which was originally requested. Can you just briefly
explain the differences in either the level of service or what
you are going to be able to do at the reduced amount of $12
million a year?
Dr. Billington. The difference between a 4- and 6-year
program.
Senator Landrieu. Yes.
Dr. Billington. Well, each year, 120,000 analog players
must be replaced because of equipment breakdowns. In the course
of the 6-year transition program, actually we would have, even
under the 6 years, more than enough digital players produced
annually to replace the failed analog players.
The problem is more in titles and so forth. Currently 2,000
new titles are made available on analog cassettes each year.
There will be fewer new titles in the digital format,
particularly initially. By the sixth year of the transition
program, we will be back at the same level of producing 2,000
current digital titles per year. This is under the present
system, which is actually $13.5 million a year including funds
appropriated in 2005. But during this transition period we will
closely monitor actual usage of both new and retrospective
digital talking books and would modify the implementation plan
to best meet the needs of the blind community.
What it would require in financial terms to go from a 6 to
a 4 year implementation would be an increase of $9 million a
year over the next 3 years, including the one before us, or a
total increase in the appropriation of $27 million over the
$13.5 million a year as it now stands.
Senator Landrieu. Well, I would like to continue to visit
with you. And I was mistaken. It is whether it is going to be
over a 4-year or a 6-year period. So it is a $72 million
project, whether it is done over 6 years or 4 years.
Let me just ask one more and then I will turn it over to
Lamar.
LOC deg.GROWING COLLECTIONS AND STORAGE REQUIREMENTS
Part of what is driving some of the cost of the Library is
the collection policy of actually 10,000 new items daily, I
understand from what I read, coming into the Library. At this
rate of growth, how soon will your existing storage facilities
be filled? How much additional storage will be needed, and has
the Library given any thought to re-examining and narrowing its
collection policies to be more selective about what it
collects? And I know that is a long question with several
parts, but if you could limit your response to 1 or 2 minutes
and you can follow it up with some written testimony.
Dr. Billington. The question, Madam Chair, then is should
we find some way of reducing that number.
Senator Landrieu. Is it 10,000 items a day?
Dr. Billington. Well, it is 8,000 to 10,000. It varies, but
we have had over 2 million a year. We have 240 terabytes of
stored information in the Library in addition. This is the
world's most universal collection, and it is very hard to
predict what future Congresses or even this Congress are going
to want or what the scholarly world, which is very heavily
concentrated in America, will most benefit from.
We could, of course, re-examine that. It would change the
fundamental mission at a certain point. It does not mean we
collect everything. Actually we get somewhere between 20,000
and 22,000 items a year--a day, rather. These are not all
bought, by the way. Most of these come on exchange or on
copyright deposit or otherwise are free--so this is an
enormous, unique collection device of the world's knowledge.
LOC deg.STORAGE CAPACITY RATING
Senator Landrieu. And our storage capacity. How would you
rate it? Pretty good?
Dr. Billington. The storage capacity is being expanded,
thanks to the Fort Meade program. That has been delayed,
stretched out, as almost everything we have has been stretched
perhaps longer than we would like.
We are currently actually examining and evaluating our
acquisitions policy for both artifactual and for digital
information. We will probably make a change. In fact, we are
working with the GAO to study this problem.
We are also studying current storage usage. But the plan,
even though it has been delayed--the Architect of the Capitol
has worked very effectively to expand storage at Fort Meade. We
have ample storage capacity at the new Culpeper center for the
audiovisual materials. We are studying this and we will be
happy to get back to you on it. And I appreciate your asking.
Senator Landrieu. Thank you.
Dr. Billington. The one thing about acquisitions--the
reason that we do it and one of the very few constraints, along
with this Culpeper staffing, that we have to really worry
about--is, if you do not acquire the things the first time
around, you do not have a second chance in most cases.
Senator Landrieu. It is very complicated, I know.
Dr. Billington. One other thing I would say is that the
Library of Congress uniquely collects things that other
libraries do not, some via our overseas offices which we must
maintain--that is another one of the areas of programmatic
necessity--to sustain the overseas offices.
Senator Landrieu. Well, thank you so much.
LOC deg.TRANSITION TO DIGITAL TALKING BOOKS
I think Senator Alexander has one final question.
Senator Alexander. I have one. I am glad the chairman asked
about the digital books. I can remember, as my mother lost her
eyesight, how valuable back then the cassettes were for her. So
we will watch that carefully and do our best to try to provide
as much funding as we can to help it move along rapidly.
Will there be any gap in service as you go from cassettes
to digital talking books?
Dr. Billington. There is going to be a reduction in
numbers, that is, numbers of available books. There will be the
transition between the old cassettes and the new digital
machines. There is always some awkwardness of having to use
both, or having to substitute one for the other without the
full number of books. There will be some problems.
But there are a lot of things that have to be determined.
You may remember last year when the $12.5 million was
appropriated from both Houses, we did the exceptional thing of
introducing an appeal to restore it to $15 million, which would
have shortened the timeframe to about 5 years.
It is true for many blind people this is their principal
asset. This is the principal means, really the only means, of
reading for many of them. It is also true and not widely
realized that blind people read a lot more than sighted people.
This is an important area.
We want to study it very carefully. We want to make sure we
have plenty of feedback, whatever the Congress determines----
Senator Alexander. Well, I know you are working hard on it.
LOC deg.ABSORBING MANDATED COSTS
Dr. Billington. The only other thing I would say is that,
in general, we have been so tight with what we submitted to you
this year that we have erred on the side of caution, because we
really cannot transfer unfunded mandates. Mandated pay raises
are unavoidable. We really do not have much give in the system
anymore considering how much more we are doing in all respects.
If it turns out that we receive an increase in one area,
something over what we have been led to believe is possible
from the overall budgetary point of view, we really just cannot
absorb that from elsewhere in the overall budget. I have not
made such an argument before in 20 years of testifying, but we
are really reaching a point where, if a requirement is added,
you cannot assume the Library can absorb it.
Senator Landrieu. Well, I can assure you this subcommittee
is going to be very sensitive, when we ask you to add things or
the Congress, to the underlying mission of the Library, which
is unique and very special. And we are very sensitive to that.
Both of us will be.
AOC deg.CVC TEMPORARY CERTIFICATE OF OCCUPANCY
I have one more question that I really need to ask about
the CVC, if I could, to you, Stephen. When do you believe that
we could have a soft opening of the visitor center? Because I
know this has been long awaited. We are all anxious to have it
open as soon as possible. When are you saying that we could at
least have a soft opening for it?
Mr. Ayers. We intend to have the temporary certificate of
occupancy on July 31, and we are very confident in that date.
It is after that date that Ms. Rouse, our CEO for visitor
services, will begin moving her staff into the facility and the
police will begin moving in. She has always anticipated, as the
entire team has anticipated, that there will be 90 days of sort
of this ramp-up period from July 31 up through October. So I
think it is later in that timeframe that we could have a soft
opening.
Senator Landrieu. So you will get your certificate July 31,
and you feel very confident about this.
Mr. Ayers. Yes.
Senator Landrieu. And then some time, of course, to have
the staff move in and have the opportunities for a soft
opening.
And the Rules Committee, I think, is working with our
committee to plan some of this procedure, both the House and
the Senate. So we will look forward to working with all of you
on that.
ADDITIONAL COMMITTEE QUESTIONS
I have several other questions, but because of the time and
Senator Alexander had to leave to go to the floor, I am going
to go ahead and recess the meeting, submit the rest of my
questions.
[The following questions were not asked at the hearing, but
were submitted to the agencies for response subsequent to the
hearing:]
Questions Submitted to Stephen T. Ayers
Questions Submitted by Senator Mary L. Landrieu
Question. The AOC has requested $33,625,000 for CVC operations,
including activities related to the opening of the facility later this
year. Are any of the activities you requested funding for not currently
authorized?
Answer. The legislation authorizing specific operations within the
Capitol Visitor Center (CVC) and the transfer of certain functions to
the AOC is still pending, thus direct authority for such operational,
organizational, and other certain funding of CVC needs is not in place.
In the interim, authority is derived, in part, from the AOC's existing
authority to receive funding to perform its necessary functions.
Funding the operations of the CVC--as a division of the AOC--is a
necessary function. Authority is also derived, in part, from the
legislation authorizing the appointment of the CEO of Visitor Services
(H.R. 2206, Sec 6701), and the ``Four Leaders Letter'' (March 30, 2007)
to the AOC from Congressional leadership directing that the AOC perform
necessary actions to ensure the opening and operation of the CVC in the
absence of specific legislation.
Enactment of the pending CVC legislation is necessary to perform
certain functions such as operating the gift shop with a revolving
fund, contracting for the operation of the restaurant, providing
insurance for non-Government exhibit artifacts, and transferring
management responsibilities and funding for the Capitol Guide Service.
In addition, the AOC has requested funding in fiscal year 2009 for
items such as interpreters, graphic design services, and public
educational programs. The AOC is working with Congressional Oversight
Committees to gain approval for these efforts.
Question. The AOC estimates the need for $240,000 for graphic
design services for books and brochures that cannot be accomplished
through the GPO. What specifically cannot be accomplished through the
GPO and what is the basis of this estimate?
Answer. Recently, the AOC's Office of Visitor Services staff has
met several times with the GPO to gain a better understanding of the
services that the GPO offers. Any gift shop design services or
additional printing services (with the GPO but not funded by the
Capitol Printing and Binding appropriation) will be paid for out of the
gift shop ``seed'' funds or the revolving fund. The CVC believed it was
possible that there may be CVC operational graphic design services that
the GPO would not be able to provide, or special operations brochures
that would be disallowed under the Capitol Printing and Binding
appropriation, and thus would need to be paid for out of the CVC
operations budget. We will be meeting with Senate staff within the next
few weeks to discuss what types of operational printing can be paid for
out of the Capitol Printing and Binding appropriation and then will
provide detailed briefings to Oversight and Appropriations staff. The
original estimate was based on knowledge of printing costs for other,
non-Government museums.
Question. Please provide details associated with an estimated
$800,000 for ``extended hours'' of the CVC.
Answer. At the time of the fiscal year 2009 CVC budget submission,
it was not yet determined how many days per week and how many hours per
day the CVC would be open to the public. The $800,000 overtime request
was based on an assumption that operating hours would be from 8:30 a.m.
to 4:30 p.m., 7-days-a-week, with 20 ``peak weeks'' per year. Based on
revisions to CVC operations plans since the budget submittal, the full
$800,000 will not be required. However, if Members host evening events
and CVC staff is required at these events, it is estimated that
beginning as early as January 2009, the CVC may require additional
payroll funds for overtime costs. Based on hosted evening events
beginning as early as January, we estimate that approximately $200,000
in overtime costs may be required, but this is contingent upon the
number of events, and decisions regarding whether the exhibits, gift
shops, and central coatrooms will be open during the events.
Question. If the Congress was able to provide only $100 million for
your construction budget, would you suggest that all of these funds go
to meet citations? If the citations did not exist, would the projects
in your budget still be the highest priorities?
Answer. The fiscal year 2009 study, design, and construction budget
requests reflect numerous internal reviews and were subjected to the
AOC's project prioritization criteria and process. If only $100 million
was provided in the fiscal year 2009 budget, the first project on the
list--the Utility Tunnel Improvement Program--would be funded at some
level. We are examining options to adjust the fiscal year 2009 request
and still meet the settlement agreement deadline. We are currently
assessing rephasing options based on additional testing and studies,
and will brief the staffs in detail when the options are developed.
The top 10 projects on the AOC prioritized list are citation-
related projects. Based on our project prioritization criteria, any
project addressing an existing citation was placed at the top of the
list of potential fiscal year 2009 projects. Lacking the formal
citations, all of these life-safety projects would still be required.
Where they would have fallen within a prioritized listing is not
certain. It is important to note that at the time the fiscal year 2009
budget was being prepared, the Office of Compliance had rated each of
the citation deficiencies at its highest risk code. The AOC also would
rate these deficiencies with an appropriate degree of urgency since the
required work for each project impacts an entire building and its
occupants. The AOC is in the process of reassessing the fiscal year
2009 executability of each of the top projects based on events that
have occurred since we submitted our 2009 budget request. We will
provide detailed briefings to Oversight staff after we complete our
assessment. At that time, we will be able to address the question as to
whether all of the remaining $100 million (after Utility Tunnel Project
rephasing) would go toward citation projects.
Question. There are no major projects included for the Senate
Office Buildings in the fiscal year 2009 budget. Why? What are some of
the major Senate building improvements we can expect in the future?
Answer. Numerous Senate Office Building projects were initially
identified for potential inclusion in the AOC's fiscal year 2009 budget
request. However, only one of these was identified as having an
``Immediate Urgency,'' while the remaining projects were determined to
have a ``High Urgency.'' Our fiscal year 2009 request included only
those projects with an ``Immediate Urgency.'' Thus, only one Senate
project fell above the cut-line considered for inclusion in the fiscal
year 2009 request.
The project initially identified for potential inclusion in the
fiscal year 2009 request was Phase II of Infrastructure Improvements in
the Dirksen Senate Office Building (DSOB). However, this project was
deferred to a subsequent fiscal year because construction of its
prerequisite project, Phase I, Infrastructure Improvements is ongoing
and precludes a fiscal year 2009 construction start for Phase II.
Therefore, Phase II was deferred despite its ``Immediate Urgency.'' The
AOC anticipates funding for Phase II of the project will be requested
in the fiscal year 2010 budget.
Dependant upon their future placement within a list of AOC
prioritized needs, Senate projects that may be included in the fiscal
year 2010 request include: Citation Abatement, Russell Senate Office
Building (RSOB); Egress Improvements, DSOB and Hart Senate Office
Building (HSOB); Smoke Detection, HSOB; Infrastructure Upgrades, Senate
Underground Garages; Infrastructure Modernization, DSOB; Exterior
Envelope, RSOB; Kitchen Exhaust Upgrades, DSOB and RSOB; Skylight
Replacement, HSOB and RSOB; South West Steps Waterproofing and
Vestibule Addition, RSOB; Greening and Energy Reduction Initiatives;
Air Handling Unit Modernization, HSOB; Steam Humidification
Replacement, DSOB and HSOB; Roof Replacement, HSOB; and Senate
Jurisdiction Master Plan Execution.
Question. For the utility tunnel program, AOC has requested more
than $126 million. Of this total, about $2 million is requested for
work on the Capitol Visitor Center (CVC) tunnel. Why is this project
not covered by the CVC project funding for tunnels?
Answer. The $2 million identified is for construction of a new
emergency egress for the Capitol Visitor Center (CVC) utility tunnel.
One of the utility tunnel safety citations received in 2006 involved
providing safe egress from tunnels in the case of emergency. The AOC
and OOC, after a review of industry practice, agreed that a standard
travel distance of 300 feet to an emergency egress meets OSHA
requirements. The AOC adopted this standard for all of its utility
tunnels, and therefore, the application of this new standard to the CVC
utility tunnel required the installation of this new emergency egress.
Funding for this new egress was not included in the original CVC
project. Since the utility tunnel will be turned over to the Capitol
Power Plant (CPP) for operations and maintenance, and the Utility
Tunnel Improvement Program is funding construction of all new egresses,
the AOC included this project in the Tunnel Improvement Program. This
will ensure its completion within the Settlement Agreement timeframe,
its consistency with new, required egress design standards, and
coordination with other facets of the Program.
Question. The AOC requests $1 million for the design of the
relocation of the East Refrigeration Plant Chillers in the fiscal year
2009 budget estimate. Please describe the factors that make this
project an immediate priority. If the relocation is not funded this
year, will the chillers still be capable of supporting Capitol Complex
operations in the upcoming year? What are the detrimental effects, if
any, of not moving the chillers this year?
Answer. This project is an immediate priority because of the
advanced age of the infrastructure of chillers 2 and 3. The East
Refrigeration Plant (ERP) is well past its useful life. The reliability
of all supporting systems including pumps, valves, electrical
switchgear, and cooling units are increasingly subject to failure. As
the infrastructure fails, in order to maintain system reliability,
operations and maintenance costs will continue to increase and become
potentially cost prohibitive. The two 3,000-ton ERP chillers are
considerable investments and assets, but are underutilized in the ERP.
Relocation of the chillers and replacement of their aged infrastructure
will result in increased capacity, efficiencies (operating in one plant
vs. two), and energy savings.
The fiscal year 2009 request is to bring the relocation project to
full design, including abatement and remediation projects in the East
Switch Yard. Timing for this relocation project is critical and
requires the sequential implementation of several key steps within two
phases. The first required step is to prepare the existing bay in the
West Refrigeration Plant Expansion (WRPE) for the incoming chillers.
The design challenge is to accommodate the installation of two 3,000-
ton chillers, supporting pumps, valves, and controls into an existing
chilled water system and building structure. If the fiscal year 2009
design relocation request is not funded, the relocation of the ERP
chillers will be delayed and increased CPP efficiencies will not be
realized. Costs to abate and remediate hazards will only increase over
time if not addressed.
The capability to continue supporting the Capitol complex without
moving the chillers is difficult to ascertain given the precarious
state of their support infrastructure within the ERP. When these
chillers must be brought into service, the CPP has to operate them, as
well as the WRPE chillers in an inefficient configuration. This results
in increased electrical and water utility costs. During the relocation
of the ERP chillers, the CPP must still provide continuous and reliable
chilled water to its customers without interruption. It is less risky
to move the chillers within a known and controlled timeframe, rather
than be forced to shorten schedules in order to install the chillers
within a new building with new infrastructure.
An additional benefit to funding the project in fiscal year 2009 is
that the eventual demolition of the ERP interior structures and
decommissioning of switchyard and cooling towers will allow space for
potential operational and/or energy saving projects such as heat
recovery steam generators, gas turbines or turbo generators.
Question. In the fiscal year 2009 Combined Requirements Chart, the
AOC projects the need to fund the $20 million design of an in-plant
power generation system, a cogeneration system for the Capitol Power
Plant (CPP). AOC categorized this design project as ``High Urgency'';
however, Congress has not officially made the decision to pursue a
cogeneration system for the CPP. How can AOC project the need for $20
million for the design of a project that Congress has not yet decided
to pursue? Is this an isolated instance within AOC's projected future
needs or are there multiple projected design costs that do not
currently have congressional review or approval?
Answer. These are two different issues. The AOC's identifying the
urgency of this project from a technical standpoint in the Combined
Requirements Chart was part of a prioritization exercise used to
formulate its fiscal year 2009 budget request.
The CPP cogeneration project is identified in this chart as having
a ``High Urgency.'' This initial determination was based on the
technical merits of the project alone, as measured against objective
project prioritization criteria. However, the prioritization rating
alone is not the final determinant as to whether a request is, or is
not, included in a budget submission. Prior to a budget submission, the
AOC's Program Development Process calls for reviews of the prioritized
project list at numerous levels, to include the Senior Leadership Team
and the Acting Architect. At these review levels, additional factors
are considered beyond a project's prioritization. The AOC may add or
move projects above or below the prioritization cutoff line for valid
reasons outside the scope of the prioritization criteria.
Given the current lack of Congressional approval to pursue a
cogeneration system for the CPP, even if the cited project had been
classified as having the higher ``Immediate Urgency'' rating, it would
not have been included in the fiscal year 2009 Budget Submission, and
funding has not been requested in fiscal year 2009.
Question. What is AOC's process for scrubbing its backlog of
capital projects? For example, if a capital improvement project
addresses several items in the deferred maintenance (DM) and capital
renewal (CR) backlog, what steps does AOC take to reflect these changes
in both backlogs as well as its projections for future budget needs?
Answer. Often, a project addressing Deferred Maintenance will also
include Capital Improvements, as ``replacement-in-kind'' fails to take
advantage of new technologies, opportunities to reduce energy
consumption, or other improvements. When the majority of the project's
scope addresses Deferred Maintenance, the project is classified as a
Deferred Maintenance project for prioritization purposes. When the
portion of the project addressing Deferred Maintenance is limited, and
the majority of the project is providing for Capital Improvements, the
project is classified as a Capital Improvement project. In either case,
upon completion of the project, the extent to which Deferred
Maintenance is addressed is captured in an AOC database (Facilities
Management Assistant) and the tracked and reported backlog is reduced
appropriately.
The projection of future budget needs, with respect to Deferred
Maintenance, is always in a state of change. As initiatives addressing
a Deferred Maintenance item are completed, that item is removed from
the backlog; however, new Deferred Maintenance items also appear in the
database as a result of ongoing updates to the Facility Condition
Assessments.
Question. The AOC cited bi-annual town hall meetings with employees
to encourage open dialogue and feedback as one of its fiscal year 2007
significant accomplishments. However, the AOC originally established
employee focus groups as its primary method for collecting employee
feedback and has not conducted focus groups since 2004. The AOC
recently reported plans to conduct the next round of employee focus
groups concerning matters such as worker safety, for example, in early
2008. Have these focus groups been conducted yet? If not, why not? If
they have been conducted, what are the preliminary findings of the
focus groups? Are AOC employees indicating that they are satisfied with
the level of communication from AOC management and other supervisors?
Answer. Establishing bi-annual town hall meetings was an outcome of
the 2004 focus groups. Employees expressed a need for a ``10,000-foot
view'' of the Agency and its operations, and the Town Hall meetings are
designed to provide employees with the information and the opportunity
for dialogue they requested. During the Town Hall meetings, each
Organization Head (i.e.: Jurisdiction Superintendent for operations and
Director/Officer for GA) gives an overview of the Agency's major
initiatives, especially those taking place in other AOC organizations
of which employees would be less aware. Additional information is
provided, such as updates on new policies issued, projects started or
completed, and employee benefits.
The AOC originally planned to conduct another round of focus groups
in fiscal year 2007, but those plans were put on hold due to funding
issues under the Continuing Resolution. From April 15-25, 2008, the AOC
held 24 employee focus group sessions at different times and days to
accommodate all shifts and work schedules. More than 10 percent of AOC
employees participated. Preliminary data verifies that the 226
voluntary participants are highly reflective of the professional
composition of the total AOC employee base. A report on the focus group
sessions is now being finalized, and the AOC will brief its oversight
committees on the findings from the sessions.
Question. In its list of fiscal year 2007 significant
accomplishments, AOC reported rolling out Management Operations
Reporting (cost-accounting) agency-wide. While this is commendable,
recent GAO reports have indicated that full implementation and use of
AOC's agency-wide cost-accounting system is years away. Given that this
effort has been underway for several years now, why is AOC's cost-
accounting system still not fully implemented within the agency? How
far away is AOC from fully implementing its cost-accounting system?
Please describe where the agency is in this process and what steps
remain to achieve full implementation.
Answer. The MOR (cost accounting) project is a phased, multi-year
project. The project is on schedule for full implementation of cost
accounting by fiscal year 2010, with the use of cost accounting data
for performance-based budgeting in fiscal year 2011. The milestone
targets, as described in the AOC's Strategic Plan, are as follows:
fiscal year 2007: Cost accounting introduced, pilot, and AOC-wide
rollout (completed); fiscal year 2008: Adjustment and normalization of
cost data (in process); fiscal year 2009: Baseline data collection (in
planning); fiscal year 2010: Full implementation; and fiscal year 2011:
Mature cost accounting system in-place and performance-based budget
implemented.
In fiscal year 2007, the AOC rolled out its cost activity taxonomy
with more than 1,000 codes. After finding duplicative codes and
determining that the codes did not link well to the Strategic Plan, we
streamlined and standardized cost activity codes to approximately 300.
In fiscal year 2008, we are adjusting and normalizing cost data,
creating new managerial reports, and monitoring compliance. In fiscal
year 2009, the AOC will pilot future benchmarking efforts to enable the
organization to measure jurisdictions against one another and against
other Federal agencies. We will introduce an indirect cost allocation
methodology, so the full cost of work at the AOC can be measured. We
will also integrate non-financial data (e.g. square footage) with cost
data to provide more visibility on the cost of activities or outputs.
The installation of business intelligence tools will play a major
role in future reporting and benchmarking efforts. Enhanced reporting
tools will provide better and timelier information to management. In
fiscal year 2010 and beyond, as the AOC cost accounting and reporting
systems continue to mature, we anticipate that managers will use cost
accounting data to project future resource needs, identify and examine
workload trends, allocate administrative expenses, determine unit
costs, track workload output, measure performance, and assist with
budget formulation and execution.
Question. What is the status of hiring an Inspector General? When
do you expect an IG to be on-board?
Answer. The AOC has contracted with an executive search firm to
conduct a nationwide search. In addition to posting a vacancy
announcement on USA Jobs (OPM's Web site), this firm is aggressively
recruiting passive IG candidates (network, cold call, and data mine).
To identify potential AOC IG candidates, recruiters have reached out to
85 contacts at various levels within a wide variety of organizations.
The outreach efforts have yielded more than 130 potential candidate
leads to date. The recruiting firm is now reaching out to the leads to
determine their suitability for the AOC IG position. The AOC
anticipates receiving a list of the top candidates to be interviewed by
late May and selecting the new IG in early June. Arrival of the IG
candidate will depend upon his/her current employment and location, but
it is hoped to have the new IG on staff by late June.
Question. AOC has requested new statutory authority regarding
Senior Executive Service-level employees. Please describe the reasoning
behind the 29 (now 30) positions AOC has requested? What is the status
of AOC's development of a senior-level employee performance appraisal
system?
Answer. Existing AOC statutory authority at 2 U.S.C. 1849
establishes three separate AOC executive level pay categories, (e.g.,
one at the SES pay level; one at 135 percent of the minimum GS-15 pay
level; and one at 95 percent of the SES pay level.). The legislation
that the AOC has requested would create a single cadre of AOC SES
positions paid at the established SES pay rates in accordance with
subchapter VIII of Chapter 53, Title 5. The 29 positions identified in
the proposed legislation was the total number of AOC executive level
positions authorized by statute in the three AOC executive level pay
categories. Note: That number has increased by 1, from 29 to 30 due to
the addition of a Deputy CEO for Visitor Services for the CVC. On
February 1, 2008, the AOC instituted a revised executive appraisal
system that we believe meets the requirements and criteria of
subchapter II of Chapter 43, Title 5.
Question. In recent fiscal years, Congress has appropriated funds
for the Architect to pursue energy efficiency studies and initiatives.
How are energy efficiency savings gained from such initiatives
reflected in AOC's fiscal year 2009 budget request?
Answer. In fiscal year 2008, $400,000 ($399,000 post-rescission)
was appropriated for energy audits. Funds were received at
approximately the same time that the AOC had to submit its fiscal year
2009 budget request. These energy audits have not yet been finalized;
however, we anticipate the audits will be completed in time to consider
a number of energy projects when developing our fiscal year 2010 budget
request.
The current fiscal year 2009 request includes the following
specific energy studies: Daylight Harvesting Study; Constant Volume
Systems Conversion Study; Existing Motor Premium Study; Retro-
Commission Building Heating, Ventilation, Air Conditioning Systems,
Phase 2 Study; Electrical Sub-Metering Study; Domestic Water Process
Survey Study; and the Server/Heating, Ventilation, Air Conditioning
Study.
The fiscal year 2009 budget request contains the following Capitol
Power Plant projects that are projected to generate substantial
reductions in energy usage: Chiller Replacement, West Refrigeration
Plant (Design); and Wickes Boiler Modernization and Controls
Replacement, Capitol Power Plant (Design).
Question. Has any consideration been given to the addition of a
gift shop and snack bar/restaurant at the Botanic Garden?
Answer. The Botanic Garden realizes that a gift shop/food service
would provide services that are sometimes requested by our visitors,
and has considered these options. However, the over-riding factor in
not pursuing them is the very limited amount of available space in the
Conservatory. The Garden is using the West Orangerie as an exhibit
space, and at times, as a staging area. The East Orangerie has been
retrofitted as a classroom and is used for many, varied, public
education programs. The Garden believes that it achieves more in terms
of mission fulfillment by providing educational programs and exhibits
than it would by providing a restaurant.
If the Garden were able to acquire additional space and resources,
a gift shop and/or food service operation could be added. Both would
require additional storage space for merchandise and safe food
preparation, utility hook-ups, as well as sewer and sanitary
provisions.
______
Questions Submitted to Dr. James Billington
Questions Submitted by Senator Mary L. Landrieu
fiscal year 2009 budget request
Question. According to your budget justification, the Library's
senior leadership was instructed to conduct in-depth reviews of their
programs, priorities, and current and planned projects in formulating
the fiscal 2009 budget. This included proposals for funding cuts or
elimination of programs. Please delineate the program cuts that were
made in the budget formulation.
Answer. In formulating the Library of Congress' fiscal 2009 budget,
the Librarian asked the senior leadership to proactively identify
projects or programs that could be cut or eliminated. While a majority
of the offices did not make wholesale cuts of programs or projects, a
number of offices and programs have been significantly affected by
funding limitations. $52 million in critical new funding needs were
identified in the early stages of fiscal 2009 budget formulation, much
of it to address information technology infrastructure requirements.
However these needs were eliminated from the fiscal 2009 budget
submission in recognition of the severely constrained Federal budget
environment.
----------------------------------------------------------------------------------------------------------------
Program/project/initiative Description Funding
----------------------------------------------------------------------------------------------------------------
Information Technology Infrastructure......... Infrastructure investment for ACF, NAVCC, Web $21.177
Services, New Visitors Experience, and Capitol
Data Center.
Digital Talking Books......................... Restore funding to original 4-year implementation $13.2
timeframe.
Library Services Base Restoration............. Partial restoration of fiscal 2007-2008 base cuts. $8.998
New Visitors Experience....................... Enhance awareness of LoC programs and collections. $4.423
Facility Services............................. Business Process Reengineering.................... $1.247
Law Library................................... GLIN expanded access and Law Materials............ $.540
Human Resources............................... Career Development................................ $.161
Contracting................................... Contract Specialist Support....................... $.188
Security...................................... Reading Room contract guards...................... $.142
Congressional Research Service................ Enhanced Access................................... $1.761
-------------
Total, Fiscal 2009 Funding Requirements .................................................. $51.837
Eliminated from Request.
----------------------------------------------------------------------------------------------------------------
Integrated Support Services (ISS) was unable to request needed
resources for the Facility Design and Construction office (FD&C). The
IG has documented inefficiencies in FD&C core business processes, space
management practices, and resource and staff support capacities that
could be addressed through business process reengineering and technical
and developmental training. ISS cannot respond to the IG
recommendations, such as developing procedural manuals and utilizing
automated systems to improve space allocation and design, without
sufficient resources. Additionally, necessary custodial contract
support for Fort Meade collections Modules 3 and 4 has been unavailable
due to a lack of resources.
The combination of non-recurring program costs, insufficient price
level increases, rescissions, and the need to contribute to unfunded
mandates has left the Law Library of Congress with more than 81 percent
of its fiscal 2008 budget dedicated to payroll costs. The Law Library,
the smallest Service Unit within the Library, will be unable to absorb
further funding cuts or the elimination of programs in its fiscal 2009
budget without building significant arrearages or sacrificing key legal
research and reference services to Congress.
Fiscal constraints necessitated reductions in staff size and
infrastructure investments in CRS. With almost 90 percent of the budget
devoted to staff salaries and benefits, cuts will result in a smaller
workforce. CRS positions are being reduced by 30 to a level of 675 FTE,
the lowest level in 33 years. The loss of positions is being confined
to the supporting offices to protect the analytical capabilities of the
Service. Meanwhile, the cuts in infrastructure investments will delay
the modernization of aging equipment and outdated capabilities. The
hope is that this cost cutting will be transitory and not sustained in
future years.
Library Services' cuts were made primarily in funding to acquire
collections identified by curators as being valuable and useful to the
Library, and by not requesting the restoration of fiscal 2007-2008 base
funding cuts of approximately $9 million and $13.2 million for the
Digital Talking Book Program.
Question. Also, please delineate all shifts in funding from one
significant program, project, or activity to another that were made as
part of the proposed budget.
Answer. The fiscal 2009 budget did not include shifts in funding
from one significant program, project, or activity to another. Rather,
the fiscal 2009 budget request reflected fiscal restraint through
elimination of critical funding needs, by either forgoing or seeking to
internally fund those items or activities in fiscal 2009.
staffing levels
Question. What is the actual staffing level you expect to attain
for fiscal 2008, by Appropriation/PPA, compared to the ``authorized''
level? What is the real increase in staffing requested for fiscal 2009,
compared to the actual level in fiscal 2007 and fiscal 2008 (expected)?
Answer.
LIBRARY OF CONGRESS COMPARISON OF FTE LEVELS, FISCAL 2007 ACTUAL--FISCAL 2009 REQUEST
----------------------------------------------------------------------------------------------------------------
Fiscal 2008 Fiscal 2009 request
----------------------------------- ---------------------
Fiscal Fiscal vs. vs.
Appropriation/PPA 2007 Authorized 2009 fiscal fiscal
actual FTE level Expected Difference requested 2007 2008
FTE level \1\ FTE level FTE actual expected
FTE FTE
----------------------------------------------------------------------------------------------------------------
Library of Congress, S&E:
National Library:
Library Services......... 1,534 1,640 1,618 +22 1,618 +84 .........
Office of Strategic 310 363 343 +20 363 +53 +20
Initiatives.............
Law Library...................... 92 101 101 .......... 101 +9 .........
Management Support Services:
Office of the Librarian.. 134 150 147 +3 150 +16 +3
Human Resources Services. 56 72 69 +3 72 +16 +3
Integrated Support 138 157 149 +8 157 +19 +8
Services................
Security and Emergency 123 131 123 +8 95 -28 -28
Preparedness............
Office of the Inspector 14 18 18 .......... 18 +4 .........
General.................
------------------------------------------------------------------------------
Total, Library of 2,401 2,632 2,568 +64 2,574 +173 +6
Congress S&E..........
==============================================================================
Copyright Office, S&E:
Basic........................ 448 439 433 +6 439 -9 +6
Licensing Division........... 30 30 28 +2 30 ......... +2
Copyright Royalty judges..... 5 6 6 .......... 6 +1 .........
------------------------------------------------------------------------------
Total, Copyright Office, 483 475 467 +8 475 -8 +8
S&E.......................
==============================================================================
Congressional Research Service, 681 675 675 .......... 675 -6 .........
S&E.............................
BBPH, S&E........................ 114 128 128 .......... 128 +14 .........
------------------------------------------------------------------------------
Total Library of Congress 3,679 3,910 3,838 +72 3,852 +173 +14
appropriations............
----------------------------------------------------------------------------------------------------------------
\1\ Fiscal 2008 authorized FTE level per approved Operating Plan.
performance-based budgeting
Question. Please describe the efforts you will take in the next
year to further the Library's use of performance-based budgeting.
Answer. The Library's strategic plan provides the foundation for
annual planning and budgeting efforts. The Congressional Budget
Justification's (CBJ) new format and content represents the Library's
initial efforts to illustrate how the Library's funding allocations
align with the five strategic plan goals. The new CBJ format and
content also includes key organizational performance targets which
communicate the results the Library plans to achieve with requested
resources.
Future Library efforts to implement the ``Spirit of GPRA'' and to
demonstrate how performance informs budgetary decisions will include
the following:
--Improve the program performance assessment program. A team of
Library-wide planners has been established to improve the
quality of the fiscal 2010 annual program performance targets
against the key performance benchmarks of specific, measurable,
achievable, relevant and time bound (referred to as the SMART)
criteria. The team is also working to increase the number of
performance targets that have pre-defined standards for
achieving results.
--In detailing prior year (i.e., fiscal 2008) performance
information, include results achieved against previously
planned (and reported in fiscal 2009 CBJ) targets.
--Provide detailed breakout of operating budgets in table format for
each Subunit overview section. This will further respond to
committee feedback about needing a clearer (tabular)
presentation of operating plan budget details.
--Include in Subunit Overviews narratives specific information about
how budgeted resources have enabled organizations to achieve
results in the prior year and how base budget decisions (and
projected base adjustments) are informed by performance goals.
This information will speak to the question of how Library is
``scrubbing the base'' and how performance is driving resource
decisions.
--Finally, the Library will continue to lead the effort across the
Legislative Branch to define the ``spirit of GPRA,'' improve
our implementation efforts, and share best business practices.
The Library's Strategic Planning Officer chairs a subcommittee
of the Legislative Branch Financial Management Council (LBFMC)
that is focusing on GPRA. In 2007 this subcommittee developed a
performance system for the Legislative Branch agencies to use
to demonstrate measurable results. This performance system
defines key performance indicators, elements and validation
criteria derived from the GAO Report, GAO 01-1008G, Internal
Control Implementation and Evaluation Tool, dated August 2001.
This system establishes a Legislative Branch-wide definition of
the ``spirit of GPRA.'' In 2008 the subcommittee has been
working to develop a baseline against the performance system
criteria. The subcommittee will soon be performing a gap
analysis to ensure that the best practices are implemented
across the Legislative Branch.
contracts management
Question. According to the Inspector General, there are significant
and long-standing problems in the Contracts Office, which has
responsibility for over $180 million in annual spending. The
deficiencies may prevent the Library from obtaining the best value in
contracts and may expose it to liability. Please provide a complete
explanation for your plans to overhaul this office.
Answer. The Chief Operating Officer named an Acting Director of
Contracts and Grants Management (OCGM) effective April 14, 2008. The
incumbent formerly served as the Library's Chief of Contracts and
Logistics and has more than 20 years of experience in directing and/or
auditing acquisitions and logistics operations in both military and
civilian agencies. She has directed the day-to-day operations of
Federal contracting officers, logisticians, and auditors/program
evaluators who audited high profile, complex, multi-billion dollar
Department of Defense (DOD) acquisitions.
The new director was instructed to review and devise an action plan
within her first 30 days on the job. The following represents her
approach and plans for transforming the Contracts Office in the
immediate future.
New policy and procedures have been implemented around four
critical goals:
Goal One: Improve Communications
OCGM Help Desk Phone and E-mail has been established for tracking
status.
New policies/procedures have been implemented for processing
Requisitions.
Acquisition Planning implemented for fiscal 2008 and fiscal 2009
contract actions.
Contracts Working Group established and first meeting held on May
7, 2008.
Goal Two: Increase Productivity
Tiger Team, made up of the most experienced contract specialists,
has been formed to handle backlog contract actions.
Interviews have been completed for the three GS-13 contract
specialists appropriated, and offers have been extended.
An Open Continuous Announcement (GS-12; GS-13; GS-14; GS-15) for
contract specialists has been implemented to expedite hires as
permanent staff openings occur.
A contract has been awarded to conduct Workflow Analysis of the
entire Contracts Operation, and the vendor began work on May 27.
Specifically, the vendor will:
--Benchmark current work practices with best practices and develop
new PALTS.
--Develop an Acquisition Strategy/protocol for the Agency.
--Examine two automated systems and recommend an integration
strategy.
--IAG w/DCAA Support effective--May 2008;
--OCGM Website Update--June 2008;
--Acquisition Alerts Handbook Update--July 2008; and
--COTR Training and Cert Program--August 2008.
Goal Three: Improve Timeliness In LC Contracting Process
The following activities have been implemented to positively affect
efficiency:
--OCGM Tiger Team (Backlog)--May 5, 2008;
--LC-wide Acquisition Planning (Memo to SU's)--May 12, 2008;
--Personnel Assists--June-Sept 2008;
--Workflow Analysis (Start Date)--May 19, 2008;
--Using Various Contract Types--Now;
--Using Letter Contracts for Urgent and Compelling--Now; and
--Using Class D&Fs--Now.
Goal Four: Improve Business Practices and Documentation
Update Contracts Operating Instructions--April 2008-December 2008.
Re-establish the Contract Review Board.
--Established a Group to focus on Contract File Management.
ndiipp
Question. You have requested an increase of $6 million for the
National Digital Information Infrastructure and Preservation Program
to, according to your budget justification ``maintain a minimum
operational funding level.'' How did you determine what the minimum
operational funding level should be for this program? Please provide
the 5-year plan for NDIIPP spending.
Answer. The minimum operational funding level was formulated based
on several factors. These include:
--Recognition of agency and legislative branch budgetary constraints.
--Our annual program operational experience to date.
--A realistic assessment of needed content, network, and technical
infrastructure investments to attain our 5-year program
outcomes.
The strategy is to approach the selection and preservation of
content as triage of the most critical needs and risks to preserve
digital content determined to be most valuable to public policy and
Congress.
The 5-year plan that follows outlines the goals and outcomes for
the program.
Office of the Associate Librarian for Strategic
Initiatives,
The Library of Congress,
Washington, DC.
Date: February 5, 2008.
From: Laura E. Campbell, Associate Librarian for Strategic Initiatives/
Chief Information Officer
Subject: NDIIPP Plan 2008-2013
The National Digital Information Infrastructure and Preservation
Program (NDIIPP) is the Library's strategic direction for collecting
and preserving critically important content that only exists in digital
form. It is a transition to a new way of doing business, sharing
ongoing costs and expertise with a trusted network of vetted partners.
In order to sustain this collaborative approach to the stewardship of
digital content ongoing investments are necessary.
Attached please find the NDIIPP Plan for 2008-2013.
Collecting and Preserving Digital Content
National Digital Information Infrastructure and Preservation Program
PROGRAM AND RESOURCE PLAN, FISCAL YEAR 2008-FISCAL YEAR 2013
fiscal year 2008
ndiipp: making the transition to sustainable stewardship
Goal
Align strategic direction of the NDIIPP program with available
resources while fulfilling pre-2007 agreements with partners.
Fiscal year 2008 objectives
Operate existing network.
Follow through on multi-year partnership agreements made in fiscal
year 2007, to the extent possible with limited resources (see charts on
page 5).
Transition the no-year, term-limited program scenario to an annual
operating program.
Prepare NDIIPP Report (2003-2008).
Program Achievements Fiscal Year 2003-2008
Content.--66 terabytes \1\ at-risk digital content collected and
preserved by partners; provide access for Congress to partner content.
---------------------------------------------------------------------------
\1\ A terabyte is the equivalent of the digital text of 1 million
books.
---------------------------------------------------------------------------
Network.--Network of 130 partners in content, technology, research,
government and business sectors across 25 States; 10 Federal agencies
collaborating to develop standards to preserve and sustain at-risk
content on a national level; report of Section 108 Copyright Working
Group.
Technical Infrastructure.--Storage and transfer infrastructure for
66 terabytes of partner content; 12 shared tools and technology
services built and customized especially for digital content capture,
storage and management.
FISCAL YEAR 2008 PROGRAM OPERATING PLAN--SOURCES AND USES OF FUNDS
[Original planned vs. current budget, dollars in millions]
------------------------------------------------------------------------
Fiscal year
Fund type/Description 2007 original Current budget
planned \1\
------------------------------------------------------------------------
NDIIPP No-year fundsFund source:
Fiscal year 2008 beginning balance.. $5.513 $5.748
Fiscal year 2008 restoration request 21.500 ..............
-------------------------------
Total no-year funds............... 27.013 5.748
===============================
Fund use:
Staff \2\........................... 1.478 ..............
Program management and network 1.249 0.412
administration.....................
Grants to/contracts with partners:
States regional demonstration 13.500 2.291
projects.......................
Content partnerships............ 6.000 1.688
Repositories and infrastructure 2.000 1,357
partnerships...................
-------------------------------
Total no-year funds........... 24.227 5.748
===============================
Fiscal year 2008 ending balance 2.786 ..............
(projected)............................ NDIIPP Base FundsFund source: Fiscal year 2008 enacted... .............. 1.478
Fund use: Staff \2\..................... .............. 1.478
Fiscal year 2008 ending balance .............. ..............
(projected)............................
------------------------------------------------------------------------
\1\ Original planned amounts developed in February 2007.
\2\ Request for staff salaries to be supported by base funds in the
Fiscal Year 2008 Operating Plan.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Investments
From fiscal year 2009-2013, the NDIIPP Program will invest
resources in three areas;
--Content will focus on bringing at-risk content under stewardship
through a network of national partners.
--Network will focus on expanding digital preservation action by
establishing the National Alliance for Content Stewardship.
--Technical Infrastructure will collaborate with partners to enable
cost-effective storage and management of a variety of types of
content brought under stewardship.
Projected Achievements Fiscal Year 2009-2013
Content.--650 terabytes of at-risk digital content under national
stewardship, representing nearly a ten-fold increase over current
levels.
Network.--The National Alliance for Content Stewardship operational
in all 50 States.
Technical Infrastructure.--Cost effective storage and management of
650 terabytes of at-risk digital content distributed across the
partnerships.
NDIIPP FUNDING, FISCAL YEAR 2009-2013 \1\
[In millions of dollars]
----------------------------------------------------------------------------------------------------------------
Fiscal year--
-------------------------------------------------
2009 2010 2011 2012 2013
----------------------------------------------------------------------------------------------------------------
Staff......................................................... 1.478 1.478 1.478 1.478 1.478
Content....................................................... 3.499 3.499 3.499 3.499 3.499
Network....................................................... .724 .724 .724 .724 .724
Technical infrastructure...................................... 1.810 1.810 1.810 1.810 1.810
-------------------------------------------------
Total................................................... 7.511 7.511 7.511 7.511 7.511
----------------------------------------------------------------------------------------------------------------
\1\ Does not reflect price level or mandatory changes.
NDIIPP FUNDING BY OBJECT CLASS FISCAL YEAR 2009-2013 \1\
[In millions of dollars]
----------------------------------------------------------------------------------------------------------------
Fiscal year--
Object class -------------------------------------------------
2009 2010 2011 2012 2013
----------------------------------------------------------------------------------------------------------------
11xx pay...................................................... 1.478 1.478 1.478 1.478 1.478
21xx travel................................................... .050 .050 .050 .050 .050
24xx printing................................................. .015 .015 .015 .015 .015
25xx contractual services..................................... 2.968 2.968 2.968 2.968 2.968
31xx equipment/software....................................... 1.000 1.000 1.000 1.000 1.000
41xx grants................................................... 2.000 2.000 2.000 2.000 2.000
-------------------------------------------------
Total................................................... 7.511 7.511 7.511 7.511 7.511
----------------------------------------------------------------------------------------------------------------
\1\ Does not reflect price level or mandatory changes.
CONTENT--ANNUAL INVESTMENT \1\
[In millions of dollars]
----------------------------------------------------------------------------------------------------------------
Fiscal year--
Investment area -------------------------------------------------
2009 2010 2011 2012 2013
----------------------------------------------------------------------------------------------------------------
Cartographic/geospatial....................................... .475 .502 .479 .460 .444
Web sites..................................................... 1.519 1.623 1.797 1.885 1.928
Audio visual.................................................. 1.366 1.232 1.084 1.011 .977
Images and text............................................... .138 .141 .140 .144 .150
-------------------------------------------------
Total................................................... 3.499 3.499 3.499 3.499 3.499
----------------------------------------------------------------------------------------------------------------
\1\ Does not reflect price level or mandatory changes.
NETWORK--ANNUAL INVESTMENT \1\
[In millions of dollars]
----------------------------------------------------------------------------------------------------------------
Fiscal year--
Investment area -------------------------------------------------
2009 2010 2011 2012 2013
----------------------------------------------------------------------------------------------------------------
Membership.................................................... .290 .145 .145 .145 .145
Standards development......................................... .217 .290 .290 .290 .290
Professional development...................................... .145 .217 .217 .217 .217
Outreach...................................................... .072 .072 .072 .072 .072
-------------------------------------------------
Total................................................... .724 .724 .724 .724 .724
----------------------------------------------------------------------------------------------------------------
\1\ Does not reflect price level or mandatory changes.
TECHNICAL INFRASTRUCTURE--ANNUAL INVESTMENT \1\
[In millions of dollars]
----------------------------------------------------------------------------------------------------------------
Fiscal year--
Investment area -------------------------------------------------
2009 2010 2011 2012 2013
----------------------------------------------------------------------------------------------------------------
Tools......................................................... .362 .543 .543 .543 .543
Services...................................................... .724 .543 .905 .905 .905
Transfer protocols............................................ .362 .362 .181 .181 .181
Storage capacity.............................................. .362 .362 .181 .181 .181
-------------------------------------------------
Total................................................... 1.810 1.810 1.810 1.810 1.810
----------------------------------------------------------------------------------------------------------------
\1\ Does not reflect price level or mandatory changes.
fiscal year 2009 to fiscal year 2013
content
Goal
By 2013, place over 650 terabytes of high value at-risk digital
content of particular interest to Congress and its constituents under
national stewardship.
Links to Library's Strategic Plan
Content goal, Outcome 3.--Increased shared content stewardship
among libraries and other cooperating bodies.
Content goal, Outcome 4.--Increased creative and intellectual
output that contributes to the body of knowledge available to the
Congress and other constituencies.
Investments
The following four categories of content (see table below)
represent high priorities:
CONTENT CATEGORIES
----------------------------------------------------------------------------------------------------------------
Category Description Examples
----------------------------------------------------------------------------------------------------------------
Cartographic/Geospatial.......... Today's maps are born digital and are Congressional cartography
rich with data critical to land use At-risk State, regional and local
management, disaster relief, government geospatial data (e.g.,
environmental planning and homeland emergency response assets,
security. jurisdictional boundaries,
infrastructure maps)
Aerial and satellite imagery,
including coastal imagery
Web Sites........................ The Web is an increasingly important Materials related to critical public
source of information by and about policy issues (e.g., public health
government, as well as a mirror of and medical preparedness, water
the political and social events of quality management, foreign
our time. Much of the documentation investment and international
of our daily lives, as well as public outsourcing, personal privacy
discourse and debate, has moved to protection and data security)
this new digital landscape in which State and local digital publications
content appears and vanishes at and agency policy documents
incredible speed.
Audio Visual..................... The very nature of broadcast Foreign news broadcasts
distribution makes television and U.S. television broadcasts
radio one of the most at-risk forms Radio broadcasts
of content. Non-commercial
programming from both the United
States and foreign countries is of
particular interest.
Images and Text.................. These materials represent substantial State and local agency records (e.g.,
information investments that have court records, vital records, land
been made by the government, cultural ownership records)
heritage institutions and other Databases containing the results of
segments of society. research and surveys
Previously digitized content
----------------------------------------------------------------------------------------------------------------
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Content Types
Content under stewardship by NDIIPP partners includes geospatial,
digital television, web sites, social science datasets, business
records and digital cultural heritage collections. Adding access
functionality for search and retrieval and user interfaces, increases
the cost of stewardship beyond basic maintenance costs of secure,
monitored storage and data management. There is also a cost multiplier
effect across complex and diverse content types.
network
Goal
By 2013, establish agreements with diverse stakeholders in all 50
States to sustain a digital preservation network.
Links to Library's Strategic Plan
Outreach goal.--Increase awareness of the value and utility of the
Library.
Investments
Network investments are in:
Membership.--Building on fiscal year 2003-2008 partnerships,
establish the National Alliance for Content Stewardship.
Standards Development.--Collaborate with partners from content,
technology, government and business sectors to develop standards to
sustain at-risk digital content.
Professional Development.--Promote awareness and adoption of good
preservation practices through professional development for digital
content stewards.
Outreach.--Promote public awareness through a Web site and various
media outlets.
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technical infrastructure
Goal
By 2013, enable cost-effective storage and management of 650
terabytes of a variety of types of digital content.
Links to Library's Strategic Plan
Content Goal, Outcome 2.--Enhanced preservation and accessibility.
Content Goal, Outcome 3.--Increased shared content stewardship
among libraries and other cooperating bodies.
Organization Goal, Outcome 1.--Optimized cultural, physical and
technology environment maximizing quality, efficiency and creativity.
Investments
The partners work collaboratively to develop the NDIIPP technical
infrastructure by building the information systems, tools and services
that support the digital programs.
PROJECTED OUTCOMES FOR FISCAL YEAR 2009-FISCAL YEAR 2013 \1\
----------------------------------------------------------------------------------------------------------------
Category Outcome
----------------------------------------------------------------------------------------------------------------
Tools.................................... Systems and utilities that can be used by content collectors and
managers to automate tasks and processing
Services................................. Operational services for digital content management offered to
stewardship communities
Transfer protocols....................... Robust and scalable digital content delivery mechanisms among
partners and between the Library's preservation and access technical
environments
Storage capacity......................... Architecture to store more by reducing cost per byte over time
----------------------------------------------------------------------------------------------------------------
\1\ See next page for detailed milestones chart by technical infrastructure components.
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overseas field offices
Question. The budget request includes $5,366,000 for the Department
of State Capital Security Cost-Sharing Program, an increase of
$2,966,000 over the fiscal 2008 level. What are the implications if
this increase isn't funded?
Answer. If the increase is not funded, the Library will have to
shift funds within its base to cover the CSCS assessment. The amount
due to the Department of State was determined during fiscal 2007 and
cannot be reduced at this point. The shifting of base funds will force
the Library to consider closing some of its six offices. Because of
their size and cost, two of the largest offices could be affected--
Cairo, Egypt and Jakarta, Indonesia. The effect of closing these two
offices would be grave. Analysts and reference specialists would be
deprived of current, valuable materials from hotbed areas of the world.
Lack of access to these materials would impede getting vital
information pertaining to these areas. Closing these offices would also
result in the termination of the Cooperative Acquisitions Program for
regions covered by these two offices. Each overseas office currently
operates a cooperative acquisitions program with at least forty
participating libraries and educational and research centers.
Question. What is the total cost of the overseas field offices, by
office, compared to fiscal 2008?
Answer. In addition to the $5,366,000 cited above for the Capital
Security Cost Sharing program assessment, the projected costs for the
offices for fiscal 2009 are $8.86 million total. The projected costs
(salaries and overhead) for each office are:
--Brazil--$1,338,508;
--Egypt--$1,169,158;
--India--$2,299,547;
--Indonesia--$1,499,494;
--Kenya--$1,707,071; and
--Pakistan--$847,246.
Projected costs may change due to regional rates of inflation and
the falling value of the U.S. dollar against foreign currencies.
Additionally, approximately $600,000 will be spent to run the
Cooperative Acquisitions Programs, all recovered from program
participants and not included in the amounts cited above or the
Library's funding request.
Question. What plans does the Library have to change its methods
for acquiring materials from the six areas the field offices cover?
Answer. Because the Library has determined that there are no viable
means to continue to collect research materials from these areas
without an actual presence in the regions, the Library does not plan to
change the methods of acquiring materials from areas currently covered
by the six offices. The Library still views as sound its ongoing (1)
acquisitions of materials by its Capitol Hill staff for materials from
parts of the world that have robust publishing and information
dissemination infrastructures and (2) its acquisitions of materials by
staff locally situated in areas of the world where materials are
difficult to obtain, that is, through its six overseas offices.
Commercial book vendors remain inadequate for the parts of the world
covered by the overseas offices and generally do not acquire non-
commercially produced items. Non-commercial research materials, such as
government and non-government issued reports, large bank reports, oil
company reports, etc., would no longer be acquired without the local
presence of the offices. Additionally, office staff members have
language and subject expertise used to catalog materials acquired,
which considerably lowers the overall cost of cataloging the materials.
Without this expertise of the local staff, the processing of the
materials that would be acquired would be done by Library staff in
Washington at far greater expense. There is a growing lack of trained
professional librarians in the United States with language and area
studies expertise of the regions where we have overseas offices. The
Library monitors publishing trends in all parts of the world. When
problems are identified, we seek low-cost options for securing
publications. China is a notable example. A single acquisitions office
would not be adequate for such a large country. We have worked with
local professors and graduate students to identify and purchase
materials from remote regions of China.
Question. What is the Library doing to work with other institutions
to seek to cover some of the costs of the field offices?
Answer. The Library works with the participants of the Cooperative
Acquisitions Programs, whereby participants offset the cost of running
the acquisitions programs and indirectly keep the cost of acquiring
materials down by through discounts resulting from the purchase of
multiple copies.
loc contractor employees
Question. What is the total amount the Library spends on contracts
each year? How many contract employees does this equate to? What is the
average price of a contractor employee per hour, and how does that
compare to the cost of the average LOC employee?
Answer. The Library spent $2.256 million on personal services
contracts in fiscal 2007, primarily for expert skills or unique
services required on a special or occasional basis, which could not be
provided with any degree of efficiency by current Library staff. Hourly
costs per contractor ranged widely based on the specific requirements
of each contract. Where specific data was available on the costs of
individual contractors (as opposed to the more prevalent breakdown of
costs by task order or deliverable), hourly rates ranged from $25 to
$125. The average hourly rate across all contracts was $60, as compared
to the average cost of salaries and benefits of all Library employees
over the same time period of $50.
cataloging productivity
Question. Please explain the extent to which the Library has become
more efficient in its cataloging efforts over the past several years.
Answer. From fiscal 2003 to 2007, cataloging production increased
from 525 titles per FTE to 890 titles, an increase of 70 percent in
only 5 years. At the same time, the cost per title cataloged decreased
from $115.56 to $81.97, a reduction of more than 29 percent despite
salary increases and inflation. (These costs include staff and
supervisory salaries, fringe benefits, and directorate, service unit,
and agency overheads.) Productivity and efficiency have increased
through the following measures:
--Implementation of the Library's first integrated library system (LC
ILS) in August 1999 laid the foundation for continuous business
process improvements.
--The LC ILS allowed the Library to develop automated applications
that could interface with the LC ILS to facilitate staff
efficiencies in searching and creation, validation, and quality
assurance of bibliographic data.
--Through ``copy cataloging,'' staff increased the use of cataloging
data created at other institutions to represent items in the
Library's collections, thereby reducing cataloging costs by
one-third for this group of items. To optimize use of copy
cataloging, the Library (1) introduced software that searches
the LC ILS and the external source of cataloging data with a
single search and (2) centralized most copy cataloging activity
in a single work team composed of technician level staff,
thereby reducing the cost of copy cataloging. To ensure that
the Library and the Nation's libraries have access to a supply
of high-quality cataloging copy, the Library provides training
and administrative infrastructure for the Program for
Cooperative Cataloging, an international consortium of more
than 500 institutions.
--Catalogers now complete call numbers for most originally cataloged
materials as part of a single workflow process.
--The Library focused on using the appropriate level of cataloging
for all materials. In 1997, the Library adopted a new default
level of cataloging that is sufficient for most of the
materials it catalogs. Reference and rare materials receive
fuller cataloging, while materials of low research value may
receive minimal-level or collection-level cataloging, which
describes resources at a lower expense.
--The Library's six overseas offices were upgraded with the Library's
ILS software and now catalog the materials they acquire at
lower costs than can be done by Library staff on Capitol Hill.
--The Library receives records suitable for initial bibliographic
control from approximately thirty of its book dealers
throughout the world, generally at no additional charge.
--The Library obtains, through outsourcing, materials ready to be
shelved, with complete cataloging, for some Italian, Japanese,
and Russian materials.
--The Library has begun using data leased from commercial sources in
order to avoid keying massive amounts of data, again reducing
cataloging costs.
--The Cataloging in Publication (CIP) program, which in fiscal 2007
provided cataloging in advance of publication for 53,210 books
judged likely to be widely acquired by the Nation's libraries,
is now nearly all electronic. Staff prepare catalog records on
the basis of publisher galleys submitted in electronic form,
permitting much of the catalog record to be constructed
automatically. Further, the cost of mailing data via the U.S.
mail has been practically eliminated.
--The Library instituted partnerships with other research libraries
in which the other libraries catalog electronic galleys that
will be published by their own institutions. More than 3,300
catalog records were obtained through this Electronic CIP
Cataloging Partners program in fiscal 2007.
LIBRARY OF CONGRESS ACQUISITIONS AND BIBLIOGRAPHIC ACCESS DIRECTORATE
COST AND OUTPUT PER STAFF MEMBER, FISCAL 2003-FISCAL 2007
------------------------------------------------------------------------
Bibliographic
Fiscal year volumes per Cost per
FTE record
------------------------------------------------------------------------
2003.................................... 525 $115.56
2004.................................... 559 124.95
2005.................................... 644 119.66
2006.................................... 840 94.64
2007.................................... 890 81.97
------------------------------------------------------------------------
reading rooms
Question. According to the Inspector General, there is significant
underutilized reading space owing to the dramatic growth in, and
improved access to electronic information. Please describe plans to
consolidate the reading rooms.
Answer. Following the Inspector General's recommendation in
September 2007 to gather data on reading room use during the first
quarter of 2008, Library Services actively engaged in a comprehensive
usage survey among all the subject- and format-based research centers
and reading rooms. Library Services is continuing to compile statistics
in a consistent fashion during the second quarter as well to facilitate
future decision-making. The recent inauguration of the Library of
Congress Experience has resulted in greater public visitation and an
expected increase in new cards issued by the Reader Registration unit.
Even more visitors and a rise in new readership are anticipated once
the CVC opens later this year. The recent announcement of the
relocation--falsely described as a closure--of the European Reading
Room that was broadcast over the Internet by scholars resulted in
numerous complaints to Congress by researchers, underscoring the
sensitivity of reducing the number of points of access to collections
and staff expertise.
The Copyright Office consolidated three reading rooms (the
Copyright Card Catalog, the Records Maintenance Unit retrieval area,
and the Licensing Division's reading room) during the renovation of
Copyright Office workspace. This action freed much-needed space for
critical program activities and allowed the sharing of infrastructure
and support services while making possible the provision of nearly the
same level of service with fewer staff and with a smaller investment in
infrastructure and technology. Also, as a result of consolidation
visitors are confined to one area, reducing expenses for signage,
security, etc.
collections storage
Question. Current collections policies result in a daily addition
of approximately 10,000 items to the library's collections. At this
rate of growth, how soon will existing storage facilities be filled?
Answer. The figure of 10,000 items per day includes both special
format collections (e.g., maps, manuscripts, prints) and books and
bound periodicals. For the book collections, approximately 1,500 items
are added to the general, Areas Studies and Law collections daily.
Special format collections constitute the remainder.
Existing storage facilities have been, or are in the process of
being, filled. Significant overcrowding in the facilities housing both
book collections and special format collections has dictated a space
utilization plan that requires the most efficient use of existing
facilities and a construction/rental program for additional storage
space off-site.
Question. When will additional storage space be needed?
Answer. Additional storage space is needed at the present time and
is currently in the Library's plans. Initiatives currently underway to
address this are:
--Upgrades to the third floor fire protection system at the National
Audio-Visual Conservation Center (NAVCC) at Culpeper, Virginia
which will permit the Library to complete the relocation of the
recorded sound and moving image collections to that facility,
allowing for future collections growth in those media.
--Completion of Modules 3 and 4 and four cold storage rooms at the
High Density Storage Facility (HDSF) at Fort Meade, Maryland.
Scheduled for completion in the late winter or early spring
2009, this facility will house more than 16 million pieces in
150,000 containers of special collections material. The content
of each shelf has been mapped to the shelf to maximize
capacity, and for both Modules 3 and 4, there is no growth
space allocated. Waiting lists of special format collections
have been developed for subsequent construction/rental.
--Reconfiguration of existing space at the Landover Center Annex
(LCA), Landover, Maryland, to accommodate collections now on
Capitol Hill in a Fort Meade-type configuration (storing
collections by size to maximize capacity). This reconfiguration
is anticipated to allow for approximately 6 months of growth in
the book collections.
--Construction of additional modules at Fort Meade. Design has been
finalized for Module 5 which, like Modules 1 and 2, will house
books and bound periodicals. Upon completion, Module 5 will
have a storage capacity of 2.2 million items, and will allow us
to remove the increasing number of items stored on the floor in
the Jefferson and Adams Buildings, and to accommodate the more
than 300,000 items added to the general, Area Studies, and Law
Library collections annually.
Question. How much additional storage will be needed?
Answer.
Book and Bound Periodical Collections
For the book collections, we are currently exceeding 100 percent
capacity in the Jefferson, Adams and Madison bookstacks.
Our goal, in the classified collections is to reduce the shelf load
to an average of 80 percent, which allows for the uneven growth of
individual classes of material (in a classified/subject) collection. An
average shelf load of 80 percent has been deemed the maximum average
beyond which ongoing shifting and significant overcrowding ensue. In
order to get to this target average, approximately 3.4 million items
need to be relocated from Capitol Hill to off-site storage. This
represents approximately 1.5 Fort Meade modules.
Note: There are a number of safety-related programs mandated by the
Office of Compliance that will significantly reduce the storage
capacity in the Jefferson Building stacks (addition of staircases). If
these come to fruition, it will significantly alter the space
projections for the book collections. The permanent loss of capacity is
likely to be approximately 200,000 items, and during construction, more
than 500,000.
If we were to obtain two additional book storage modules at Fort
Meade of the same size as the current modules, with a total capacity of
4.4 million items, that would allow us to transfer the requisite number
of volumes (3.4 million plus annual additions to the collections),
allowing us to achieve our target shelf load. Currently, Modules 5 and
6 are planned to house the requisite book collections, however the
construction schedule for both of these remains uncertain. From that
point on, we would require one additional book storage module every 6
or 7 years.
Special Format Collections
Special collections do not grow at the fairly steady rate the book
and bound periodical collections do.
A significant number of the special collections are housed in both
overcrowded and inappropriate environmental conditions, inconsistent
with the value and uniqueness of these collections.
NAVCC has the necessary capacity to accommodate some future growth
of the recorded sound and moving image collections. However, this
requires upgrading of the third floor fire protection systems, which is
currently underway.
As stated earlier, Modules 3 and 4 at Fort Meade will allow us to
relocate approximately 150,000 containers from overcrowded storage
spaces on Capitol Hill. A waiting list has been developed of
collections that will not fit into these two modules, and options are
being pursued such as interim rental space until permanent space can be
constructed at Fort Meade. Module 7 at Fort Meade will be the next
special format collections module.
Question. What is the status of moving items to Fort Meade for
storage?
Answer. Module 1 is completely filled with approximately 1.6
million items.
Module 2 is approximately 65 percent filled. However, there are a
significant number of categories of ``must send'' items for which space
must be allocated in Module 2 because the construction schedule for the
next book storage module (Module 5) is uncertain. Among these
categories: children's literature and minimal level cataloging. In
addition, space has been set aside for post-processed material
scheduled for transfer to Modules 3 and 4. An active program is
currently underway to box and otherwise prepare special format
collections for transfer to Modules 3 and 4 when these open next year.
Since post-processed collections often take up significantly more space
than is the case pre-processing, we have planned to move some of these
to Module 2 and relocate them to Modules 3 and 4 when the latter
modules open. Given this, while Module 2 is not yet completely filled,
there is very limited space remaining for permanent transfer if we are
to leave the necessary growth space for the ``must sends'' and for the
post-processed special collections.
Modules 3 and 4 have been completely laid out, with every item
assigned a shelf location. When these modules become available in early
2009, we will begin the relocation process.
Question. What is the remaining capacity at the existing storage
modules, and how does that compare to the original plan?
Answer. As stated above, there is almost no remaining capacity in
the two existing modules. Module 1 is filled; Module 2 is approximately
65 percent filled. However, we will complete as much filling as
possible by the end of calendar 2008, and must leave some space for the
``must sends'' and interim space for post-processed collections moving
to Modules 3 and 4.
Question. Has more storage capacity been consumed then had been
planned at Fort Meade?
Answer. The availability of modules for both the book and special
format collections is behind the originally projected schedule.
According to the original construction and storage needs projections, a
module should have been constructed and become available for storage
every 2 years beginning in 1997. Had we been able to follow that
schedule, we would now be occupying Module 6, with Module 7 coming
online in calendar 2009.
The Copyright Office also is experiencing a storage capacity
problem. The Copyright Office is required to retain works deposited in
connection with registration of claims to copyright. Copyright deposits
are housed in two facilities: The Landover Annex (50,000 square feet,
filled to capacity); and Sterling, Virginia, leased from Iron Mountain,
Inc. (116,000 square feet).
The annual cost for Iron Mountain storage is $191,000. Projected
storage growth at that facility is 7,000 cubic feet per year, which
increases the storage cost by $11,500 per year.
The current leased storage space, however, does not adequately
provide a safe and secure environment for the protection of the deposit
collections. The facility fails to meet the requirements of 36 211 CFR
1228, ``Disposition of Federal Records, Subpart K, Facility Standards
for Records Storage Facilities'' because the space is unconditioned and
subject to wide temperature and humidity fluctuations. In order to
properly fulfill the Office's mandate of protecting and preserving
America's cultural heritage, materials would need to be moved to a
NARA-certified facility that meets the 36 CFR 1228 requirements.
Storage at such a facility would increase storage fees by 100 percent
to $382,000 annually plus an annual growth increase of $23,000.
In addition to storage costs, deposits and other materials must be
transferred to and retrieved from storage on a regular basis. These
transfer costs are $33,000 per year. This is projected to increase at a
rate of 10 percent per year, based on the growing rate of services
requiring deposit retrieval.
digital content
Question. With the explosive growth in the creation and
distribution of digital content, what opportunities and challenges does
this present the Library in terms of increasing access to and
preserving the Library's collections in the future?
Answer.
Opportunities
Digitized Content:
--Technological advances continue to provide opportunities to enhance
access by increasing both the quantity and quality of our
digitized content. Scanning equipment is getting better and
faster.
--Increasing sophistication in automated image quality review tools
(device targets and software) allows us to increase efficiency
of image quality review processes. The more of the production
workflow we automate, the more we increase throughput through
the production pipeline, while ensuring image quality.
Born Digital Content:
--The evolution of the Web into social networks brings opportunities
for the Library to engage with public and private sector
organizations to take advantage of access tools that distribute
the description and linkage to content across organizations.
Some very commonly used technologies are web services that
allow users and researchers to organize and describe content in
ways that serve multiple communities of users.
--The Library will have the opportunity to provide access to more
diverse content by collaborating with a network of collecting
partners who have experience and expertise in the collection
and management of diverse data types, e.g. Geospatial, social
science datasets, web archives.
Growing recognition of value of cultural heritage materials by
commercial and non-governmental sectors is providing increasingly
attractive opportunities to form mutually beneficial partnerships.
Expectations for secure and trustworthy long-term management of digital
content provide an opportunity to explore current and in-progress
industry solutions. Identification of common challenges provides a
solid basis for working with other Federal agencies and research
institutions on common technical architecture requirements and
standards.
By reengineering Copyright Office business operations and
transitioning to a web-based processing environment, the Office is
positioned to acquire, retain, and eventually forward to the Library's
collections copyright deposits submitted electronically on a large
scale.
Challenges
Technologies associated with digital content creation,
dissemination, and curation evolve over time, creating large bodies of
digital works with diverse formats, often built on layers of legacy
applications that may become obsolete.
Ongoing re-investments and training are needed to take advantage of
continuing developments in digital library and information management,
technical architecture, search and discovery, and web presentation
tools.
Anticipated exponential growth in digital content, whether for
broad open immediate access or long term collection holdings and
digital preservation, incur a new layer of management responsibility
and costs for the institution that continue to grow every year as the
volume of content grows. The receipt, storage and rendering of digital
content in increasingly complex digital formats require continuous
investment in staff recruitment and training to maintain currency and
relevancy of technical skills.
Growing user expectations for rapid, anytime, anywhere, easy access
to the Library's collections continue to strain the Library's
resources. Expectations that the content should be easily findable and
searchable are difficult to meet with existing access mechanisms and
tools. Securing databases/repositories against unauthorized access will
continue to require investments in information security.
The predicted ten-fold growth of digital data within the next 5
years presents challenges for the judicious identification, selection
and acquisition of content for the Library's collections as well as the
storage and management of large volumes of data for preservation.
The Library will have the challenge of developing and maintaining
increasingly complex information architecture, access aids, and
interfaces to more diverse digital content types as they are brought
into its collections or linked to at collaborating partner sites.
Retaining electronic works as originally deposited to satisfy a
legal requirement while also copying and converting electronic works
for the purpose of long term preservation and accessibility needs.
Amending the copyright law and regulations to require deposits of
certain types of works and to define ``best edition'' requirements to
include the Library's preferred digital formats.
Amending the copyright law to allow the Library to harvest online
material, such as websites, in lieu of or in addition to mandatory
deposit requirements.
Question. What practical steps is the Library taking to address
these opportunities and challenges?
Answer.
Digitized Content
We are actively engaging with other Federal agencies, cultural
heritage institutions, and commercial partners, allowing us to make
more content available to increasingly broad constituencies.
Digitization partnerships allow the Library to increase its
digitization capacity for public domain collection materials. As long
as the resulting files can be made freely available to the public,
either immediately or following a relatively brief embargo period, the
Library views these partnerships as advantageous. Digitization
partnerships include:
--Commercial partnerships to defray and subsidize the cost of
digitization. In their general desire for copies of digitized
text materials, these partners are willing to absorb a
significant portion of the costs of digitization. In these
situations, the Library has a great deal of latitude in
choosing the actual materials to be digitized.
--Commercial partnerships to investigate technical problems of mutual
interest. A good example of this is the partnership we
initiated last year with Xerox to investigate performance
issues related to large databases of JPEG2000 images, which is
a format under consideration for both master and derivative
files.
--Joint Federal agency or cultural heritage institution partnerships
that share digitization cost burdens. As an example, we've had
great success in coordinating with GPO and other institutions
to minimize duplication of effort for scanning of government
documents. The National Digital Newspaper Program (NDNP) is
another example of cost-sharing; in this case, between the
Library and NEH. We have also received a $2 million grant from
the Sloan Foundation to digitize book collections, providing
the Library with the opportunity to digitize items that are
physically deteriorating, including brittle and difficult-to-
scan materials. We continue to evaluate projects to digitize
specific sets of material, including exploring a collaborative
project with NOAA to digitize 30,000 coastal survey maps.
--Born Digital Content.--The NDIIPP program model also follows an
approach of shared costs, risks and expertise with networks of
partners especially skilled with specific content types to save
at-risk born digital content. These Partners also have been
instrumental in developing the technical infrastructure and
tools necessary for the collection and preservation of digital
content. Expert communities are forming around specific content
types such as geospatial. The Library will need to partner with
these communities for secure and enduring access to valuable
content.
--Electronic Deposit.--A goal of the Copyright Office's multi-year
reengineering project is to increase the acquisition of digital
materials for the Library's collections. The Copyright Office
is encouraging remitters to file e-service registrations
including, where appropriate, submission of deposit copies and
partnering with other Library service units in an eJournals
eDeposit project.
--Digital Content Management Requirements and Standards.--The Library
has been working with other public sector entities to develop
common requirements for the management of digital content from
initial ingest through long-term access and preservation.
Question. As the Library's digital collections grow, how will the
Library balance the public's interest in more easily accessing the
Library's collections through means such as the internet against the
need to protect the intellectual property of authors?
Answer. It may be impossible with today's technology to make an
item from the Library's digital collections available to the general
public via the Internet and at the same time prevent the making of
unauthorized copies. It is also important to strike the proper balance
in regard to public access to the Library's digital acquisitions and
the copyright owner's incentives to create. To the extent that the
public's access would interfere or compete with the traditional markets
of a copyright owner, such access could have a negative effect on the
goal of copyright--to encourage the creativity of authors. The Library
will need to do more research on the feasibility of rendering
information via the Internet both in a format that will not allow
storing or printing of the information and in a manner that does not
interfere with a copyright owner's traditional markets. In the
meantime, the availability of digital works in the Library's
collections may need to be limited to on-site delivery. Policy will
also need to be prepared covering inter-library loan of digital works.
Question. The exceptions to copyright law granted to libraries and
archives under Section 108 of the Copyright Act may need to be amended
to address access to digital materials. How can the suggested
recommendations from the March 2008 Section 108 Study Group Report help
the Library and others sufficiently deal with challenges arising from
digital technology?
Answer. The Copyright Office has commenced a review of the Section
108 Study Group Report and associated recommendations. As a preliminary
observation, we note that most of the recommendations address
preservation activities. As the Office moves forward, it will focus on
the recommendations but will also study and seek comment on additional
issues, including the ability of libraries to make copyrighted works
more accessible.
Question. As the national Library, how is the Library providing
leadership in the development of standards regarding digital content
conventions?
Answer. Federal Agency Digitization Working Group Leadership.--In
early 2007 the Library convened several Federal agencies (now numbering
ten) to formulate a collective set of guidelines for digitization of
images and, more recently, audio and video. The primary objective of
the Federal Agency Digitization Working Group is to define the
landscape in which standards guidelines were needed, and identify and
prioritize ``gaps'' to be filled over time. These guidelines will be
objectives based, i.e., they will be based on the purpose of the scan
and the material involved, as a ``one size fits all'' approach does not
apply. The group also will be formulating guidelines for metadata to be
embedded within digitized images. The member agencies of the Federal
Agency Still Images Digitization Working Group are LC, NARA, GPO, NLM,
NAL, Smithsonian, National Gallery of Art, NTIS, National Geological
Survey, and NTA. The Audio/Video subgroup currently comprises LC, DOT,
GPO, NLM, NARA, NPS, and the Smithsonian.
Digitization Guidelines.--The Library developed guidelines in the
1990's for digitization of text, image, microfilm, audio and video.
Those guidelines continue to be updated, and are available on the
Library's Web site.
Metadata Standards Leadership.--For many years Library Services in
the Library has been a leader in the development of rules and formats
for describing resources--and for the last 10 years we have focused
more of these efforts on harnessing retrieval of digital content. The
cataloging rules are being revamped to be more accommodating to digital
content; the formats for metadata have been enriched for digital
content description and for linking to the digital resources described.
A new Web compatible format for describing digital resources, Metadata
Object Description Schema (MODS), has been developed under the
leadership of the Library since 2002 in collaboration with the
community and is being widely used in digital projects across the
United States. The Library has also teamed with the community to
develop standards for ``wrapping'' digital resources so that they can
be preserved and used in different systems, Metadata Encoding and
Transmission Standard (METS), and the Library serves as the official
home for that standard. Several standards for technical metadata (MIX
and textMD) that are essential in the METS wrapper are also maintained
by Library Services for and with the community. Library Services played
and continues to play a leading role in the development of an important
standard for preservation metadata related to digital resources,
PREMIS, a major step forward in the struggle to assure the preservation
of electronic media. The Library has become a center of activity for a
variety of standards that are helping U.S. institutions collect and
serve digital material because the Library is considered a stable and
trusted home for these emerging and essential standards
Web Archiving Tools.--The Library has supported the development of
web archiving capture tools that reduce the volume of redundant data
captured for frequently collected web sites. This is the SmartCrawler
being developed at Internet Archive in partnership with the British
Library and the Bibliotheque Nationale de France.
Tools Development for Automated Evaluation and Validation of Image
Files.--The Library has been working to develop methods and tools to
perform automated evaluation and validation of the digital image
files--verifying against both encoding and metadata guidelines and a
comprehensive set of image characteristics. One tool (the Configurable
Image Validator) is in production and the other (the Digital Image
Conformance Evaluation system) is in beta testing. Both tools are based
on flexible profiles that can be changed as guidelines evolve and
expand.
Question. How will the trend toward digital content affect the
Library's costs in terms of information technology infrastructure and
management and human capital requirements?
Answer. The cost implications are significant. Increased content
requires increases in servers, storage, software and the maintenance to
support the additional hardware and software. Additional labor in the
form of FTEs or contractors will also be required to manage the growing
repositories. All of the growth will also be subject to technical
refreshment every 3-5 years and requires continuing migration of the
content to new or upgraded repositories, access systems, and services.
To the extent resources allow, the Library is continually evolving
and enhancing its technical infrastructure to support the increased
volume and diversity of digital content. The Library employs multiple
storage strategies to deal with the volume, diversity, and access
requirements for the content. As the expectations for access to digital
content rise, the costs for preservation rise. A dark archive with
curator-only access costs less than a publicly available archive with a
variety of user services where more expensive storage, servers,
indexing services, and user interface development are required for
highly-available public dissemination. Thus, our infrastructure
strategies will be driven by the type and frequency of access, as well
as the underlying data needs. For instance, tape-based repositories
would be employed for content only available via fair use or other
restrictions. Non-Copyright protected content that would be in high
public demand would be stored on our fastest disk retrieval
repositories. In all cases, the Library plans for the requirement to
ensure the integrity of the underlying content and its accompanying
metadata for future users.
Question. What are the implications for the cost of managing the
paper collections.
Answer. The cost of managing the paper collections will not be
affected by growth in the creation and distribution of digital content.
The legacy collections will always require careful management and
preservation and publishers are expected to continue to produce needed
content in book form for years to come, thus adding to the costs of
preserving the rising numbers of analog materials.
The Library already acquires much digital content on CDs, DVDs and
CD-ROMs. The challenge is electronically delivered digital content.
Such content, in the form of digital files in various formats, includes
electronic books and journals, audio recordings, audiovisual works,
photographs, GIS and other data. Presently the Library is experimenting
with eDeposit for eJournals, as part of a strategic effort to build a
digital repository for copyright deposits acquired by the Library for
its collections. The Copyright Office is acquiring many works as
digital files through its eService; however, where the work is
published in a physical form, physical copies must be deposited. The
Library could get works published online through the copyright deposit
system. However, for preservation and access purposes, the Library
would like to have the authority to receive digital files that best
serve its purposes. Pre-publication versions, rather than the published
versions, appear to be preferable. If the law is amended to permit the
Library to acquire these pre-publication versions and their relevant
metadata, then the amount of e-content available to researchers will
rise dramatically.
Question. What are the cost implications for preserving and making
available digital content?
Answer. Digital content is frequently additive and not a substitute
for the Library's analog collections. The management, storage and
preservation of digital content will result in new and different costs
for the Library. Investments are needed in not only the underlying
technical infrastructure, but also new life cycle management processes
and staff expertise to effectively provide stewardship of digital
content over very long time frames. The Library will need to define how
digital content is to be stored, normalized, and made available and
define and implement an infrastructure that protects the content,
stores it in a cost effective repository infrastructure, and make it
available through an access management protocol that prevents
unauthorized copying.
In contrast to the management of analog materials, the requirements
and cost factors for digital materials are increasingly leading to a
multi-layer architecture with modular services as most cost-effective
for specific purposes. For example, services (including servers,
storage and software) for public access systems are different from
those provided for digital content indexing and pre-processing, and
different from those provided for long-term preservation storage.
Digitization has been, and largely remains, an access strategy. We
are committed to making as much material as possible freely available.
Having said that, though, there is a huge secondary preservation
benefit to digitizing our materials, especially those that are rare or
unique. Being able to offer high quality images instead of serving the
physical materials saves considerable wear and tear on the originals,
so that we are in effect helping to preserve the originals by serving
their digital surrogates.
In some cases, though, digitization itself serves a direct
preservation purpose. This is easiest to see in the case of brittle
materials, where the physical items themselves have deteriorated, and
digitization in effect provides a replacement copy.
Because we have made such a considerable investment in our
digitized materials, preservation of those digitized materials is
itself a concern. By carefully weighing decisions about available
formats, and working to provide metadata for identifying the content
and characteristics of those files, we ensure that our digital
investments will be sustainable over the long term. However, these
materials do constitute an additional body of digital content for which
we then become responsible.
Question. Has the Library considered accepting digital content as a
substitute for paper content for certain categories of its collections?
Answer. The Library expects to acquire born digital (digital only)
content in greater amounts as such content becomes increasingly
available. Such content includes electronic books and journals, motion
pictures, audio recordings, photographs, and GIS data. Presently, the
Library is experimenting with an eDeposit for eJournals project as part
of a strategic effort to build a robust electronic copyright deposit
system for the acquisition of electronic content and associated
metadata. As the Copyright Office implements demand deposits of content
in digital format, the amount of e-content available to researchers
will rise dramatically. However, the Library does not at this time
expect to substitute digital surrogates for published paper copies.
Question. The Open Content Alliance is a collaborative effort of a
group of cultural, technology, nonprofit, and governmental
organizations seeking to build a permanent archive of multilingual
digitized text and multimedia content. How does this relate to the
Library's NDIIPP efforts? What is LOC doing to work with the Open
Content Alliance?
Answer. The Library received $2 million from the Alfred P. Sloan
Foundation in support of a ``Digitizing American Imprints'' project, to
work with the Internet Archive and the Open Content Alliance to
digitize public domain books from the General Collections.
Specifically, the Library proposed to concentrate on materials from the
Genealogy and Local History collections as well as the American History
collection. Materials scanned as part of that project will be
incorporated into the digital collections made available by the Open
Content Alliance.
The project uses the scanning technology of the Open Content
Alliance. The Library is currently processing these materials with ten
scanning stations owned and operated by the Internet Archive. The
Library also is working with a number of other Open Content Alliance
institutions (e.g., the Smithsonian Institute, the Missouri Botanical
Garden, and the Boston Library Consortium) to develop solutions to
address the challenges of large scale book digitization.
The Library also has other book digitization agreements.
NDIIPP focuses on building a network of institutions to collect and
preserve materials that are born digital or already exist in digital
form. There is no direct relationship between NDIIPP and the Open
Content Alliance.
CONCLUSION OF HEARING
Senator Landrieu. Again, thank you all for your service to
the Capitol and to the country. We appreciate it greatly. Thank
you.
Meeting recessed.
[Whereupon, at 4:50 p.m., Wednesday, April 30, the hearing
was concluded and the subcommittee was recessed, to reconvene
subject to the call of the Chair.]
MATERIAL SUBMITTED SUBSEQUENT TO THE HEARING
[Clerk's Note.--The following testimonies were received by
the Subcommittee on the Legislative Branch for inclusion in the
record.
The subcommittee requested that agencies provide written
testimony because, given the Senate schedule, there was not
enough time to schedule separate hearings for these agencies.]
U.S. SENATE
Office of the Secretary
Prepared Statement of Nancy Erickson, Secretary of the Senate
Madam Chairwoman, Senator Alexander, 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 2009.
It is a pleasure to have this opportunity to draw attention to the
accomplishments of the dedicated and outstanding employees of the
Office of the Secretary. The annual reports which follow provide
detailed information about the work of the 26 departments of the
office, their recent achievements, and their plans for the upcoming
fiscal year.
My statement includes: Presenting the fiscal year 2008 budget
request; implementing mandated systems, financial management
information system (FMIS) and legislative information system (LIS);
continuity of operations planning; and maintaining and improving
current and historic legislative, financial and administrative
services.
presenting the fiscal year 2009 budget request
I am requesting a total fiscal year 2009 budget of $26,020,000. The
request includes $24,020,000 in salary costs and $2,000,000 for the
operating budget of the Office of the Secretary. The salary budget
represents an increase of $1,632,000 over the fiscal year 2008 budget
as a result of the costs associated with the annual cost of living
adjustment and targeted merit awards that are associated with our
Employee Feedback and Development Plans. The operating budget remains
the same as our request in fiscal year 2008.
The net effect of my total budget request for 2009 is an increase
of $1,632,000.
Our request is consistent with the amounts requested and received
in recent years through the Legislative Branch Appropriations process.
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
Items fiscal year estimates Difference
2008, Public fiscal year
Law 110-161 2009
----------------------------------------------------------------------------------------------------------------
Departmental operating budget:
Executive office............................................ $550,000 $1,390,000 +$60,000
Administrative services..................................... $550,000 $1,390,000 +$60,000
Legislative services........................................ $550,000 $1,390,000 +$60,000
-----------------------------------------------
Total operating budget.................................... $2,000,000 $2,000,000 ..............
----------------------------------------------------------------------------------------------------------------
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 140 Senate offices. Consistent with our strategic plan,
the Disbursing Office continues to modernize processes and applications
to meet the continued demand by Senate offices for efficiency,
accountability and ease of use. Our goals are to move to an integrated,
paperless voucher system, improve the Web FMIS system, and make payroll
and accounting system improvements.
During fiscal year 2007 and the first half of fiscal year 2008,
specific progress made on the FMIS project included:
--Web FMIS was upgraded twice, once in August 2007 and again in
November 2007. This system is used by Office Managers and
Committee Clerks to create vouchers and manage their office
funds, by the Disbursing Office to review vouchers and by the
Committee on Rules and Administration to sanction vouchers. The
two releases provided both technical and functional changes.
The August release provided a new look, additional
functionality, and ease of use features to the application's
web pages. The budget function within the application was also
completely re-written to simplify budget entry. The November
release permitted the start of three pilot programs. The first
pilot permitted vendors paid by direct deposit to receive e-
mail messages providing necessary account information to
properly credit their accounts. The second pilot incorporated
the functionality of the Senate Automated Vendor Inquiry (SAVI)
System into Web FMIS, simplifying the systems architecture. The
third pilot enabled the Disbursing Office to remit, via direct
deposit, quarterly State tax payments to States.
--The computing infrastructure for FMIS is provided by the Sergeant
at Arms (SAA). Each year the SAA staff upgrades the
infrastructure hardware and software. Three major upgrades were
accomplished during the last year. The first, upgrading the
mainframe operating software from Z/OS version 1.4 to version
1.7. The second, upgrading the FMIS database software, from DB2
version 8 to version 8.1. The third, upgrading the Web Sphere
software from v 6.0.2 to v 6.1. For each activity, the
Disbursing staff tested the changes in the FMIS testing
environment and then validated the changes in the production
environment.
--Disaster operation services for FMIS are provided at the Alternate
Computer Facility (ACF). In both August 2007 and December 2007,
the SAA conducted disaster recovery tests of the Senate's
computing facilities, including FMIS functions. The test
involved switching the Senate's network from accessing systems
at the Primary Computer Facility (PCF), to the ACF, and
powering down the PCF. The August test permitted the Disbursing
staff a two-hour functional testing window. Within this time,
Disbursing successfully tested all critical on-line components
of FMIS, including Payroll, ADPICS, FAMIS, SAVI, Web FMIS, and
Checkwriter. The December test allotted a longer test window,
permitting a more complete and thorough testing of all of the
different components including critical batch processes which
had not been accomplished in our previous tests.
During the remainder of fiscal year 2008 the following FMIS
activities are anticipated:
--Implementing the release focused on eliminating the partial use of
employee social security number as part of each employee's
identification number. A new employee identification number
will be established within our payroll system and this change
will be incorporated and passed onto other integrated systems.
--Implementing an imaging prototype to better assess system,
application and functional requirements.
--Completing analysis of the appropriate hardware/software
acquisition strategy for electronic signatures, and imaging of
supporting documentation, and beginning acquisition.
--Implementing on-line distribution of payroll system reports.
--Implementing e-mail notification to additional vendors of payments
made via direct deposit after the successful completion of the
pilot program.
--Participating in the yearly disaster recovery test.
During fiscal year 2009 the following FMIS activities are
anticipated:
--Conducting a pilot of the technology for paperless payment. This
assumes identification of satisfactory hardware and software
for electronic signatures and imaging of supporting
documentation, and resolution of related policy and process
issues.
--Continuing the implementation and the required updates to the
Hyperion Financial Management application to provide the Senate
the ability to produce auditable financial statements.
--Continue the implementation of on-line financial reports.
A more detailed report on FMIS is included in the departmental
report of the Disbursing Office.
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. The Clerk of
the House and I continue to facilitate periodic meetings with senior
staff of the joint leadership of Congress to address issues that might
impact the status of the project or the operation of Congress in
general.
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 continued to support the Senate's
emergency preparedness program throughout 2007. The Secretary's staff
participated in the planning and conduct of nine emergency preparedness
and continuity of operations (COOP) exercises last year. In July, we
reviewed the requirements and challenges of conducting legislative
business at an alternate location with the Clerk of the House. Later
that month, we worked with the Office of the Sergeant at Arms to set up
a functioning Senate chamber at an offsite location. The offices of the
Secretary and the Sergeant at Arms continue to work with the House of
Representatives to refine existing plans for offsite alternate
chambers.
In December of 2007, a joint discussion took place on ensuring the
continuity of the legislative process in the event that both Congress
and the Presidency must operate from alternate locations. Legislative
staff of the Secretary of the Senate and the Clerk of the House were
joined by White House staff to work out procedural and logistical
issues which might arise in such a contingency. This was a productive
meeting, and it is hoped that it will become an annual event. Other
joint exercises with the Executive Branch are planned.
The Secretary's staff worked on a joint effort with the Sergeant at
Arms to create a software application to automate the production and
maintenance of COOP plans. That project is expected to be completed in
June of this year.
legislative offices
The Legislative Department of the Office of the Secretary of the
Senate provides the support essential to Senators to carry out their
daily chamber activities and 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, which are supervised by the Secretary through the Director of
Legislative Services. The Parliamentarian's office is also part of the
Legislative Department of the Secretary of the Senate.
Experienced veterans of the Secretary's office supervise each of
the nine offices within the Legislative Department. The average length
of service of legislative supervisors in the Office of the Secretary of
the Senate is 19 years. The experience of these senior professional
staff is a great asset for the Senate. In order to ensure well-rounded
expertise, the legislative team cross-trains extensively among their
specialties.
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 keeps this information in
its handwritten files and ledgers and also enters it into the Senate's
automated retrieval system so that it is available to all House and
Senate offices through the Legislative Information System (LIS). The
Bill Clerk records actions of the Senate with regard to bills,
resolutions, reports, amendments, cosponsors, public law numbers, and
recorded votes. In addition, 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 into the database more than 2,000
additional legislative items and more than 75 additional roll call
votes than in the previous congress' first session, for an overall
percentage increase of slightly more than 32 percent. Only three
legislative categories (Senate Joint Resolutions introduced, Senate
Concurrent Resolutions submitted, and House Joint Resolutions received)
saw no change or a small decline in activity. In contrast, three other
categories (Amendments submitted, House Bills received, and Measures
Reported) saw significant increases in activity. For comparative
purposes, below is a summary of the first sessions of the 109th and
110th Congresses:
------------------------------------------------------------------------
109th 110th
Congress, Congress, Percent
1st Session 1st Session change
------------------------------------------------------------------------
Senate bills.................. 2,169 2,524 +16.367
Senate Joint Resolutions...... 27 27 ............
Senate Concurrent Resolutions. 75 64 -14.667
Senate Resolutions............ 347 418 +20.461
Amendments submitted.......... 2,695 3,892 +44.416
House bills................... 286 513 +79.371
House Joint Resolutions....... 11 9 -18.182
House Concurrent Resolutions.. 88 93 +5.682
Measures reported............. 286 428 +49.650
Written reports............... 212 254 +19.811
-----------------------------------------
Total legislation....... 6,196 8,222 +32.699
=========================================
Roll Call Votes............... 366 442 +20.765
House Messages \1\............ 225 263 +16.889
Cosponsor Requests \2\........ 7,000 8,859 +26.557
------------------------------------------------------------------------
\1\ This number reflects how many messages from the House are typed up
by the Bill Clerks for inclusion in the Congressional Record. It
excludes additional activity on these bills.
\2\ This number reflects how many cosponsors were input and subsequently
appear in the Congressional Record.
Assistance from the Government Printing Office
The Bill Clerk's staff maintains a good working relationship with
the Government Printing Office (GPO) and seeks to provide the best
service possible to meet the needs of the Senate. GPO continues to
respond in a timely manner to the Secretary's requests, through the
Bill Clerk's office, for the printing of bills and reports, including
the expedited printing of priority matters for the Senate chamber. To
date, at the request of the Secretary through the Bill Clerk, GPO
expedited the printing of 83 measures for floor consideration by the
Senate during the first session of the 110th Congress.
office of captioning services
The Office of Captioning Services provides realtime captioning of
Senate floor proceedings for the deaf and hard-of-hearing and
unofficial electronic transcripts of Senate floor proceedings for
Senate offices on Webster, the Senate intranet.
General Overview
Captioning Services strives to provide the highest quality closed
captions, and year after year the office demonstrates it is up to the
challenge. For the 14th year in a row, the office has achieved an
overall accuracy average above 99 percent. Overall caption quality is
monitored through daily Translation Data Reports, monitoring of
captions in realtime, and review of caption files on Webster.
The real-time searchable Closed Caption Log, available to Senate
offices on Webster, continues to be an invaluable tool. Legislative
staff, in particular, have come to depend upon its availability,
reliability and content to help in the performance of their duties. The
Senate Recording Studio is in the process of updating the Closed
Caption Log software, which has not been updated since it was developed
more than a decade ago.
Continuity of operations planning (COOP) and preparation continues
to be a top priority to ensure that the office staff is prepared and
confident about the ability to relocate and successfully function from
a remote location in the event of an emergency.
Capitol Visitor Center Update
The office continues to prepare and plan for its relocation to the
Senate expansion space in the Capitol Visitor Center (CVC), where it
will be housed with the Senate Recording Studio.
senate 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 (LIS) all
official actions taken by Senate committees on legislation,
nominations, and treaties;
--To publish in the Daily Digest a listing of all legislation which
has become public law;
--To publish on the first legislative day of each month in the Daily
Digest a ``Resume of Congressional Activity'' which includes
all congressional statistical information, including days and
time in session; measures introduced, reported and passed; and
roll call votes. (See Chart--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 1,005 meetings during the first session of
the 110th Congress, 89 more than were held during the first session of
the 109th Congress.
All hearings and business meetings (including joint meetings and
conferences) are scheduled through the Office of the Senate Daily
Digest, published in the Congressional Record, and entered in LIS.
Meeting outcomes are also published by the Daily Digest in the
Congressional Record each day.
Chamber Activity
During the first session of the 110th Congress, the Senate was in
session 189 days, for a total of 1,375 hours and 54 minutes, and
conducted 6 live quorum calls and 442 record votes. (See Attachment for
20-Year Comparison of Senate Legislative Activity)
Computer Activities
The Digest replaced its WordPerfect-based system for creating the
Daily Digest with a new Word-based system that has shortened the time
it takes to create the Digest and send it to the Government Printing
Office (GPO). Information Systems staff, working closely with Daily
Digest staff, developed a Daily Digest Authoring System to provide the
Daily Digest with structured methods for creating, editing, and
managing files.
The Digest continues the practice of sending a disc along with a
duplicate hard copy to GPO. GPO receives the Digest copy by electronic
transfer, which promotes the timeliness of publishing the Congressional
Record. The Digest office continues to feel comfortable with this
procedure, both to allow the Digest Editor to physically view what is
being transmitted to GPO, and to allow GPO staff to have a comparable
final product to cross reference.
The Digest office continues to work closely with Senate computer
staff to refine the LIS document management system. The Digest is
pleased to report that all refinements made to the Senate Committee
Scheduling application have been successfully implemented.
Government Printing Office
The Daily Digest staff continues to work with GPO on issues related
to the printing of the Digest; with the onset of electronic transfer of
the Digest copy, occurrences of editing corrections or transcript
errors are infrequent. Discussions with GPO continue regarding page
references inserted by GPO.
DATA ON LEGISLATIVE ACTIVITY--SECOND SESSION, 109TH CONGRESS
[January 4, 2007 through December 31, 2007]
----------------------------------------------------------------------------------------------------------------
Senate House Total
----------------------------------------------------------------------------------------------------------------
Days in Session................................................. 190 164 ..............
Time in Session................................................. 1,375hrs 54" 1,477hrs 52" ..............
Congressional Record:
Pages of proceedings........................................ S16071 H16951 ..............
Extension of remarks........................................ .............. E2664 ..............
Public bills enacted into law................................... 30 108 ..............
Private bills enacted into law.................................. .............. .............. ..............
Bills in conference............................................. 5 7 ..............
Measures passed, total \1\...................................... 621 1,127 1,748
Senate bills................................................ 102 44 ..............
House bills................................................. 147 516 ..............
Senate joint resolutions.................................... 5 3 ..............
House joint resolutions..................................... 6 8 ..............
Senate concurrent resolutions............................... 28 9 ..............
House concurrent resolutions................................ 32 94 ..............
Simple resolutions.......................................... 301 453 ..............
Measures reported, total \1\.................................... 422 486 908
Senate bills................................................ 257 2 ..............
House bills................................................. 72 328 ..............
Senate joint resolutions.................................... 5 .............. ..............
House joint resolutions..................................... 1 .............. ..............
Senate concurrent resolutions............................... 8 .............. ..............
House concurrent resolutions................................ 6 7 ..............
Simple resolutions.......................................... 73 149 ..............
Special reports................................................. 22 8 ..............
Conference reports.............................................. 1 12 ..............
Measures pending on calendar.................................... 333 48 ..............
Measures introduced, total...................................... 3,033 6,194 9,227
Bills....................................................... 2,524 4,930 ..............
Joint resolutions........................................... 27 75 ..............
Concurrent resolutions...................................... 64 278 ..............
Simple resolutions.......................................... 418 911 ..............
Quorum calls.................................................... 6 9 ..............
Yea-and-nay votes............................................... 442 648 ..............
Recorded votes.................................................. .............. 529 ..............
Bills vetoed.................................................... 1 5 ..............
Vetoes overridden............................................... 1 1 ..............
----------------------------------------------------------------------------------------------------------------
\1\ These figures include all measures reported, even if there was no accompanying written report. A total of
253 written reports have been filed in the Senate, a total of 506 reports have been filed in the House.
20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1988 1989 1990 1991 1992 1993 1994 1995 1996 1997
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Senate Convened..................................... 1/25 1/3 1/23 1/3 1/3 1/5 1/25 1/4 1/3 1/3
Senate Adjourned.................................... 10/21 11/21 10/28 1/3/92 10/9 11/26 12/01 1/3/96 10/4 11/13
Days in Session..................................... 137 136 138 158 129 153 138 211 132 153
Hours in Session.................................... 1,12648" 1,00319" 1,25014" 1,20044" 1,09109" 1,26941" 1,24333" 1,83910" 1,03645" 1,09307"
Average Hours per Day............................... 8.2 7.4 9.1 7.6 8.5 8.3 9.0 8.7 7.8 7.1
Total Measures Passed............................... 814 605 716 626 651 473 465 346 476 386
Roll Call Votes..................................... 379 312 326 280 270 395 329 613 306 298
Quorum Calls........................................ 26 11 3 3 5 2 6 3 2 6
Public Laws......................................... 473 240 244 243 347 210 255 88 245 153
Treaties Ratified................................... 15 9 15 15 32 20 8 10 28 15
Nominations Confirmed............................... 42,317 45,585 42,493 45,369 30,619 38,676 37,446 40,535 33,176 25,576
Average Voting Attendance........................... 91.58 98.0 97.47 97.16 95.4 97.6 97.02 98.07 98.22 98.68
Sessions Convened Before 12 Noon.................... 120 95 116 126 112 128 120 184 113 115
Sessions Convened at 12 Noon........................ 12 14 4 9 ............ 6 9 2 15 12
Sessions Convened after 12 Noon..................... 5 27 17 23 10 15 17 12 7 7
Sessions Continued after 6 p.m...................... 37 88 100 102 91 100 100 158 88 96
Sessions Continued after 12 Midnight................ 7 9 13 6 4 9 7 3 1 ............
Saturday Sessions................................... ............ 1 3 2 2 2 3 5 1 1
Sunday Sessions..................................... ............ ............ 2 ............ ............ ............ ............ 3 ............ 1
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY--Continued
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
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Senate Convened..................................... 1/27 1/6 1/24 1/3 1/23 1/7 1/20 1/4 1/3 1/4
Senate Adjourned.................................... 10/21 11/19 12/15 12/20 11/20 12/9 12/8 12/22 12/9 12/31
Days in Session..................................... 143 162 141 173 149 167 133 159 138 189
Hours in Session.................................... 1,09505" 1,18357" 1,01751" 1,23615" 1,04223" 1,45405" 1,03131" 1,22226" 1,02748" 1,37554"
Average Hours per Day............................... 7.7 7.3 7.2 7.1 7.0 8.7 7.7 7.7 7.4 7.2
Total Measures Passed............................... 506 549 696 425 523 590 663 624 635 621
Roll Call Votes..................................... 314 374 298 380 253 459 216 366 279 442
Quorum Calls........................................ 4 7 6 3 2 3 1 3 1 6
Public Laws......................................... 241 170 410 136 241 198 300 169 248 142
Treaties Ratified................................... 53 13 39 3 17 11 15 6 14 8
Nominations Confirmed............................... 20,302 22,468 22,512 25,091 23,633 21,580 24,420 25,942 29,603 22,892
Average Voting Attendance........................... 97.47 98.02 96.99 98.29 96.36 96.07 95.54 97.41 97.13 94.99
Sessions Convened Before 12 Noon.................... 109 118 107 140 119 133 104 121 110 156
Sessions Convened at 12 Noon........................ 31 17 25 10 12 4 9 1 4 4
Sessions Convened after 12 Noon..................... 2 19 24 21 23 23 21 36 24 32
Sessions Continued after 6 p.m...................... 93 113 94 108 103 134 129 120 129 144
Sessions Continued after 12 Midnight................ ............ ............ ............ 2 3 8 2 3 3 4
Saturday Sessions................................... 1 3 1 3 ............ 1 2 2 2 1
Sunday Sessions..................................... ............ ............ 1 ............ ............ 1 1 2 ............ 1
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Prepared by the Senate Daily Digest--Office of the Secretary.
DISPOSITION OF EXECUTIVE NOMINATIONS (110-1)
[From: 01/04/2007 to 12/31/2007]
------------------------------------------------------------------------------------------------------------------------------------------------
Civilian Nominations, totaling 490, disposed of as
follows:
Confirmed..................................... 276
Unconfirmed................................... 180
Withdrawn..................................... 31
Returned to White House....................... 3
Other Civilian Nominations, totaling 3,807,
disposed of as follows:
Confirmed..................................... 3,799
Unconfirmed................................... 8
Air Force Nominations, totaling 6,096, disposed of
as follows:
Confirmed..................................... 6,090
Unconfirmed................................... 5
Returned to White House 1
Army Nominations, totaling 6,721, disposed of as
follows:
Confirmed..................................... 6,698
Unconfirmed................................... 19
Returned to White House....................... 4
Navy Nominations, totaling 4,691, disposed of as
follows:
Confirmed..................................... 4,688
Unconfirmed................................... 3
Marine Corps Nominations, totaling 1,342, disposed
of as follows:
Confirmed..................................... 1,341
Unconfirmed................................... 1 SummaryTotal Nominations carried over from the First ....................
Session
Total Nominations Received this Session........... 23,147
Total Confirmed................................... 22,892
Total Unconfirmed................................. 216
Total Withdrawn................................... 31
Total Returned to the White House................. 8
------------------------------------------------------------------------
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. The Enrolling Clerk
physically transmits all Senate messages to the House of
Representatives.
During 2007, 43 enrolled bills (transmitted to the President) 3
enrolled joint resolutions (transmitted to the President) and 8
concurrent resolutions (transmitted to the Archives) were prepared,
printed, proofread, corrected, and printed on parchment.
Overall, a total of 1,041 pieces of legislation in one form or
another, were passed or agreed to by the Senate, and all were processed
from this office. The Enrolling Clerk prepared and delivered 205
messages from the Senate to the House of Representatives.
Throughout 2007, the Enrolling Clerk's staff continued to train and
work closely with the Legislative Information System (LIS) Project
Office in an effort to further implement the use of XML software
editors in the production of Senate documents.
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 Journal of the Executive
Proceedings of the Senate 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 office processes all executive communications,
presidential messages and petitions and memorials.
Nominations
During the first session of the 110th Congress, there were 1,174
nomination messages sent to the Senate by the President, transmitting
23,147 nominations to positions requiring Senate confirmation and 31
messages withdrawing nominations sent to the Senate during the first
session of the 110th Congress. Of the total nominations transmitted,
490 were for civilian positions other than lists in the Foreign
Service, Coast Guard, National Oceanic and Atmospheric Administration,
and Public Health Service. In addition, there were 3,807 nominees in
the ``civilian list'' categories named above. Military nominations
received this session totaled 18,850 (6,096--Air Force; 6,721--Army;
4,691--Navy; and 1,342--Marine Corps). The Senate confirmed 22,892
nominations this session. Pursuant to the provisions of paragraph six
of Senate Rule XXXI, eight nominations were returned to the President
during the first session of the 110th Congress.
Treaties
There were 10 treaties transmitted to the Senate by the President
during the first session of the 110th Congress for its advice and
consent to ratification. These were ordered printed as treaty documents
for the use of the Senate (Treaty Doc. 110-1 through 110-10).
The Senate gave its advice and consent to eight 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 nine executive reports relating to treaties ordered
printed for the use of the Senate during the first session of the 110th
Congress (Executive Report 110-1 through 110-9). The Senate conducted
30 roll call votes in executive session, all on or in relation to
nominations and treaties.
Executive Communications
For the first session of the 110th Congress, 4,531 executive
communications, 276 petitions and memorials and 33 Presidential
messages were received and processed.
Legislative Information System
The Executive Clerk consulted with the computer staff during the
year to improve the processing of nominations, treaties, executive
communications, presidential messages and petitions and memorials.
Additionally, the Executive Clerk worked closely with the
Legislative Information System staff of the Sergeant at Arms (SAA) in
the development of the new program for processing the nomination lists
through a Web-based application which can be done entirely by the
Executive Clerk, freeing the SAA programmers from this responsibility.
It has proved to be a time and cost effective method of managing the
nomination lists from the Pentagon, and the Departments of State,
Commerce, and Health and Human Services.
journal clerk
The Journal Clerk takes notes of the daily legislative proceedings
of the Senate in the ``Minute Book'' and prepares a history of bills
and resolutions for the printed Journal of the Proceedings of the
Senate, or Senate Journal, as required by Article I, Section V of the
Constitution. The Senate Journal is published each calendar year, and
in 2007 the Journal Clerk completed the production of the 923 page 2006
edition.
The Journal staff take 90-minute turns at the rostrum in the Senate
chamber, noting the following 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 at the end of each
calendar year of the Senate Journal.
The LIS Senate Journal Authoring System continues to be updated as
needed to further assist in the efficiency of production. The 2007
Senate Journal is expected to be sent to GPO for printing at the end of
May 2008.
official reporters of debates
The Office of the Official Reporters of Debates is responsible for
the stenographic reporting, transcribing, and editing of the Senate
floor proceedings for publication in the Congressional Record. The
Chief Reporter acts as the editor-in-chief, and the Coordinator
functions as the technical production manager of the Senate portion of
the Record. The office staff interacts with Senate personnel on
additional materials to be included in the Record.
On a continuing basis, all materials to be printed in the next
day's edition of the Record are transmitted electronically and on paper
to the Government Printing Office (GPO). Each day roughly 90 percent of
transcript production for GPO is done electronically, thus
significantly reducing the time required by GPO to retype materials for
presentation in the Congressional Record by the next day. There were
many days during the year that the full Senate portion of the
Congressional Record was done electronically with no rekeying done by
the GPO. There was not one occasion in 2007 that the Congressional
Record was not delivered to the Senate by the following day at noon.
This year saw further procedural work in a pilot project to provide
on-line Record corrections. Trial efforts by this office showed that,
throughout the year, very few of such errors were found in the many
hundreds of thousands of words produced in the Congressional Record.
parliamentarian
The Parliamentarian's office continues to perform its essential
institutional responsibilities to act as a neutral arbiter among all
parties with an interest in the legislative process. These
responsibilities include advising the Chair, senators, and their staff,
as well as committee staff, House Members and their staffs,
administration officials, the media and members of the general public,
on all matters requiring an interpretation of the Standing Rules of the
Senate, the precedents of the Senate, unanimous consent agreements, as
well as provisions of public law affecting the proceedings of the
Senate.
The Parliamentarians work in close cooperation with the Senate
leadership and their floor staffs in coordinating all of the business
on the Senate floor. The Parliamentarian or one of his assistants is
always present on the Senate floor when the Senate is in session,
standing ready to assist the Presiding Officer in his or her official
duties, as well as to assist any other senator on procedural matters.
The Parliamentarians work closely with the staff of the Vice President
of the United States and the Vice President himself whenever he
performs his duties as President of the Senate.
The Parliamentarians serve as the agents of the Senate in
coordinating the flow of legislation with the House of Representatives
and with the President and ensure that enrolled bills are signed in a
timely manner by duly authorized officers of the Senate for
presentation to the President. The Parliamentarians are a critical
point of contact for emergency planning for representatives of the
President.
The Parliamentarians monitor all proceedings on the floor of the
Senate, advise the Presiding Officer on the competing rights of the
Senators on the floor, and advise all Senators as to what is
appropriate in debate. The Parliamentarians keep track of the
amendments offered to the legislation pending on the Senate floor, and
monitor them for points of order. In this respect, the Parliamentarians
reviewed more than 1,000 amendments during 2007 to determine if they
met various procedural requirements (such as germaneness). The
Parliamentarians also reviewed thousands of pages of conference reports
to determine what provisions could appropriately be included therein.
The Office of the Parliamentarian is responsible for the referral
to the appropriate committees of all legislation introduced in the
Senate, all legislation received from the House, as well as all
communications received from the executive branch, State and local
governments, and private citizens. In order to perform this
responsibility, the Parliamentarians do extensive legal and legislative
research. During 2007, the Parliamentarian and his assistants referred
3,177 measures and 4,839 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. As in previous years, the office
continues to address the jurisdictional questions posed by the creation
of the Department of Homeland Security, by the adoption of S. Res. 445
reorganizing intelligence and homeland security jurisdiction of the
Senate's committees, and by the enactment of the Intelligence Reform
and Terrorism Prevention Act of 2004. The Parliamentarians have made
dozens of decisions concerning the department's responsibilities.
During all of 2007, the Parliamentarians reviewed a myriad of
drafts of the ethics reform proposals before they were finally adopted
into law. The Parliamentarians now have the responsibility for
potentially reviewing every provision of every bill, joint resolution,
or conference report considered by the Senate for the presence of
earmarks, as well as to advise whether the conferees exceeded their
authority in including any provision in a conference report.
The Parliamentarian's office hopes to complete a Supplement to the
Senate Precedents by the end of this Congress. This is an enormous
undertaking, but will be a valuable resource for Members and their
legislative staff.
During 2007, the Parliamentarians again (as they have in the past)
conducted a comprehensive seminar for Senate staff on Senate procedure,
under the joint auspices of the Secretary of the Senate and Sergeant-
at-Arms. This seminar was videotaped for ongoing use by the Senate as
an institutional teaching tool.
financial operations
disbursing office
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 offices of the United States Senate and
to Members and employees of the Senate. The Senate Disbursing Office
manages the collection of information from the distributed accounting
locations within 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 and provides responsive, personal attention to
Members and employees on an unbiased and confidential basis. The Senate
Disbursing Office also manages the distribution of central financial
and human resource information to the individual Member offices,
committees, administrative and leadership offices in the Senate while
maintaining the confidentiality of information for Members and Senate
employees.
The organization is structured 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 judgment, and interpersonal skills that
reflect the unique nature of the United States Senate.
Executive Office
The primary responsibilities, among others, of the Executive Office
are to:
--oversee the day-to-day operations of the Disbursing Office (DO);
--respond to any inquiries or questions that are presented;
--maintain fully and properly trained staff;
--safeguard the staff as well as the assets of the Secretary of the
Senate;
--ensure that the office is prepared to respond quickly and
efficiently to any disaster or unique situation that may arise;
--provide excellent customer service;
--assist the Secretary of the Senate in the implementation of new
legislation affecting any of her departments; and
--handle all information requests from the Committee on
Appropriations and Committee on Rules and Administration.
This year the Executive Office arranged with the Senate Office of
Orientation and Training to conduct a customer service presentation. We
also coordinated specialized training in the ADPICS and FAMIS systems
for the Sergeant at Arms (SAA) Finance Staff. In addition, all staff
attended the new ethics training and the office participated in all of
the Senate continuity of operations (COOP) exercises as well as two
disaster recovery exercises performed last year.
As a result of the change in majority, the Executive Office issued
more than 200 letters to staff explaining the requirements of displaced
staff as authorized by applicable Senate Resolutions. This was the
first election year cycle where so many offices were affected. At the
same time, we prepared and arranged for the distribution of retroactive
cost of living adjustment (COLA) letters and issued budget letters to
the 140 Senate accounting locations when the full year continuing
resolution was passed.
The Executive Office was involved in the coordination of the
Government Accountability Office cash count of the Financial Services
office (Front Office) operations and provided all of the requested
information for the agreed-upon procedural review of the Office of
Public Records. Both offices received a clean bill of health.
Staff provided assistance to numerous Senate offices in making
estimates before the end of the fiscal year, particularly in the
preparation of payroll assumptions. In addition, the office prepared an
account analysis of all expenditures and transfers from 1990 to 2007
for the Senate Collection.
Deputy for Benefits and Financial Services
The principal responsibility of this position is to provide
expertise and oversight on Federal retirement, benefits, payroll, and
financial services processes. Coordination of the interaction between
the Front Office, Employee Benefits, and Payroll sections is also a
major responsibility of the position, in addition to the planning and
project management of new computer systems and programs. The deputy for
Benefits and Financial Services ensures that job processes are
efficient and up to date, modifies computer support systems as
necessary, implements regulatory and legislated changes, and designs
and produces up-to-date forms for use in all three sections.
General Activities
Implementation of the new Federal Employees Dental and Vision
Insurance Program (FEDVIP) took place in January. The implementation
was successful and proceeded smoothly. Expected follow-up trouble-
shooting and minimal fine-tuning of technical programming issues was
completed during January and February.
Oversight of the many issues resulting from the change in Senate
Majority was conducted from January through March. Incoming, outgoing
and transferring staff were processed and counseled and adjustments to
office allowances were processed. Research on the appropriate
Resolutions was conducted. Similar actions took place following the
death of Senator Craig Thomas of Wyoming and the resignation of Senator
Trent Lott of Mississippi.
After year-end processing of payroll for calendar year 2006, W-2
forms were issued promptly and made immediately available on the
Document Imaging System (DIS). After budget approval, the retroactive
employee COLA was processed over a 2-month period in March and April to
allow for make up of the retroactive portion due employees.
The new server for the DIS became fully operational early in 2007.
During the year, the deputy worked with SAA Technical Support to
determine additional DIS requirements to provide greater human
resources management system functionality and provide off-site access
to a wider array of payroll documents. The office intends to implement
these upgrades in 2008 and to complete plans to expand the scope of the
DIS to bring it into full compliance with COOP guidelines.
A major initiative is to eliminate the use of employee social
security numbers wherever possible. During 2007, the ``Social Security
Migration'' project was begun. The office has worked extensively with
SAA Technical Support to establish requirements and guidelines and
develop strategies for the payroll system side of this important
migration. Meetings and coordination have led to extensive testing,
programming and feedback. In addition, Disbursing has conducted
research and coordinated with internal Senate and external users on how
this migration will affect their end products and provided information
and test data so transitions will be smooth. Because the payroll system
``communicates'' with so many entities receiving and providing data,
this migration is a major project that requires extensive coordination.
The migration is anticipated for mid-2008.
The deputy and Payroll group worked with Disbursing's information
technology group, several SAA Technical Support groups and contractors
to establish the guidelines and specific requirements for the provision
of electronic payroll reports for Senate offices. Testing and
implementation of this project is scheduled for 2008.
Due to the increase in popularity and participation in the Student
Loan Program (SLP), the Financial Clerk and deputy dedicated time and
resources to establishing an SLP administrator position. In addition,
Disbursing was involved in extensive research with the Internal Revenue
Service (IRS) on guidelines affecting the taxability of reimbursements
to the Senate of SLP payments. Efforts were made to make the program
guidelines and administration clearer to participants and office
administrators.
In response to the passage of S. 1, the Honest Leadership and Open
Government Act of 2007, Disbursing staff coordinated with the staff of
the Office of Public Records and other offices of the Secretary as well
as SAA Technical Support to determine the requirements of the
legislation and prepare for implementation of those requirements.
Payroll system programming was established and tested to provide
compliance with the legislation within a very short timeframe.
Terminating employee notices were drafted and data for Web site
availability was provided. In compliance with the legislation, notices
were sent to terminating employees beginning in November and Web site
data was delivered before the end of the year.
Front Office--Administrative and Financial Services
The Front Office is the main service area of all general Senate
business and financial activity. The Front Office staff maintains the
Senate's internal accountability of funds used in daily operations.
Reconciliation of such funds is executed on a daily basis. The Front
Office staff also 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 Office is the first
line of service provided to senators, 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. Staff are also provided verbal and written
detailed information regarding pay and benefits. Advances are issued to
Senate staff authorized for official Senate travel. Cash and check
advances are entered and reconciled in Web FMIS. Repayment of travel
advances is executed after processing of certified expenses is
complete. 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 Office and become part of the Senate's
accountability of federally appropriated funds and are then processed
through the Senate's general ledger system.
General Activities
--Processed approximately 1,000 cash advances, totaling approximately
$900,000 and initialized 730 check/direct deposit advances,
totaling approximately $630,000.
--Received and processed more than 25,000 checks, totaling over
$2,200,000.
--Administered oath and personnel affidavits to more than 2,700 new
Senate staff and advised them of their benefits.
--Maintained brochures for 11 Federal health insurance carriers and
distributed approximately 4,100 brochures to new and existing
staff during the annual Federal Employees Health Benefits
(FEHB) Open Season.
--Provided 30 training sessions to new administrative managers.
The Front Office continues its daily reconciliation of operations
and strengthened internal office controls. New locks for cash drawers
were installed, allowing better central control of the cash
accountability. Training and guidance to new administrative managers
and business contacts continued, as did the incorporation of updates of
the scanning and imaging project into daily operations. A major
emphasis was placed on assisting employees in maximizing their Thrift
Savings Plan (TSP) contributions and making them aware of the TSP
catch-up program. The Front Office continued to provide the Senate
community with prompt, courteous, and informative advice regarding
Disbursing Office operations.
Payroll Section
The Payroll Section maintains the human resources management system
(HRMS) and is responsible for processing, verifying, and warehousing
all payroll information submitted to the Disbursing Office by senators,
chairmen and other appointing officials for their staffs, including
appointments of employees, salary changes, title changes, transfers and
terminations. It is also responsible for input of all enrollments and
elections submitted by Members and employees that affect their pay
(e.g., retirement and benefits elections, tax withholding, TSP
participation, allotments from pay, address changes, direct deposit
elections, levies and garnishments) and for the issuance of accurate
salary payments to Members and employees. The Payroll Section jointly
maintains the Automated Clearing House (ACH) FedLine facilities with
the Accounts Payable Section for the normal transmittal of payroll
deposits to the Federal Reserve. Payroll expenditure, projection and
allowance reports are distributed to all Senate offices. Issuance of
the proper withholding and agency contribution reports to the
Accounting Department is handled by Payroll as is transmission of the
proper TSP information to the National Finance Center. In addition, the
Payroll Section maintains earnings records for distribution to the
Social Security Administration and employees' taxable earnings records
for W-2 statements. The Payroll Section is also responsible for the
payroll expenditure data portion of the Report of the Secretary of the
Senate. The Payroll Section calculates, reconciles and bills the Senate
Employees Child Care Center (SECCC) for their staff employee
contributions and forwards payment of those contributions to the
Accounting Section. The Payroll Section provides guidance and
counseling to staff and administrative managers on issues of pay,
salaries, allowances, and projections.
General Activities
In March, the Payroll Section processed a retroactive employee Cost
of Living Adjustment (COLA) of 2.64 percent. Due to a delay in the
fiscal year funding and the authorization of the COLA, the Payroll
Section processed the COLA as adjustments in March and April to
accommodate both the retroactive portion due employees as well as the
prospective portion. To accomplish this, they worked with the SAA
Technical Support staff to insure proper application of the COLA. The
Payroll Section maintained the normal schedule of processing TSP
election forms. Employees took full advantage of the increase of TSP
deductions making the most of the new $15,500 maximum. For those
employees over age 50, the TSP catch-up program provided an opportunity
to make additional contributions in excess of the standard limitations.
Payroll allowance, expenditure and projection reports are provided
to all Senate offices on a monthly basis. A desire to provide these
reports in an electronic format was previously identified. Payroll
participated in determining and refining requirements and identifying
strategies for the project during 2007. The goal is to make these
reports available electronically in 2008.
The Payroll Section provides administration of the Student Loan
Program. Due to the growth of the Program, a dedicated Student Loan
Administrator was added as a full time position within the Payroll
Section. The SLP Administrator worked to improve processes for
administration of the program. In addition, strides were made in
providing clarification to issues affecting SLP, and additional
emphasis was placed on recovery of outstanding debts to the SLP. The
dedicated SLP e-mail address and phone line have proven successful
additions for users as well as the SLP Administrator.
The Payroll Section staff worked diligently in 2007 with the SAA
Technical Support staff and external entities to eliminate use of paper
and tape-driven correspondence. In July, the Payroll Section began
transmitting all U.S. Savings Bond payments electronically to the
Federal Reserve. In September, they began transmitting all TSP payments
electronically. This transmission of TSP payments was the final phase
in complete electronic transmission with the TSP. Disbursing is now
completely paper-free and tape-free in its correspondence and
transmissions with the TSP and the Federal Reserve for Savings Bonds.
The Payroll Section was involved in the implementation and follow-
up of the FEDVIP which took effect January 1, 2007. The office
continues to refine and improve processes in working with the third-
party administrators who administer FEDVIP, FSA and Long Term Care
(LTC) Insurance.
The 2007 majority change presented the Payroll Section with the
task of transferring all staff in those affected offices to their new
offices and making the related budgetary changes to office allowances,
projections and expenditures. Disbursing Office staff looked into the
specifics of applicable Senate Resolutions to determine their impact on
outgoing staff and to ensure that procedures allowed for the proper
administration of the resolutions. Payroll processed the paperwork and
payments for approximately 350 employees affected by the change. In
addition, the Payroll Section administered transfers and payments of
staff following the death of Senator Craig Thomas of Wyoming and again
after the resignation of Senator Trent Lott of Mississippi.
The Payroll Section is also assisting in the testing and trouble-
shooting of the ``Social Security Migration'' project that will take
place in 2008. Members of the Payroll staff attended a conference where
they garnered valuable information on the Senate's Payroll System,
planned upgrades and updates, as well as networking with other users
who have dealt with similar migrations.
The Payroll Section again participated in disaster recovery
testing. This year two separate tests were conducted. Both entailed
using the Alternate Computing Facility (ACF) processing equipment to
operate the payroll system from the Hart Building while SAA programmers
ran trial payrolls from remote sites. Part of the test was for members
of SAA Production Services to produce the payroll output from printers
located at the ACF. The payroll system test proved very successful.
Employee Benefits Section (EBS)
The primary responsibilities of the Employee Benefits Section are
administration of health insurance, life insurance, TSP, and all
retirement programs for Members and employees of the Senate. This
includes counseling, processing of paperwork, research, dissemination
of information, and interpretation of retirement and benefits laws and
regulations. EBS staff is also expected to have a working knowledge of
the Federal Flexible Spending Account (FSA) Program, the Federal LTC
Insurance Program and FEDVIP. 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. It also verifies the accuracy of the information
provided and reconciles, as necessary, when official personnel folders
and transcripts of service from other Federal agencies are received,.
Senate 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 is
responsible for the administration and tracking of employees placed in
Leave Without Pay (LWOP) to Perform Military Service and the occasional
civilian appointment to an international organization. EBS also handles
most of the stationery and forms inventory ordering and maintenance, as
well as all benefits, TSP, and retirement brochures, for the Disbursing
Office. EBS processes employment verifications for loans, bar exams,
the Federal Bureau of Investigation, Office of Personnel Management,
and 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, as are the employee fees associated
with FSAs. Designations of Beneficiary for Federal Employees' Group
Life Insurance (FEGLI), retirement, and unpaid compensation are filed
and checked by EBS.
General Activities
The year began with EBS finalizing retirement estimates and
processing the many retirement cases associated with the outgoing
senators and their staffs, as well as those staff on committees who
were affected by the changes. Many regular retirement, death, and
disability cases were also processed throughout the year.
There was a great deal of employee turnover in early 2007,
resulting in 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, FEDVIP, Civil Service Retirement System (CSRS), Federal Employees
Retirement System (FERS) and TSP enrollments, and the associated
requests for backup verification.
With the death of Senator Craig Thomas, EBS assisted with the
resulting benefits and retirement claims counseling and processing. EBS
provided counseling and assisted Senator Thomas' staff with transition
issues. EBS also assisted Senator John Barrasso and his staff with
their transition to fill the seat of Senator Thomas. EBS also counseled
Senator Trent Lott's personal and Whip staff with their transition
issues in light of the senator's resignation.
EBS conducted agency-wide seminars on CSRS and FERS and attended
interagency meetings as a result of the many new features of the TSP
Program. EBS also attended a conference conducted by our payroll
systems developer, Integral Systems, to broaden our knowledge in system
applications and upgrades, with an emphasis on security.
Many employees changed health plans during the annual FEHB Open
Season. These changes were processed and reported to carriers very
quickly. This year, the Disbursing Office again offered Senate
employees access to the online ``Checkbook Guide to Health Plans'' to
research and compare FEHB plans. This tool will remain available to
staff throughout the year. The Disbursing Office also hosted a FEHB
Open Season Health Fair, which was well attended. The Health Fair
included representatives from most of the local and national FEHB
plans. Other representatives in attendance included LTC, FSA, FEDVIP
and The Consumers Checkbook Guide.
Disbursing Office Financial Management
Headed by the deputy for Financial Management, the mission of
Disbursing Office Financial Management is to coordinate all central
financial policies, procedures, and activities; to process and pay
expense vouchers within reasonable time frames; to work toward
producing an auditable consolidated financial statement for the Senate;
and to provide professional customer service, training and confidential
financial guidance to all Senate accounting locations. In addition, the
Financial Management group is responsible for the compilation of the
annual operating budget of the United States Senate for presentation to
the Committee on Appropriations as well as for the formulation,
presentation and execution of the budget for the Senate. On a
semiannual basis, this group is also responsible for the compilation,
validation and completion of the Report of the Secretary of the Senate.
Disbursing Office Financial Management is segmented into three
functional departments: Accounting, Accounts Payable, and Budget. The
Accounts Payable Department is subdivided into three sections: Vendor/
SAVI, Disbursement and Audit. The deputy coordinates the activities of
the three functional departments, establishes central financial
policies and procedures, and carries out the directives of the
Financial Clerk and the Secretary of the Senate.
Accounting Department
During 2007, the Accounting Department approved 51,950 expense
reimbursement vouchers and 29,400 certification and vendor uploads,
processed 1,300 deposits for items ranging from receipts received by
the Senate operations, such as the Senate's revolving funds, to
cancelled subscription refunds from Member offices. General ledger
maintenance also prompted the entry of thousands of adjustment entries
that include the entry of all appropriation and allowance funding
limitation transactions, all accounting cycle closing entries, and all
non-voucher reimbursement transactions such as payroll adjustments,
COLA budget uploads, stop payment requests, travel advances and
repayments, and limited payability reimbursements. The department
continues to scan all documentation for journal vouchers, deposits,
accounting memos, and letters of certification to facilitate both
storage concerns and COOP backup.
This year the Accounting Department assisted in the validation of
various system upgrades and modifications. During January 2007, the
Accounting Department completed the 2006 year-end process to close and
reset revenue, expense, and budgetary general ledger accounts to zero.
The new certificate of deposit log, developed in 2006, was modified to
make it more user-friendly for data entry, and some testing was
required to make fully functional.
The Department of the Treasury's monthly financial reporting
requirements includes a ``Statement of Accountability'' that details
all increases and decreases to the accountability of the Secretary of
the Senate, such as checks issued during the month and deposits
received, as well as a detailed listing of cash on hand. Also, reported
to the Department of the Treasury on a monthly basis is the ``Statement
of Transactions According to Appropriations, Fund and Receipt
Accounts,'' a summary all activity of all monies disbursed by the
Secretary of the Senate through the Financial Clerk of the Senate. All
activity by appropriation account is reconciled with the Department of
the Treasury on a monthly and annual basis. The annual reconciliation
of the Treasury Combined Statement is also used in the reporting to the
Office of Management and Budget (OMB) as part of the submission of the
annual operating budget of the Senate.
This year, the Accounting Department transmitted all Federal tax
payments for Federal, Social Security, and Medicare taxes withheld from
payroll expenditures, as well as the Senate's matching contribution for
Social Security, and Medicare to the Federal Reserve Bank. The
department also performed quarterly reporting to the 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. System modifications were
installed to allow electronic (ACH) payment of quarterly State taxes.
Extensive effort was put forth to gather information for the various
jurisdictions as to their requirements for ACH transmittal. A pilot
program for the electronic payment of quarterly State taxes consisting
of Minnesota, Pennsylvania, Maryland, Virginia, and Washington, DC, was
transmitted in January of 2008. Monthly reconciliations were performed
with the National Finance Center regarding the employee withholdings
and agency matching contributions for the TSP.
There are also 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 and the Assistant Financial Clerk, continues to
work closely with the SAA Finance Department in completing a new draft
of the Senate Wide Financial Statements for fiscal year 2006 in
accordance with OMB Bulletin 01-09, ``Form and Content of Agency
Financial Statements'' and any updates required by OMB Circular A-136,
``Form and Content of the Performance and Accountability Reports''.
Plans are underway to finalize the implementation of the fixed asset
system, and financial management software has been upgraded to a new
release and is expected to be fully operational during the first
quarter of 2008. These two items are priorities discussed in monthly
accounting meetings.
Accounting also has a budget division whose primary responsibility
is compiling the annual operating budget of the United States Senate
for presentation to the Committee on Appropriations. The Budget
division is responsible for the preparation, issuance and distribution
of the budget justification worksheets. Despite working under a
continuing resolution in fiscal year 2007, the budget justification
worksheets were mailed to the Senate accounting locations and processed
in November. The budget baseline estimates for fiscal year 2008 were
reported to OMB by mid-January. The budget analyst is also responsible
for the preparation of 1099's and the prompt submission of forms to the
IRS before the end of the January.
Accounts Payable: Vendor/Senate Automated Vendor Inquiry Section
The Vendor/Senate Automated Vendor Inquiry (SAVI) Section maintains
the accuracy and integrity of the Senate's central vendor (payee) file
for the prompt completion of new vendor file requests and service
requests related to the Disbursing office's Web-based payment tracking
system known as SAVI. This section also assists the information
technology (IT) department in performing periodic testing and
monitoring the performance of the SAVI system. Currently, more than
15,300 vendor records are stored in the vendor file, in addition to
approximately 10,000 employee records. Daily requests for new vendor
addresses or updates to existing vendor information are processed
within 24 hours of being received. In 2004, the A/P Department began
paying vendors electronically via the ACH. Besides updating mailing
addresses, the Vendor/SAVI section facilitates the use of ACH by
switching the method of payment requested by the vendor from check to
direct deposit. Whenever a new remittance address is added to the
vendor file, a standard letter is mailed to vendors requesting tax and
banking information. If a vendor responds indicating they would like to
receive ACH payments in the future, the method of payment is changed.
Currently, more than 2,100 vendors and over half of the home State
office landlords are being paid via ACH.
SAVI is a Web-based payment tracking system. Senate employees can
electronically create, save, and file expense reimbursement forms,
track their progress, and get detailed information on payments. The
most common service requests are requests for system user
identification and passwords and to reactivate accounts. Employees may
also request an alternative expense payment method. An employee can
choose to have their payroll set up for direct deposit or paper check,
but can have their expenses reimbursed by a method different from their
salary payment method.
The Vendor/SAVI section works closely with the A/P Disbursements
group resolving returned ACH payments. ACH payments are returned
periodically for a variety of reasons, including incorrect account
numbers, incorrect ABA routing numbers, and, in rare instances, a
nonparticipating financial institution.
The Vendor/SAVI section electronically scans and stores all
supporting documentation of existing vendor records and new vendor file
requests. Currently electronic records for over 9,000 vendors have been
verified against paper records and the paper files certified for
destruction. In the near future, this section will assist the IT
Department in testing an automatic e-mail notification system which
will alert vendors when an EFT payment has been made and will provide
pertinent payment information.
During 2007, the Vendor/SAVI section processed over 2,450 vendor
file requests, completed nearly 2,200 SAVI service requests, mailed
over 1,150 vendor information letters, and converted almost 500 vendors
from check payment to direct deposit.
The SAVI web-based system was upgraded in 2006 and further upgrades
were discussed in 2007. Currently, SAVI exists as a stand alone
application, but it will be incorporated into Web FMIS in 2008. This
will enable users to take advantage of SAVI more fully while using a
single system to handle payment inquiries. Since outside vendors do not
have access to SAVI, an e-mail notification system was developed to
alert vendors when payments are made. Testing began in 2007 and was
completed in January of 2008 under a pilot program. Another major
upgrade is the conversion of current employees social security numbers
to an employee identification number so that no part of their Social
Security number will be used as part of their vendor number.
Accounts Payable: Disbursements Department
A disbursement is the entry and exit point for voucher payments.
The department received in excess of 152,000 vouchers. All of these
items were paid by the department either by Treasury check or ACH. As a
result of the increasing popularity of electronic payment, the
department wrote 28,659 expense checks and the remainder of the
payments was via ACH. Approximately 150,000 reimbursements were
transmitted via ACH. The department has experienced a slight decrease
in the number of checks written, but a substantial increase in the
number of ACH payments, thus in keeping with the department goal of
reducing the use of paper checks.
A new version of Checkwriter was installed as part of the release
of Web FMIS version 2007.2. The new version was needed to facilitate
the payment of quarterly State taxes via ACH.
After vouchers are paid, they are sorted and filed by document
number. Vouchers are grouped in 6-month ``clusters'' to accommodate
their retrieval for the semi-annual Report of the Secretary of the
Senate. Currently, files are maintained for the current period and two
prior periods in-house as space is limited. Older documents are stored
at the Senate Support Facility (SSF). The inventoried items are sorted
and recorded in a database for easy document retrieval. Several
document retrieval missions were successfully carried out and the
department continues to work closely with warehouse personnel.
A major function of the department is to prepare adjustment
documents. Adjustments are varied, and include re-issuance of items
held as accounts receivable collections, re-issuance of payments for
which non-receipt is claimed, and various supplemental adjustments
received from the Payroll Department. Such adjustments are usually
disbursed by check, but an increasing number are now handled
electronically through ACH. Paper payroll check registers were replaced
by an electronic version using Reveal software in 2006, and a
spreadsheet is maintained by Disbursements to track cases of non-
receipt of salary checks, including stop payment requests and re-
issuance.
During 2007, while experiencing an increase in ACH payments,
Disbursing also experienced an increase, though small, in the number of
ACH returns. Returns are usually the result of receiving incorrect
account or routing information and are easily corrected with payee
contact. Some returns result from account closings or non-participating
financial institutions and, while a bit more difficult, these items are
resolved either by receiving updated information or simply converting
the payment to a check. All rejected items are logged into an ACH
reports folder. They are classified as either Payroll or Accounts
Payable, and the actual daily reports are also scanned into the folder.
Once logged in, the payroll items are forwarded to the Payroll
Department, and the non-payroll items are forwarded to Vendor/SAVI to
determine appropriate corrective action. Accounting memos are prepared
outlining the actions to be taken, and Disbursements prepares the
adjustments as warranted.
The Department also prepares the forms required by the Department
of Treasury for stop payments. Stop payments are requested by employees
who have not received salary or expense reimbursements, and vendors
claiming non-receipt of expense checks. During this year, the A/P
Disbursement supervisor and the Accounts Payable manager continued
using the Department of Treasury--Financial Management Service (FMS)
online stop pay and check retrieval process known as PACER. The PACER
system allows us to electronically submit stop-payment requests and
provides online 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. During 2007, over 500 requests were
received for check copies. The use of PACER has enabled us to save the
$7.50 processing fee we paid in the past. PACER is expected to go to a
Web-based product in 2008, thus enabling us to research using the
Internet rather than the slower mainframe system currently in use.
Accounts Payable: Audit Department
The Accounts Payable Audit Section is responsible for auditing
vouchers and answering questions regarding voucher preparation and the
permissibility of expenses and advances. This section provides advice
and recommendations on the discretionary use of funds to the various
accounting locations, identifies duplicate payments submitted by
offices, monitors payments related to contracts, trains new
administrative managers and chief clerks about Senate financial
practices and the Senate's Financial Management Information System, and
assists in the production of the Report of the Secretary of the Senate.
A major function of the section is monitoring the fund advances for
travel and petty cash. The Funds Advance Tracking System (FATS) was
used to ensure that advances were charged correctly, vouchers repaying
such advances were entered, and balances were adjusted for reuse of the
advance funds. An ``aging'' process was also performed to ensure that
travel advances were repaid in the time specified by the travel advance
regulations. Travel advances may be repaid via regular voucher
processing, or may be canceled if the corresponding travel is not taken
and the funds are returned.
Late in 2006, a new advance module was placed into service for
issuing and tracking advances. The module is part of Web FMIS version
11 and is the first of a two-phase project. The first phase has been
completed and accommodates issuance, tracking, and repayment of
advances. The second phase accommodates entry and editing of election
dates and Senator-elect vouchers and has now been installed. In
addition to other functionality, an advance type of petty cash was
created and regular petty cash audits are performed by the department.
We successfully performed 22 petty cash audits in 2007.
The Accounts Payable Audit Section processed in excess of 152,000
expense vouchers in fiscal year 2007, as well as 30,000 uploaded items.
In addition, the section sanctioned in excess of 87,000 vouchers under
authority delegated by the Senate Committee on Rules and
Administration. This translates to roughly 16,600 vouchers processed
per auditor, and 30,000 vouchers posted per certifier. The voucher
processing consisted of providing interpretation of Senate rules,
regulations and statutes and applying the same to expense claims,
monitoring of contracts, and direct involvement with the Senate's
central vendor file. On average, vouchers greater than $100.00 that do
not have any issues or questions are received, audited, sanctioned
electronically by the Senate Committee on Rules and Administration
using Web FMIS and paid within 8 to 10 business days.
Uploaded items are of two varieties: certified expenses and vendor
payments. Certified expenses have been around since the 1980's and
included items such as stationery, telecommunications, postage, and
equipment. Currently, the certifications include mass transit, mass
mail, franked mail, excess copy charges, Photography Studio, and
Recording Studio charges. Expenses incurred by the various Senate
offices are certified to the Disbursing Office on a monthly basis. The
expenses are detailed on a spreadsheet which is also electronically
uploaded. The physical voucher is audited and appropriate revisions are
made. Concentrated effort is put forth to ensure certified items appear
as paid in the same month they are incurred.
Vendor uploads are used to pay vendors for the Stationery Room,
Senate Gift Shop, State office rentals, and refunds of security
deposits for the Senate Page School. The methodology is roughly the
same as for certifications, but the payments rendered are for the
individual vendors. Although these items are generally processed and
paid quickly, the State office rents are generally paid a few days
prior to the month of the rental in keeping with a general policy of
paying rent in advance.
The Disbursing Office has sanctioning authority for vouchers of
$100.00 or less. These vouchers comprise approximately 60 percent of
all vouchers processed. The responsibility for sanctioning rests with
the certifying accounts payable specialists and are received, audited,
and paid within 5 business days of receipt. As in the previous year,
Disbursing continued to pass two post-payment audits performed by the
Senate Committee on Rules and Administration.
Additionally, advance documents and non-Contingent Fund vouchers
are now posted in Audit. Currently, there are three certifying accounts
payable specialists who handle the bulk of the sanctioning
responsibilities within the group.
The Accounts Payable Audit Group provided training sessions in the
use of new systems, the process for generation of expense claims, and
the permissibility of an expense; and participated in seminars
sponsored by the Secretary of the Senate, the SAA, and the Library of
Congress. The section trained 36 new administrative managers and chief
clerks and conducted 6 informational sessions for Senate staff through
seminars sponsored by the Congressional Research Service (CRS). The
Accounts Payable group also routinely assists the IT department and
other groups as necessary in the testing and implementation of new
hardware, software, and system applications. Web FMIS version 2007.1
was in use for most of the year and version 2007.2 was released in
August. The section participated in testing for the release of Web FMIS
version 2008.1 late in the year. Testing and discussions continue for
employee identification number conversion, and implementation is
expected in 2008.
The cancellation process for advances was upgraded and streamlined
in 2006 and continues to work well. This was necessary to ensure
repayment of advances systematically for canceled or postponed travel
in accordance with Senate Travel Regulations, as well as to provide
functionality consistent with the release of Web Advances Phase I. The
new process eliminates the need to create zero dollar vouchers, allows
the Disbursing Office to completely handle the cancellations in FAMIS,
and allows administrative managers to simply void their advance
documents.
Disbursing Office Information Technology
Financial Management Information System
The Disbursing Office Information Technology (DO IT) department
provides both functional and technical assistance for all Senate
financial management activities. Activities revolve around support of
the Senate's Financial Management Information System (FMIS) which is
used by staff in 140 Senate accounting locations (i.e., 100 Senator's
offices, 20 committees, 20 leadership and support offices, the Office
of the Secretary of the Senate, the SAA, the Senate Committee on Rules
and Administration Audit section, and the Disbursing Office).
Responsibilities of the department include:
--Supporting current systems;
--Testing infrastructure changes;
--Managing and testing new system development;
--Planning;
--Managing the FMIS project, including contract management;
--Administering the Disbursing Office's Local Area Network (LAN); and
--Coordinating the Disbursing Office's disaster recovery activities.
The Disbursing Office is the ``business owner'' of FMIS and is
responsible for making the functional decisions about FMIS. The SAA
Technology Services staff is responsible for providing the technical
infrastructure, including hardware (e.g., mainframe and servers),
operating system software, database software, and telecommunications;
technical assistance for these components, including migration
management and database administration; and regular batch processing.
The office's contract support team along with the SAA, is responsible
for operational support and is also under contract with the Secretary,
for application development. The three organizations work
cooperatively.
Highlights of the year include:
--Implementation of two releases of FMIS;
--Incorporating the functionality of the FATS sub-system into Web
FMIS, thus enabling Disbursing to retire the FATS system;
--Preparing for converting employee vendor numbers to a number that
does not contain any portion of the employee's social security
number;
--Preparing for a pilot of remitting quarterly State tax payments via
direct deposit;
--Testing infrastructure changes that included upgrades to the
mainframe operating system (Z/OS), the database (DB2), and Web
Sphere;
--Coordinating and participating in the FMIS portion of the yearly
Senate-wide disaster recovery exercise for the ACF;
--Coordinating and participating in a first-time FMIS only disaster
recovery exercise for the ACF;
--Issuing a spreadsheet by which any Senator's office could estimate
a potential COLA for their office based on office-defined
criteria;
--Supporting the Senate Committee on Rules and Administration's post-
payment audit of a statistically valid sample of vouchers of
$100.00 or less;
--Installing new printers throughout the Disbursing Office; and
--Conducting monthly classes and seminars on Web FMIS.
Supporting Current Systems
The DO IT department supports FMIS users in all 140 accounting
locations, Disbursing's Accounts Payable (A/P), Accounting,
Disbursements, Vendor/SAVI and Front Office sections, and the Senate
Committee on Rules and Administration 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 questions; and meet with chiefs of staff, administrative
managers, chief clerks, and directors of various Senate offices
as requested;
--Technical problem resolution--ensure that technical problems are
resolved;
--Monitor system performance--check system availability and
statistics to identify system problems and coordinate
performance tuning activities for database access optimization;
--Security--maintain user rights for all ADPICS, FAMIS, and Web FMIS
users;
--System administration--design, test and make entries to tables that
are at the core of the system;
--Support of accounting activities--perform functional testing and
production validation of the cyclic accounting system
activities. This includes rollover, the process by which tables
for the new fiscal year are created, and archive/purge, the
process by which data for the just lapsed fiscal year is
archived for reporting purposes and removed from the current
year tables;
--Support the Senate Committee on Rules and Administration post
payment voucher audit process--provide the data from which the
Rules Committee audit staff selects a statistically valid
sample of vouchers for $100 or less. In this way the Rules
Committee audit staff review vouchers sanctioned under
authority delegated to the Financial Clerk;
--Upload bulk financial transactions directly to FAMIS--upload
documents, such as certifications and vouchers from the Keeper
of Stationery, directly into FAMIS. These documents, submitted
via spreadsheets, are reviewed by the DO A/P and/or Accounting
sections prior to upload; and
--Training--provide functional training to all Senate FMIS users.
Normal Tasks
As part of our normal tasks to support current systems, Disbursing
created 110 new Web FMIS user accounts and an additional 112 new
ADPICS/FAMIS user accounts. Additionally, the office staff created new
organization, department and location codes for the new senators in the
110th Congress (nine newly elected Senators, one due to the death of
Senator Craig Thomas, and one due to the resignation of Senator Trent
Lott). Through the ``rollover'' process, Disbursing created the tables
necessary for two new fiscal periods--fiscal year 2008 (for all FMIS
users), which began 10/1/2007 and Resolution 89B (for Committees),
which began 3/1/2007. The two queries for the Rules Committee's audit
identified 24,770 records for the period 10/1/2006 to 3/31/2007 and
25,195 for the period 4/1/2007 to 9/30/2007. The office uploaded over
340 files of multiple documents such as certifications, vouchers from
the Keeper of Stationery, SAA budget entries, and journal entries.
Finally, since this was a year in which a new Congress began,
Disbursing staff offered Web FMIS classes twice a month during February
and March in order to meet the needs of the Senate user community. The
classes were offered once a month for the remainder of the year.
Unusual Tasks
IT completed a number of unusual tasks to support current systems
this year:
--Designed and implemented a new office information authorization
form as well as two new mainframe system forms (security and
document approval paths updates) to facilitate user
administration;
--Implemented procedures to create documents for rarely used funds,
such as foreign travel, in Web FMIS instead of ADPICS, taking
advantage of the sophisticated functionality in Web FMIS for
travel advances and travel advance repayments simplifying
processing of these documents by the A/P and Accounting staff;
and
--Created and distributed a spreadsheet for Senate offices to use to
calculate a potential January 2008 COLA using office-defined
criteria.
Testing Infrastructure Changes
The SAA provides the infrastructure on which FMIS operates,
including the mainframe, the database, security hardware and software,
and the telecommunications network. During 2007, the SAA implemented
three major upgrades to the FMIS infrastructure: upgrading the
mainframe operating software, Z/OS from version 1.4 to version 1.7;
upgrading the FMIS database from DB2 v 8 to DB2 v 8.1; and upgrading
the Web Sphere software from v 6.0.2 to v6.1. Because the Z/OS upgrade
was accomplished as a stand-alone activity, IT tested all FMIS
subsystems in a testing environment and validated all FMIS subsystems
in the production environment after the implementation. Since the other
two upgrades were accomplished at the same time as a FMIS release, DB2
with the 2007-2 release and Web Sphere with the 2008-1 release, all
were tested as part of the release testing.
Managing and Testing New System Development
During 2007, the DO IT department supervised development, performed
extensive integration system testing, and implemented changes to FMIS
subsystems. For each, implementation and production verification was
done over a weekend in order to minimize system down time to users.
Since 2006, multiple sub-system upgrades were consolidated into two
releases each year. This reduced the amount of regression testing
required. In order to accurately reflect the variety of changes in each
release, the releases are now numbered by fiscal year. During 2007,
Disbursing implemented two releases, and worked on a third:
--FMIS r2007-2, implemented in August 2007;
--FMIS r2008-1, implemented in November 2007; and
--FMIS r2008-1.5, scheduled to be implemented in January 2008.
The items selected for development and implementation were based on
user requests, suggestions from the SAA technical staff, and the IT
department. The IT department meets regularly with users through
scheduled user group meetings. For five weeks this spring the
Disbursing IT department met weekly with the Web FMIS users group in
order to review the new page designs and functionality that were
implemented in FMIS r2007-2. Additionally, Disbursing IT met with the
ADPICS/FAMIS users group (primarily SAA users) on a monthly basis. IT
also implemented a monthly meeting with the Accounting Section in order
to address their concerns in a user group format.
FMIS 2007-2
For Web FMIS users in senators and committee offices, FMIS 2007-2
implemented a new look, additional functionality and ease-of-use
features. The most prominent changes for these users included changes
to the homepage, which now displays:
--a budget summary panel with subtotals by payroll and non-payroll
for amounts budgeted, spent and remaining;
--a tab with a graphical display of the four top non-payroll
expenditure categories;
--a count of documents that have been saved but not submitted; and
--a document quick access panel that enables searching for a document
by vendor name, or document number.
Additionally, this release features a completely re-written budget
function that simplifies budget entry. The ease-of-use features include
automatic population of fields when a new vendor or expense category is
added and when the office has only one location.
Integration of the election date functionality from the FATS system
into Web FMIS resulted in automatic notification, at the point that a
document is submitted, if the per diem expenses on that document
violate the 60-day election date moratorium period. This release marked
the retirement of the legacy FATS system, simplifying the FMIS system
architecture.
For the Rules Committee Audit users, the new functionality in this
release enabled them to ``check out'' documents instead of having
documents assigned to them by a supervisor. The new functionality was
so well received that it is anticipated it will be used for the imaged
document pilot.
For the Accounting Section, enhancements to the CD Log function
simplified the work required to prepare deposits to be made to the
Senate's depository bank.
For SAA users, there were three important enhancements. Two changes
enabled use of the SAA's work flow system. These were the ability to
interface on-demand purchase order and voucher information from ADPICS
and adding an approver field to several ADPICS screens. The other
enhancement was to add fields in Web FMIS that will enable the SAA
finance staff to use Web FMIS to create travel advance and voucher from
advance documents, thereby enabling the SAA to take advantage of the
sophisticated functionality in Web FMIS for travel advances and travel
advance repayments.
FMIS 2008-1
With this release, Disbursing began three pilot programs. The first
pilot sends e-mail messages to vendors paid by direct deposit that
provides the same basic information that would be on a check stub.
Providing the check stub information directly via e-mail helps the
vendor credit the payment properly. The second pilot incorporates the
functionality of SAVI into Web FMIS as ``Staffer Functionality.'' When
implemented Senate-wide, staffers will use Web FMIS functionality to
create expense summary reports and view payment information. They will
be able to access this functionality using three different browsers:
Internet Explorer 7, Safari, and Firefox. Full implementation will
eliminate the SAVI subsystem and therefore simplify FMIS system
architecture. The third pilot enables Disbursing to remit, via direct
deposit, quarterly State tax payments to States.
For Web FMIS users in Senators and committee offices, this release
provided a completely re-written reconciliation function, added budget
ease-of use features, and enabled users to create a custom user id.
Additionally, Disbursing began posting documents under the Web FMIS
Help system in order to provide more assistance on-line. New system
functionality enabled Disbursing to relate identification of users who
manage accounts for multiple offices. these ``multi-org'' users.
The release included functionality for other user groups as well.
For SAA users, this release provided online inquiries that enabled them
to easily access payment information. For Disbursing IT system
administrators, this release provided new functionality for managing
users and the Web FMIS system functions assigned to them.
Planning
The Disbursing IT department performs 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 2007, this department continued to hold two types of meetings
among Disbursing, SAA and the contractor to coordinate schedules and
activities. These were:
--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., Archive/Purge meetings
and Web FMIS budget function meetings); and
--Technical meeting--a weekly meeting to discuss the active projects,
including scheduling activities and resolving issues.
Strategic Planning
The FMIS strategic plan has a longer time horizon than the rolling
12-month time frame of the technical meeting schedule. It is designed
to set the direction and priorities for further enhancements. In 2002,
a 5-year strategic plan was written by the Disbursing IT and Accounting
staff for Disbursing Office Strategic Initiatives. This detailed
description of five strategic initiatives formed the base for the
Secretary of the Senate's request in 2002 for $5 million in multi-year
funds for further work on the FMIS project. The five strategic
initiatives are:
--Paperless Vouchers--Imaging of Supporting Documentation and
Electronic Signatures.--Beginning with a feasibility study and
a pilot, implement new technology, including imaging and
electronic signatures, in order to reduce the Senate(s
dependence on paper vouchers. This will enable continuation of
voucher processing operations from an alternate location should
an emergency occur;
--Web FMIS.--Respond to requests from the Senate's accounting
locations for additional functionality in Web FMIS;
--Payroll System.--Respond to requests from the Senate's accounting
locations for online 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 Disbursing IT department during the summer of 2003 and includes
developing the task orders with contractors, overseeing their work and
reviewing invoices. In 2007, two new task orders were executed:
--Web FMIS reporting enhancements; and
--Service year 2008 extended operational support, which covers
activities from September 2007 to August 2008.
In addition, work continued under four task orders executed in
prior years:
--Imaging and signature design and electronic invoicing enhancement
continuation;
--Web FMIS r10;
--SAA finance system and reporting enhancements; and
--Service year 2007 extended operational support (which covered
activities from September 2006 to August 2007).
Administering the Disbursing Office's Local Area
Network (LAN)
Disbursing continued to administer its own local area network
(LAN), which is separate from the network for the rest of the
Secretary's Office. Upkeep of the LAN infrastructure, including
performing routine daily tasks, and replacing equipment regularly is
critical to providing services. During 2007, LAN administration
activities included:
--Maintaining and Upgrading the Disbursing Office's LAN;
--Installing Specialized Software; and
--Maintaining Projects for the Payroll and Benefits Section.
Maintaining and Upgrading the Disbursing Office LAN
Disbursing maintained the existing workstations with appropriate
upgrades including:
--Installing new printers for all staff;
--Ordering, and beginning to deploy new laptops for selected staff;
and
--Implementing Internet Explorer 7 for all staff.
Installing Specialized Software
Disbursing uses a variety of specialized software that is critical
to workflow processes. In 2007, Disbursing:
--Updated check scanning software.--This software enables staff to
scan the front and back of checks deposited by Disbursing in
its depository bank;
--Updated ``Reveal'' software.--This software enables staff to view
reports created by the FMIS batch process on-line;
--Installed a new version of ``EasyACH''.--This software enables
Disbursing to resend direct deposit payments, a functionality
that was eliminated from the new ACH software provided by the
Federal Reserve; and
--Tested a replacement for ``Rumba''.--This software emulates a
mainframe 3270 terminal and is used by all Senate staff who
access ADPICS and/or FAMIS.
Maintaining Projects for Payroll and Employee Benefits
Sections
Disbursing continued to support the Payroll/Benefits Imaging
system, developed by SAA staff, which electronically captures and
indexes payroll documents submitted at the front counter. This is a
critical system for the Payroll and Employee Benefits sections. During
2007, the Disbursing network administrator worked with SAA staff to
configure and install two servers for this project: one in the
Disbursing Office and one at the ACF.
Coordinating the Disbursing Office's Disaster Recovery
Activities
In August, the SAA technical staff conducted a Senate-wide disaster
recovery test of the Senate's computing facilities, including FMIS
functions. The test involved switching the Senate's network from
accessing systems at the Primary Computing Facility (PCF) to the ACF
and powering down the PCF. The SAA's primary purpose was to test the
technical process of switching to the ACF; thus, only a limited amount
of time was available for functional testing. In essence, FMIS systems
and data were ``failed-over'' to the ACF, made available for testing
for the functional testing window, and then the systems were ``failed
back'' to the PCF. The data, changed during the test period, was not
``failed back''. Thus, changes made while testing at the ACF were not
reflected in production data.
The Disbursing staff set minimal goals of accessing all critical
FMIS subsystems. While the Disbursing IT staff coordinated activities,
the actual testing was done by Disbursing functional and technical
staff, the contractor, and SAA technical staff. Disbursing IT staff and
the contractor tested ADPICS/FAMIS, Web FMIS, SAVI, and Checkwriter.
Disbursing payroll staff and SAA technical staff tested the payroll
system.
Within the limited scope of the test, Disbursing successfully
tested all the critical components of FMIS, with the exception of (a)
accessing Checkwriter, (b) accessing some reports used by Disbursing
(e.g., on the Reveal server and the Disbursing report server), and (c)
critical batch processes which were not tested.
At the Disbursing Office's request, the SAA added a FMIS-only
Disaster Recovery test in December. The longer time allotted to this
test enabled more complete functional testing, (including for example,
following single documents from data entry in ADPICS and Web FMIS
through payment in FAMIS), running more reports than during other
tests, and testing the critical payroll and FAMIS batch processes.
While the Disbursing IT staff organized the functional test plan, the
actual testers included Disbursing IT staff, payroll staff, contractor
support staff, and, for the first time, SAA Finance staff. No major
problems were encountered and because of the longer time of this test,
the problems that were encountered were investigated.
administrative offices
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. 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 has embossed 89 books and matted and
framed 250 items for Senate leadership. For more than 25 years, the
office has bound a copy of Washington's Farewell Address for the annual
ceremonial reading of the address. In 2007, a volume was bound and read
by Senator Bob Corker of Tennessee.
As mandated in the 1990 Senate Library Collection Condition Survey,
the office continued to conduct an annual treatment of books identified
by the survey as needing conservation or repair. In 2007, conservation
treatments were completed for 56 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 will
continue preservation of the remaining 3,694 volumes.
The office assisted the Senate Library with books sent to the
Government Printing Office's Library Binding section. Additionally, the
office collaborated with the Senate Library to create three exhibits
located in the Senate Russell building basement corridor.
The Office of Conservation and Preservation staff continues to
assist Senate offices with conservation and preservation of documents,
books, and various other items. For example, the office staff continues
to monitor the temperature and humidity in the Senate Library storage
areas, including the Senate Support Facility, for preservation and
conservation purposes.
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 Curator collects, preserves, and
interprets the Senate's fine and decorative arts, historic objects, and
specific architectural features; and the Curator exercises supervisory
responsibility for the historic chambers in the Capitol under the
jurisdiction of the Commission. Through exhibitions, publications, and
other programs, the Curator educates the public about the Senate and
its collections.
Collections: Commissions, Acquisitions, and Management
A painting of Senator Robert C. Byrd was unveiled in the Old Senate
Chamber on September 25, 2007, as part of the Senate Leadership
Portrait Collection. Additionally, a portrait of Senator Tom Daschle
was approved and was unveiled on April 22, 2008; a painting of Senator
Trent Lott will be completed in late 2008.
One hundred and eight objects were accessioned into the Senate
collection, including 38 Senate Chamber floor and gallery passes--the
earliest dating to 1882; 26 invitations and programs to events such as
portrait unveilings, joint sessions, and the laying in state of
President Gerald Ford; 6 political cartoons from the weekly humor
magazines Judge and Puck; 10 stereoviews of the Capitol; a circa 1970s
electronic speaker (commonly referred to as a ``squawk box'') which
allowed Senators and staff to listen to Senate floor proceedings from
their offices; the paint palette used by artist Michael Shane Neal
while working on the portrait of Senator Byrd; and two revolving desk
chairs similar to those used in Capitol offices and committee rooms in
the early 20th century.
Of particular note was the Senate Commission on Art's acquisition
of a large and elaborate 1880s Hall's safe which had been auctioned as
excess Senate property by the General Services Administration in the
1970s. The safe illustrates the necessary modernization of
administrative procedures due to rapidly increasing Senate membership
after the Civil War. This historic object--with its gold leaf, etched
surfaces, inlaid wood, and hand painting--is also a superior example of
19th century American industrial arts.
Forty-one new foreign gifts were reported to the Select Committee
on Ethics and transferred to the Curator's office. They were catalogued
and are maintained by the office in accordance with the Foreign Gifts
and Decorations Act. Appropriate disposition of 28 foreign gifts was
completed following established procedures.
Seventy-four collection objects were moved into a new curatorial
storage space in the Senate Support Facility (SSF), which provides
state-of-the-art museum storage for the Senate's art and historic
collections. All objects were given a priority designation and
identified with color coded object tags. In the event of an emergency,
the colored tags will assist staff in removing the highest priority
objects first.
An integrated pest management (IPM) program administered by the
Curator's office is now in operation for the SSF curatorial storage
space. The pest management program monitors for the presence of insect
pests, which can cause damage to furniture, rugs, and other textiles.
To date, there has been no evidence of pests that are a threat to
collections. Other practices, including regular cleaning of the space
and inspection of all objects prior to placing them in storage, are
also key components of the program. During the fall, additional support
for the IPM program was established through the Architect of the
Capitol's (AOC) overall pest management program for the SSF. The
program provides supplies and includes expert advice for structural
repairs, sanitation, and storage procedures to prevent the entrance and
harboring of pests.
Also in operation in the SSF curatorial storage space is an
environmental monitoring system. This is the first phase of an
extensive electronic environmental monitoring system that tracks
environmental conditions in significant spaces; information on
temperature, relative humidity, and the presence of water is sent to a
computer in the Curator's office. The system also alerts staff when
readings deviate from established ranges.
Preparations continued for the two new curatorial storage spaces in
the Capitol Visitor Center (CVC). Installation of the specialized
preservation storage equipment for these spaces will occur in late
2008.
In 2007, the Curator's office began implementation of a
comprehensive maintenance program for all collections and historic
spaces under its care. The purpose of the program is fourfold: to
monitor the condition of both collections and the spaces in which they
are displayed and stored; to maintain systematic records of condition
changes and steps taken to make improvements; to prioritize the
maintenance and conservation needs of collections; and to develop
communication and educational resources for other Members of the Senate
community regarding the care of collections and historic spaces. An
outline of the program was created and a comprehensive monitoring plan
is in place. Daily and weekly inspections are conducted, with plans for
monthly inspections underway.
Surveys of the condition of related objects in the Senate
collection are another component of the integrated maintenance program.
They are an important tool for prioritizing conservation needs so that
resources are directed to the most unstable objects first, before
additional damage further diminishes their historic and aesthetic
value. The conservation undertaken in 2007 for several historic
overmantel mirrors was in response to an assessment conducted in 2006,
and planning began this year for an assessment of the Senate's historic
timepieces. For the time being, treatment for Eliphalet Frazer Andrews'
portrait of John Adams and for the frame for John Blake White's
painting, Sergeants Jasper and Newton Rescuing American Prisoners from
the British, have been postponed until such time as they can be
addressed within the context of collection conservation priorities.
To improve artwork lighting in the Senate wing of the Capitol, the
Curator's office developed a pilot project to address the quality of
the light and apply museum lighting standards to a segment of the
second floor corridor. A lighting designer produced a plan for the
pilot area, provided equipment specifications, and positioned the
lights, which the AOC purchased and installed. Building on the artwork
lighting pilot project, recommendations were obtained for lighting
needs related to new artwork installations in four areas of the Senate
wing--Room S-109, the east and west Brumidi stairwells, and the Senate
chamber lobby. The report was forwarded to the AOC for a feasibility
review.
In preparation for display in the CVC, the Curator's staff
developed specifications based on original construction and finish
techniques for the replication of an original 1819 Senate chamber desk.
The desk will be built by the Senate Sergeant at Arms (SAA) Cabinet
Shop, and the Curator's office staff will record all phases of the
construction and finishing for future reference.
As part of its ongoing effort to document the Senate chamber desks,
the staff developed a new database to more accurately record
information. The database allows the office to document the specific
dates a Senator occupied a desk, as well as the period in which the
desk drawer was inscribed. This is a significant improvement from past
databases, which were unable to determine the exact dates of occupancy
and the sequence of desks occupied.
Keeping with scheduled procedures, all Senate collection objects on
display were inventoried, noting any changes in location. In addition,
as directed by S. Res. 178 (108th Congress, 1st session), the office
submitted inventories of the art and historic furnishings in the Senate
to the Committee on Rules and Administration. The Curator's staff, with
assistance from the SAA and Senate Superintendent's staffs, compile the
inventories, which are to be submitted every 6 months.
Conservation and Restoration
During 2007 conservation treatment was completed on four paintings
in the Senate fine art collection, and work began on the recently
acquired painting Henry Clay in the U.S. Senate, as well as on several
historic mirrors in the decorative art collection.
Conservation was completed on the monumental painting, The Battle
of Lake Erie, by William Henry Powell, which has been displayed in the
east grand stairway of the Senate since 1873. The canvas had not had
any major conservation since 1956, and cleaning removed a heavy layer
of grime and buildup from tobacco smoke. Following cleaning, areas of
previous repairs and retouching were treated to remove discolored
repaint and make repairs less noticeable. The entire canvas received a
new coat of synthetic resin varnish, and final toning and inpainting
were done where necessary to integrate old damages. At the same time,
the frame received a surface cleaning and damage on the bottom right
side was filled and gilded to match the surrounding surface.
A frame conservator repaired minor damage to the outer gilt frame
of the painting, George Washington at Princeton, by Charles Willson
Peale; and emergency conservation was done on the gilt frame of Mike
Mansfield, by Aaron Shikler, which was damaged while hanging in S-207
of the Capitol. Additionally, a conservator applied a protective
coating of varnish to Bradley Stevens' painting, The Connecticut
Compromise, which is adhered to the wall above the entrance to the
Senate Chamber Lobby in the Senate Reception Room.
Conservation treatment began on the Phineas Saunton's monumental
painting, Henry Clay in the U.S. Senate, donated to the Senate in 2006.
Due to the extremely fragile and unstable condition of the painting,
and its size (11 feet by 7 feet), it was necessary to limit the amount
of shipping it underwent until conservation could begin. A painting
conservator conducted a condition evaluation on-site, and the
evaluation was provided to other painting conservators to prepare
proposals. The painting was then shipped directly from the donor to the
conservator selected, where it is now undergoing extensive analysis
prior to conservation. Treatment for the frame was handled separately.
Conservation is anticipated to be completed by late 2008, and the
painting will then be installed in the east Brumidi stairway.
In response to critical conditions identified in the Senate
historic mirror collection, the Curator's office developed a multi-
phased conservation project. The first mirror frame (S-115) underwent
extensive conservation to address existing structural, gesso, ornament,
and finish problems and was returned to the Capitol earlier this year.
As part of this initial effort, procedures, and standards were
instituted that will aid in future planning.
Conservation treatment was also completed on a gilt frame
overmantel mirror in conjunction with planned renovations of the
Veterans' Affairs Committee hearing room (SR-418). Treatment included
removal of tape, consolidation of small areas of separation, and touch-
up to minor losses in gilding.
The Curator's staff participated in training sessions for the U.S.
Capitol Police regarding the care and protection of art in the Capitol,
and continued to educate the housekeeping personnel on maintenance
issues related to the fine and decorative art collections.
Historic Preservation
The Curator's office worked with the AOC and SAA to review,
comment, plan, and document Senate wing construction projects that
affect historic resources. Construction and conservation efforts that
required considerable review and assistance included exit sign
installations; restaurant exhaust system upgrades; directional sign
installations; Brumidi corridor mural conservation; egress modification
of the Brumidi west corridor, the Old Senate Chamber, and the Old
Supreme Court Chamber; the refurbishing of rooms S-115 and S-120; and
scagliola conservation. The AOC's appointment of an historic
preservation officer enhanced this effort. The Curator's staff will
work with the AOC's historic preservation officer to refine project
review procedures in order to ensure the highest preservation standards
are applied to all Capitol projects. Finally, the Curator's office's
initiative to increase their service offerings by facilitating projects
for Capitol offices has been very successful. In 2007 the staff
assisted the Committee on Rules and Administration, the Committee on
Veterans' Affairs, and the Democratic Leader with preservation
projects.
An initiative to document the appearance of Capitol leadership
suites continued in 2007. This program records changes in the
decorative history of the Senate wing's historic spaces, providing
important visual documentation on the history of the rooms.
Research and investigation continued on the ambitious Senate
Reception Room restoration and rehabilitation project. The office
conducted surveys and interviews with staff to gain an understanding of
the current use of the room. Fabric analysis was contracted by the AOC
and initial samples collected. Appropriate members of the Senate
Reception Room Advisory Board were assembled in order to advise on the
testing. The Curator's staff has continued to keep the Senate community
informed on the progress of this developing project.
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. New procedures were developed with the U.S. Capitol
Police to record after-hours access to the historic chambers by current
Members of Congress.
By order of the U.S. Capitol Police, the Old Senate Chamber was
closed to visitors after September 11, 2001. However, the historic room
was opened to Capitol Guide and staff-led tours during eight Senate
recesses in 2007. Thirty-six requests were received from current
Members of Congress for after-hours access to the chamber. A re-
enactment swearing-in ceremony for the newly elected Senators of the
110th Congress, and also the re-enactment swearing-in ceremonies for
Senator John Barrasso of Wyoming and Senator Roger Wicker of
Mississippi were of special significance.
The Senate Curator worked closely with the AOC and their contractor
to oversee the creation of accurate, existing condition drawings of the
Old Senate and Old Supreme Court chambers. These architectural drawings
were completed and accepted by the Historic American Building Survey
for their collection. The drawings provide important historical and
archival documentation of the Capitol--no such detailed drawings
existed previously of these historic chambers, or any spaces within the
Capitol. The drawings will be available on-line and at the Library of
Congress.
Loans To and From the Collection
A total of 54 historic objects and paintings are currently on loan
to the Curator's office on behalf of Senate leadership and officers in
the Senate wing of the Capitol. The staff returned 13 loans,
coordinated 15 new loans, and renewed loan agreements for 25 other
objects. Over 30 loans are projected to be renewed next year.
The Senate state chinaware was inventoried and used at 14
receptions for distinguished guests, both foreign and domestic. It was
used for events such as a luncheon for the President of Iraq and a tea
for the Prime Minister of New Zealand. The Secretary of the Senate's
official china continues to be used for large functions and hosting
foreign dignitaries, and the Curator purchased additional china pieces
this year.
Publications and Exhibitions
In response to increasing concerns regarding the dissemination of
inaccurate information about the Capitol and Congress, the Curator's
office staff, in conjunction with staff from the Senate Library, the
Senate Historical Office, and the Office of Web Technology, published
an on-line Guide to Staff-Led Tours, available on the Senate's Webster
intranet site. This electronic publication provides a brief and easy-
to-follow outline for all important art works and historic spaces
within the Capitol. It can be printed from the site in a format
convenient for staff to carry and refer to while conducting a tour, and
it provides links to more detailed information as a resource for
further research.
As part of an ongoing program to provide more information about the
Capitol and its spaces, the office developed a brochure for the
Democratic Leader's suite. To expand on the information provided by
existing brochures and allow customization, the office created
templates for either a companion pamphlet or a fact sheet. The
Assistant Republican Leader's suite was one of the offices to benefit
from this initiative. Additionally, as part of an ongoing program to
provide more information about the Capitol and its spaces, all
Commission on Art brochures were updated and added to the Senate.gov
Web site.
The office updated The Senate Chamber Desk Web site for the 110th
Congress. In addition, four new stories were added to the traditions
and historical facts section, and a procedural document was created to
provide technical details and standards for future updates.
The Senate Curator and staff continued to be a significant
contributor to Unum, the Secretary of the Senate's newsletter.
Polices and Procedures
The Commission on Art in 2007 issued guidelines that govern the use
of the Old Senate and Old Supreme Court Chambers. These guidelines,
incorporate the many regulations, policies and precedents of the
Chambers' use, and ensure that these historic spaces are maintained,
used, and protected according to the Senate's original intent in
restoring them in the 1970s. The historic chambers were previously
governed by rules that were read into the Congressional Record by then-
Majority Leader and Chairman of the Commission on Art Mike Mansfield in
1975 and 1976. The new guidelines strengthen the original rules and
address the wide variety of demands that are now placed upon the rooms.
The rules are consistent with the Commission's supervisory and
maintenance responsibilities under 2 USC 2103.
The 110th Congress Senate Curatorial Advisory Board was empanelled
in 2007. Four new and eight returning members were welcomed at the
first meeting held on October 25, 2007. Composed of respected scholars
and curators, this 12-member board provides expert advice to the
Commission on Art regarding the Senate's art and historic collections
and preservation program, and assists in the acquisition and review of
new objects for the collection.
Collaborations, Educational Programs, and Events
The office is coordinating efforts to celebrate the 100th
anniversary of the Richard B. Russell Senate Office Building, which
opened its doors in early 1909. Several meetings were held among the
offices of the Curator, Library, Historian, and Web Technology to
develop a multi-faceted effort consisting of research, restoration,
publications, and exhibition projects that will mark the centennial of
the first Senate office building. In anticipation of the historical
resources needed to support these initiatives, the Curator's staff
conducted extensive archival research, identifying over 200 images
documenting the construction and completion of the building and it
furnishings and occupants.
In 2007 the Senate Curator granted permission for the use of Senate
art images and text published on Senate.gov to a team of scholars based
at the University of Maryland in College Park. These scholars, in
collaboration with other experts at various universities, are
developing an automated image cataloging system for use by college
professors and researchers. Once complete, the system will permit users
to search the texts of scholarly journals and books for metadata terms
which can be applied to specific images of art and architecture, and to
cross-reference these metadata terms with the appropriate approved
cataloging thesaurus in the appropriate field. Although the application
is in the early stages of development, the cooperation of the Curator's
staff has resulted in important contributions to the project;
additionally, when the application is launched, it is hoped to benefit
the office by developing effective metadata for both collections
management and Senate.gov functions.
The Curator assisted the AOC Curator and staff of the Joint
Committee on the Library to develop a plan for the National Statuary
Hall statues in the CVC, and also guidelines for the Rosa Parks statue.
Other joint projects with institutions included assistance to the
Center for Legislative Archives at the National Archives for the
February 2008 exhibit of the Senate's collection of Clifford Berryman
cartoons and continued work with the CVC exhibit staff on several
initiatives for the new facility.
The Senate Curator and staff gave lectures on the Senate's art and
historical collections to various historical groups and art museums.
The staff also assisted the Secretary with the new Senate staff
lecture/tour series.
Office Administration and Automation
During 2007 the office continued work on the major redesign of the
Senate art Web site, with the goal of providing easier, more intuitive
access to the Senate's art, historical collections, and on-line
exhibits and publications. This task was undertaken in coordination
with the Senate Webmaster and Senate Library staff. This year saw the
completion of the specifications for information structure and ``wire
frame'' design layouts for most portions of the site. Working
extensively with the staff from the Office of Web Technology, Curator
staff also developed a protocol for instructing the Senate.gov content
management system to automatically generate new layouts with existing
metadata used to populate and configure the current site. This task
also required careful coordination with the Curator's collections
management team to ensure that data recorded in the process of managing
the Senate's collections is appropriately configured to be used
successfully in the new art site environment.
The Curator's continuity of operations (COOP) plan was tested with
an extensive in-house tabletop exercise. Over two dozen recommendations
to improve the office's COOP readiness were identified as a result of
this exercise, and the proposed modifications are currently being made.
The office modernized its procedures for public requests to use
Senate collection images by developing a Web-based system accessible
through Senate.gov. Staff receive approximately 75 requests each year
for images, and the new electronic system has greatly improved the
ordering process.
Objectives for 2008
The Curator's staff will oversee installation of the collection
storage equipment for the two storage spaces in the CVC in the fall of
2008. Museum-quality storage systems have been ordered to house
collection objects in these new spaces. Objects in need of archival re-
housing will be identified and prioritized as part of the preparations
for the collection move in 2009.
The office is continuing with the installation of the environmental
monitoring system. Sensors will be placed in the historic chambers and
curatorial storage rooms in the Capitol and CVC by the end of the year.
The Curator's staff is also continuing the integrated pest management
program established last year. Monthly monitoring is currently done in
the storage spaces in the Capitol and SSF, and will be instituted in
the CVC storage spaces when completed.
Conservation and preservation concerns continue to be a top
priority. The conservation treatment begun in 2007 to restore the
historic painting and frame, Henry Clay in the U.S. Senate, will be
completed in 2008. Efforts are also underway, in collaboration with the
AOC and with the services of a conservator, to repair graffiti related
damage and clean Alexander Calder's monumental sculpture, Mountains and
Clouds. Also related to the conservation will be the development of a
maintenance plan, installation of new protective measures, and efforts
to better educate staff and visitors about this important work of art.
Following completion of an assessment of the Senate's historic
timepieces, planning will begin for the conservation and maintenance of
the clocks.
The Curator's office will continue its effort to locate and recover
significant historic Senate pieces, with a special emphasis on the
Russell Building furnishings. Recent efforts have focused on the
acquisition of a mahogany flat top desk, swivel arm chair, easy chair,
and davenport. Last year, office staff conducted an initial survey of
existing pieces which indicated that less than half of the pieces
originally supplied for Senator's personal offices remain in the
Senate. The Senate Curator hopes to identify, preserve, and protect
these unique pieces. The first phase will be to conduct a detailed
condition survey of the surviving historic Russell furnishings. The
survey will determine conservation priorities, provide information on
the age, origin, and importance of the pieces, and furnish necessary
records for disaster planning.
With regard to collections documentation and access, the office
plans several initiatives to improve data standards and electronic
access to records should a COOP event occur. The first phase will
involve developing more detailed cataloguing and data entry guidelines
to ensure electronic object records are consistent. The guidelines will
combine all current style guides and cataloging procedures into a
single document for easy and efficient access. In addition, the current
collection database will be evaluated to assess the stability and
efficiency of the system, since the amount of information (including
photographs) for each object continues to grow. This project will most
likely lead to a phased project to update and/or upgrade the system.
The office will move towards identifying art handling companies
that can be of assistance in the event of an emergency. Other emergency
preparedness activities include identifying alternate locations for
staging and storage, and developing procedures for the initial response
steps in an emergency. All current loan agreements will be scanned and
procedures for maintaining current loan agreements in electronic format
will be developed. This will assist the office in the event of an
emergency and provide the information needed to locate loans and
contact lenders.
Professional photography is scheduled for numerous objects in the
Senate collection, including upcoming Senate leadership portraits, CVC
loan objects, and historic prints.
The office will continue to administer the current commissioned
leadership portrait of Senator Trent Lott and advance efforts to
commission a painting of Senator Bill Frist. The staff coordinated the
unveiling of the portrait of Senator Tom Daschle.
With the restoration of the S-115 mirror completed, staff will move
forward with other critical frame conservation priorities from the
multi-phased conservation project developed in 2007. This work will
employ the procedures and standards established in the first
conservation project, refining them as necessary, and will include on-
site consolidation of at least two mirrors. The staff will also work
with the AOC to remedy known installation hardware concerns.
The staff will continue to focus efforts at coordinating with the
AOC regarding preservation issues related to Senate restoration and
remodeling projects, disseminate project information to the Senate,
develop preservation projects at the request of the Senate, conduct
condition inspections, and arrange necessary maintenance. The Curator
staff will enhance outreach to Capitol offices and continue to promote
its preservation services. The Senate Curator will oversee specific
projects, including the creation and installation of the occupant's
State seal in S-210, and the restoration and rehabilitation of the
Senate Reception Room.
The office will enlarge its offerings of brochures and information
sheets on historic rooms by beginning research on the Republican
Leadership suite.
In 2008 the Curator's staff will launch the first phase of its
redesigned art Web site. The new site will organize art works by
subject, rather than by medium, as it is currently organized. In
addition to the reorganization, the newly launched site will include
images from the Senate's graphic art collection.
Curator's staff will also develop and post two new Web sites in
2008. The first will address frequently heard myths about Senate art,
dispelling this misinformation through the use of interactive quizzes
and evidence-gathering. The second Web site will illustrate the history
and conservation of Phineas Staunton's monumental painting of Henry
Clay.
Most notably, the Curator's staff will continue plans for the
Russell Senate Office Building Centennial. Among the proposals under
consideration are informational panels to be placed at appropriate
locations in the building, a publication, lectures and tours, a Web
exhibit, restoration of original building furnishings, and an exhibit
showcasing the original seven furniture pieces supplied in 1909 to
Senators for their offices. Planning and development will continue
through 2008, and the results will be unveiled in early 2009.
joint office of education and training
The Joint Office of Education and Training provides employee
training and development opportunities for all Senate staff in
Washington, DC, and the States. There are three branches within the
office. The Technical Training branch is responsible for providing
technical training support for approved software packages and equipment
used in either Washington, DC, or the State offices. Staff in this
branch 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 staff provides courses for all Senate staff in areas which
include management and leadership development, human resources issues
and staff benefits, legislative and staff information, and new staff
and intern information. The Health Promotion branch staff provides
seminars, classes and screenings on health and wellness issues. Staff
from this branch also coordinates an annual health fair for all Senate
employees and plans three blood drives every year.
Training Classes
The Joint Office of Education and Training offered 990 classes and
events in 2007, drawing 10,124 participants. Registration desk staffers
handled over 32,000 e-mail and phone requests for training and
documentation.
Of the above total, 240 Technical Training classes were held with a
total attendance of 1,024 students. An additional 487 staff received
coaching in 202 sessions on various software packages and other
computer related issues. Two hundred seventy-eight Professional
Development classes were held with a total attendance of 3,270
students. The staff managed or assisted the staffs of the Employee
Assistance Program, Office of Security and Emergency Preparedness, the
Disbursing Office, the Senate Library and the Senate Select Committee
on Ethics with 163 training classes attended by 2,013 students.
The Office of Education and Training staff is available to work
with teams on issues related to team performance, communication, or
conflict resolution. During 2007, over 142 requests for special
training and team building were met with 1,389 staff taking part.
In the Health Promotion area, 2,552 staff participated in 62 Health
Promotion activities throughout the year. These activities included:
lung function and kidney screenings, blood drives, the Health and
Fitness Day, and seminars on health related topics.
Annually, this office provides a Senate Service Expo for Senate
office staff. Thirty-five presenters from the offices of the Secretary
of the Senate, the Sergeant at Arms, the Architect of the Capitol, the
Capitol Police and the Library of Congress participated in this year's
program.
State Training
Since most of the classes that are offered are only practical for
Washington, DC-based staff, the Office of Education and Training
continues to offer the ``State Training Fair'' which began in March
2000. In 2007, 3 sessions of this program were attended by 164 State
staff.
This office also conducted the State Directors Forum, which was
attended by 49 State administrative managers and directors and a
Constituent Services Forum attended by 76 State staff. In addition,
this office has implemented the ``Virtual Classroom'' which is an
Internet-based training library of 3,000+ courses. To date, 504 State
office and Washington, DC, staff have registered and accessed a total
of 1,153 different lessons using this training option. Additionally,
the Professional Training branch offered 22 video teleconferencing
classes, which were attended by 355 State staff and Technical Training
offered 13 video teleconferencing classes for 96 State staff. Three
Technical Training Trips reached 76 staff in 3 States. Education and
Training also created 18 Senate-specific self-paced lessons that have
been accessed by 320 staff.
senate chief counsel for employment
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 the legal defense of Senate
offices in employment law cases at both the administrative and court
levels, from the inception of the case through appeals and Supreme
Court review. Also, on a day-to-day basis, the SCCE provides legal
advice to Senate offices about their obligations under employment laws.
Accordingly, each Senate office 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 courts and administrative
hearings);
--Mediations to resolve lawsuits;
--Court-ordered alternative dispute resolutions;
--Union drives, negotiations, and unfair labor practice charges;
--Occupational Safety and Health Act (OSHA)/Americans with Disability
Act (ADA) compliance;
--Layoffs and office closings in compliance with the law;
--Management training regarding legal responsibilities; and
--Preventive legal advice.
Litigation, Mediations, and Alternative Dispute Resolutions
The SCCE defends each of the employing offices of the Senate in all
court actions, 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.
OSHA/ADA Compliance
The SCCE provides advice and assistance to Senate offices by
assisting them with 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. The
SCCE played a significant roll in the inspection process by pre-
inspecting Senate offices to ensure compliance with the ADA/OSHA and by
providing counsel to Senate offices during the inspection process.
In 2007, the SCCE pre-inspected 132 Senate offices to ensure
compliance with the ADA and OSHA. Inspections included 98 Senate Member
offices in the Hart, Dirksen, and Russell buildings, 31 Sergeant at
Arms (SAA) offices also in the Hart, Dirksen, and Russell buildings,
the Senate Day Care Center, Senate Webster Hall Page Dormitory, and the
Senate Support Facility. At the conclusion of the inspection process,
Senate offices had no significant problems, and 97 percent of the
problems were abated immediately.
Management Training Regarding Legal Responsibilities
The SCCE conducts legal seminars for the managers of Senate offices
to assist them in complying with employment laws, thereby reducing
their liability.
In 2007, the SCCE gave 55 legal seminars to Senate offices. The
topics included:
--The Congressional Accountability Act of 1995: Management's Rights
and Obligations;
--The Fair Labor Standards Act (FLSA);
--Avoiding Legal Landmines in Your Office;
--Understanding Sexual Harassment in the Workplace;
--A Manager's Guide to Preventing and Addressing Sexual Harassment in
the Workplace;
--Hiring the Right Employee: Advertising and Interviewing;
--Military Service Academies Interview Training;
--Employers' Common Mistakes and How to Avoid Them;
--The Employment Eligibility Verification Program;
--Diversity Awareness: The Legal Perspective;
--Americans with Disabilities Act of 1990;
--Legal Pitfalls in Evaluating, Disciplining and, Terminating
Employees;
--A Manager's Guide to Complying with the Family and Medical Leave
Act; and
--Interviewing Candidates for the Page School Program.
Legal Advice
The SCCE meets with Members, chiefs of staff, administrative
directors, office managers, staff directors, chief clerks, and counsels
at their request to provide legal advice. For example, on a daily
basis, the SCCE advises Senate staff on matters such as interviewing,
hiring, counseling, 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; management's rights and obligations under union laws and OSHA;
management's obligation to give leave to employees for military service
and to reinstate them at the conclusion of that service; and
management's obligation to verify with Department of Homeland Security
and the Social Security Administration that each new hire is legally
eligible to work in the United States. In 2007, the SCCE had over 1,998
such meetings.
The SCCE provides legal assistance to employing offices to ensure
that their employee handbooks and office policies, supervisors'
manuals, job descriptions, interviewing guidelines, and performance
evaluation forms comply with the law. In 2007, the SCCE prepared 199
such documents for Senate offices.
Union Drives, Negotiations and Unfair Labor Practice Charges
In 2007, the SCCE handled one union drive and assisted in
negotiations with another union.
Miscellaneous
The SCCE, working with the Office of Web Technology, has prepared
and designed an SCCE website to be launched in 2008. The site will
inform Senate offices of their legal obligations under the CAA, will
provide Senate offices access to legal forms and documents, and will
alert Senate offices of upcoming SCCE seminars.
Working with the management of Member offices, the SCCE has
developed a series of 11 legal seminars that the SCCE will present
monthly to chiefs of staff, administrative directors, office managers
and the committee counterparts of each. Those completing the series
will receive a certificate from the Secretary of the Senate.
Responding to requests by Member offices, the SCCE designed two new
seminars: ``Military Service Academies Interviewing Training'' and
``Interviewing Candidates for the Page School Program.'' The SCCE gives
these seminars across the country to the individuals who interview on
behalf of Member offices for the academies and/or the Senate Page
School. The purpose of the training is to ensure that the interviews
are conducted in compliance with the law.
Since 2001, the SCCE has utilized a document management system. In
this fiscal year, we upgraded the system to stay current with
technological advances. In addition, the SCCE continues to operate a
``paperless'' office by scanning and electronically storing all
incoming documents.
senate gift shop
Since its establishment in October 1992 (2 U.S.C. 121d), the Senate
Gift Shop has continued to provide service and products that maintain
the integrity of the Senate while increasing the public's awareness of
its history. The Gift Shop serves Senators, their spouses, staffs,
constituents, and the many visitors to the U.S. Capitol complex.
The products available include a wide range of fine gift items,
collectables, and souvenirs created exclusively for the U.S. Senate.
The services available include special ordering of personalized
products and hard-to-find items, custom framing, including red-lines
and shadow boxes, gold embossing on leather, etching on glass and
crystal, engraving on a variety of materials, and shipping domestically
and abroad.
Facilities
In addition to the three physical locations, the Gift Shop has
developed a presence on Webster, the Senate's Intranet. The Web site
currently offers a limited selection of products that can be purchased
by phone, email, or by printing and faxing the order form provided on
the site. Plans to further develop the Web site include a greater
selection of merchandise, eventually adding an e-commerce component to
facilitate online transactions. The Gift Shop Administrative Office
staff also provide mail order service by phone or fax, and special
order and catalogue sales by phone, fax, and face-to-face.
The Gift Shop maintains two warehouse facilities. The bulk of the
Gift Shop's stock is held in the Senate Storage Facility (SSF), an
offsite storage site. While the Sergeant at Arms (SAA) of the Senate is
in charge of the SSF's overall management, the Director of the Gift
Shop has responsibility for the operation and oversight of the interior
spaces assigned for Gift Shop use. Storing inventory in this
centralized, climate-controlled facility provides protection for the
Gift Shop's valuable inventory in terms of physical security as well as
improved shelf life for perishable and non-perishable items alike.
The second Gift Shop warehouse is maintained in the Hart Building.
This facility serves as the point of distribution to the Gift Shop
store and the Capitol Gift Shop counter, both of which have limited
storage space. Stock from the Hart warehouse is sold directly from the
Administrative and Special Order Office. The Hart warehouse also
accommodates the Gift Shop's receiving, shipping, and engraving
departments. Gift Shop management will continue to look for ways to
make improvements with the product-handling between the on-site and
off-site warehouse locations.
Sales Activities
Sales recorded for fiscal year 2007 were $1,573,827.93. Cost of
goods sold during this same period were $1,064,357.47, accounting for a
gross profit on sales of $509,470.46.
In addition to tracking gross profit from sales, the Gift Shop
maintains a revolving fund and a record of inventory purchased for
resale. As of October 1, 2007, the balance in the revolving fund was
$2,302,981.87. The inventory purchased for resale was valued at
$2,750,681.79.
Additional Activity
The Gift Shop is currently upgrading both its back office and point
of sale computer systems. This will create the opportunity for the
Senate Gift Shop computer hardware and software packages to be upgraded
sufficiently to fulfill its needs well into the foreseeable future.
In fiscal year 2007 the Gift Shop initiated a program to address
issues pertaining to lead content in product and the Consumer Product
Safety Commission's (CPSC) recommended guidelines concerning lead.
After several meetings with representatives from the CPSC and
independent private companies that offer lead testing programs, the
Senate Gift Shop implemented a program for evaluating and monitoring
products.
Selected Accomplishments in Fiscal Year 2007
Official Congressional Holiday Ornaments
The year 2007 marked the 14th year of the Congressional Holiday
ornament. Each ornament in the 2006-2009 series of unique collectables
depicts an image celebrating the day-to-day activities taking place on
the Capitol grounds. The four images of the series are based on
original oil paintings commissioned by the Gift Shop.
Sales of the 2007 holiday ornament exceeded 30,000 ornaments, of
which more than 7,000 were personalized with engravings designed,
proofed, and etched by Senate Gift Shop staff. This highly successful
effort was made possible by the combined efforts of our administrative,
engraving, and store staffs. Additional sales of this ornament and
ornaments from previous years are expected to continue for years to
come.
Capitol Bookend
The Capitol bookend is a remarkably detailed recreation of the
central portion of the Capitol. Created of resin, metal, and plaster,
the piece displays fine architectural details. Marble recovered during
the renovations to the east front of the Capitol was added to the
building materials, making the piece truly unique.
Capitol Box
The Gift Shop worked with the Pickard Corporation, a manufacturer
of fine china in Illinois, to recreate a round porcelain box originally
developed by Tiffany and Company more than 12 years ago and
subsequently taken out of production by Tiffany. The round box contains
a series of four images on its perimeter depicting the early meeting
places of Congress. The lid depicts a more recent image of the Capitol
as it appears today. With Tiffany's permission, the original designs
and colors were replicated on a Pickard Corporation white porcelain
box. It was produced in the United States. Early sales indicate that
this will once again be a most popular item with Gift Shop customers.
Webster Intranet Site
The Web site has been expanded with the addition of sections
dedicated to artwork, jewelry, commemorative plates, and baby goods.
The overall design of the Web site has been updated and navigation
through the site has been streamlined.
Projects and New Initiatives for 2008
Senate Photo Studio
In partnership with the Senate Photography Studio, the Gift Shop
will offer prints of original photos taken by Senate photographers.
These images will be offered as an exclusive to the Gift Shop and be
made available in several sizes and formats. Professional matting and
framing will be available.
Congressional Plate Series
The 108th, 109th, and 110th Official Congressional Plates will
continue to be sold for years to come. The 111th congressional plate,
the final of the series, has been produced and delivered. This plate
will be held in inventory and not offered for sale until the convening
of the 111th Congress.
Hand Painted Fine China
The Gift Shop is developing a line of fine china that will be hand-
painted with Brumidi floral motifs taken from the LBJ Room, the
President's Room, and the Brumidi northwest corridors in the Capitol.
The painting will be done by Anna Weatherly, an artist based in
Arlington, Virginia. The collection will include assorted plates, cups
and saucers, and cachepots.
Candlesticks
The Gift Shop is working with Mottahedeh & Company, a New York-
based firm specializing in fine art giftware, to design and produce an
exclusive brass candlestick. This item will replicate a stanchion that
is part of the rail and banister adorning the marble staircase
descending to the northwest Brumidi corridor.
Senate Bronze Door Bookend
The Gift Shop has begun designing a new bookend, this one depicting
the Senate bronze doors originally designed by Thomas Crawford in 1855.
The bookend will depict the fine architectural and artistic details of
the original doors which are located near the Senators' entrance to the
chamber floor. As with the Capitol bookend, the materials used to
create the Senate bronze door bookend will contain marble recovered
from the Capitol itself.
Senate Scarves
The Gift Shop has developed four new scarf designs depicting
various elements of Constantino Brumidi art. The ceiling of the LBJ
Room and other Brumidi corridor frescos are the central subject for
this product. Echo Design Group of New York will be providing the first
proofs of the scarves in early 2008. We anticipate that this product
will be available for sale in the spring of this year.
Webster Intranet Site
In the coming year the Gift Shop will continue to increase Web site
usability. The addition of content, as well as the continual refinement
of page design and navigation features, enhances user satisfaction.
Using the Web site, staffers in State offices have the opportunity to
take better advantage of the services the Gift Shop offers.
Capitol Complex Lumber
In the autumn of 2001, the construction of the Capitol Visitor
Center extension required the removal of many trees from the Capitol
complex. As part of a Gift Shop initiative, the felled trees were
recovered, milled, kiln dried, and are now being stored as lumber at
the Senate Support Facility. This stored wood, approximately 12,000
board feet, has been inventoried and separated by species. Several
products have been created from this commemorative lumber. Wooden desk
boxes with a variety of Capitol images on porcelain stone inset into
the lids are already popular. One style of wooden pen has been produced
and is offered for sale in the shop. Other designs are to follow
shortly. Over the course of the next year, additional opportunities for
using this lumber in the development of new products will be explored.
senate historical office
Serving as the Senate's institutional memory, the Historical Office
staff 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 staff 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 historians keep extensive biographical,
bibliographical, photographic, and archival information on the 1,897
former and current senators. Historical Office staff edits historically
significant transcripts and minutes of selected Senate committees and
party organizations for publication, and conducts oral history
interviews with key Senate staff. The photo historian maintains a
collection of approximately 40,000 still pictures that includes
photographs and illustrations of Senate committees and most former
senators. The office staff develops and maintains all historical
material on the Senate Web site, Senate.gov.
Editorial Projects
Pro Tem: Presidents Pro Tempore of the United States Senate
Since 1789
To honor the important role played by the Senate's president pro
tempore (PPT) since 1789, the historians completed a book-length
history of the office and its occupants. For each of the 87 individuals
who have served in the office, a biographical profile highlights their
PPT service along with their non-Senate careers, includes commentary by
contemporaries, historians, and biographers, and presents a
photographic likeness of the individual. Divided into four sections
(The Formative Years, 1789-1860; A Question of Succession, 1861-1890;
Fathers of the Senate, 1891-1946; The Modern Era, 1947-present), the
book includes contextual essays that explain the evolution of the
office, its changing duties and responsibilities, its place in the line
of presidential succession, and the unique role played by these leaders
in Senate history. The 120-page book includes a preface by current
President pro tempore Robert C. Byrd and will be printed in May of this
year.
Traditions of the United States Senate
In support of the 2006 new Members' orientation program, the office
prepared a 32-page booklet designed as a guide to the Senate(s
distinguishing customs and rituals. The booklet's popularity inspired
publication of a revised edition entitled Traditions of the United
States Senate. In the early months of the 110th Congress, prior to
publication of the updated Chamber floor seating chart, this booklet
was distributed to Senate chamber gallery visitors. Sufficient copies
are available so that it can serve that same purpose at the start of
the 111th Congress. Copies are available through the Senate Office of
Printing and Document Services.
``States in the Senate''
In 2007, the Historical Office staff began the development of a new
feature for Senate.gov, ``States in the Senate.'' In this collaborative
project, the historians, historical editor, photo historian, and
historical writer began researching and writing time lines and
selecting illustrative images for each of the 50 States, highlighting
persons and events of the State's history that relate to the U.S.
Senate. When complete, the project will present an interactive time
line for each State, with links to relevant documentary and visual
material. It is designed to inform senators, staff, and constituents
about their State's historical role in the Senate.
Russell Building Centennial
In preparation for the centennial of the Russell Senate Office
Building's 1909 opening, the office prepared text for a 32-page booklet
that will highlight the facility's design, construction, and subsequent
evolution. Relevant excerpts from the office's oral history interviews
have been compiled, and identification of photographs and other images
to illustrate the building's history is underway. In collaboration with
the staffs of the Office of Senate Curator, the Architect of the
Capitol, and the Senate Library, the historians are planning exhibits
and a feature on Senate.gov.
Administrative History of the Senate
Throughout 2007, the assistant historian continued the research and
writing for the historical account of the Senate's administrative
evolution. This study traces the development of the offices of the
Secretary of the Senate and Sergeant at Arms (SAA), considers 19th and
20th 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. In particular,
during the past year the assistant historian has taken advantage of
newly available archival and print sources for the 19th century to
complete additional research and has continued to write the first four
chapters covering the period 1789-1877.
The Idea of the Senate
For more than two centuries, senators, journalists, scholars, and
other first-hand observers have attempted to describe the uniqueness of
the Senate, emphasizing the body's fundamental strengths, as well as
areas for possible reform. From James Madison in 1787 to Lyndon Johnson
biographer Robert Caro in 2002, sharp-eyed analysts have left memorable
accounts that can help modern senators better understand the Senate in
its historical context. This project identifies 30 major statements by
knowledgeable observers. Each of the brief chapters includes an
extended quotation and an essay that places the quotation in historical
context. This work will be published during 2008.
Rules of the United States Senate, Since 1789
In 1980, Senate Parliamentarian Emeritus Floyd M. Riddick, at the
direction of the Senate Committee on Rules and Administration, prepared
a publication containing the eight codes of rules that the Senate
adopted between 1789 and 1979. In the 1990s, the Senate Historical
Office staff, in consultation with Dr. Riddick, developed a project to
incorporate an important feature not contained in the 1980 publication.
Beyond simply listing the eight codes of rules, the office's goal is to
show how--and why--the Senate's current rules have evolved from earlier
versions. This work, to be completed during 2008, will contain eight
narrative chapters outlining key debates and reasons for significant
changes. Appendices will include the original text of all standing
rules and all changes adopted between each codification.
Biographical Directory of the U.S. Congress, 1774-2008
Since publication of the 2005 print edition of The Biographical
Directory of the United States Congress, the historians have added new
biographical sketches and bibliographical citations that incorporate
recent scholarship to the work's online database (http://
bioguide.congress.gov). The assistant historian and historical writer
work closely with the staff of the House Office of History and
Preservation to maintain accuracy and consistency in the joint Senate-
House database and to promote this valuable resource among historians,
teachers, students, and the public.
Oral History Program
The office's historians conduct a series of oral history
interviews, which provide personal recollections of various Senate
careers. Interviews were completed with several members of the Senate's
telecommunications staff; Deputy Assistant Sergeant at Arms Michael A
Johnson; John D. Lane, administrative assistant to Senator Brien
McMahon (D-CT, 1945-1952); G. William Hoagland, former staff director
of the Senate Budget Committee and advisor to Senate majority leader
Bill Frist; and James R. Ketchum, the former Senate Curator. Other
interviews are ongoing with former Senator Charles McC. Mathias (R-MD,
1969-1987); Tim Profeta, who played a significant role in drafting the
legislation that created the Office of Senate Legal Counsel during his
long and diverse Senate staff career that spanned 30 years; and Keith
Kennedy, former staff director of the Senate Appropriations Committee.
In addition, the office staff inaugurated a new oral history project,
conducting interviews with current and former Senate spouses. The
complete transcripts of 25 interviews conducted since the 1970s have
been posted on the Senate.gov. Each month, the office features a
different oral history on the Web site. Unum, the Secretary of the
Senate's newsletter, now features a series entitled ``Senate Voices,''
which includes excerpts from the oral histories, beginning with former
Senator George A. Smathers (D-FL, 1951-1969).
Member Services: Members' Records Management and
Disposition Assistance
The Senate archivist assisted Members' offices with planning for
the preservation of their permanently valuable records, emphasizing the
importance of managing electronic records and transferring valuable
records to a home-state repository with a digital asset management
system. The Senate archivist held meetings with staff members from
offices that will close at the end of the 110th Congress were held to
plan for the preservation and deposit of Members' collections. This
included identifying appropriate repositories for those members who had
not already selected one and working with staff to promote informed
selection and preservation of historical documentation, including
electronic records. The archivist revised the Checklist for Closing a
Senator's Office and the pamphlet, Senators' Papers: Management and
Preservation Guidelines. To enhance communication within the Senate
regarding archival preservation, the archivist led brown-bag lunch
discussions and has developed a Listserv that promotes archival
training for staff within members' offices, efficient records
management, and historical records preservation. The Center for
Legislative Archives sponsored a special staff directors' tour and
dinner to promote appreciation of records preservation. The Senate
archivist continued to work with staff from all repositories receiving
senatorial collections to ensure adequacy of documentation and the
transfer of appropriate records with adequate finding aids and provided
advice on access restrictions as well. The archivist conducted a
seminar on records management for Senate offices and participated in
the Sergeant at Arms' Senate Services Fair. In addition, in May 2008,
the archivist will begin offering training in records management for
State office staff through the use of video teleconferencing. The
archivist continues to serve in leadership roles for the Society of
American Archivists' Congressional Papers Roundtable and the
Association of Centers for the Study of Congress.
Member Services: Committee Records Management and
Disposition Assistance
The Senate archivist provided each Senate committee with staff
briefings, record surveys, guidance on preservation of information in
electronic systems, and instructions for the transfer of permanently
valuable records to the National Archives' Center for Legislative
Archives. The archivist oversaw the transfer to the Archives of 642
accessions of Senate records. The historians provided many training
sessions to Senate interns tasked with archiving committee records. The
archivist and assistant archivist responded to approximately 197
requests for loans of records back to committees, totaling nearly 1,000
boxes. The archivist worked with the Foreign Relations Committee to
transfer classified transcripts to the National Archives. The archivist
worked with the Senate Committee on Rules and Administration and the
Senate Recording Studio to begin the transfer of televised recordings
of committee hearings to the National Archives. The archival assistant
continued to provide processing aid to committees and administrative
offices in need of basic help with noncurrent files. The staff
initiated a project to scan committee National Archives' transfer
sheets dating from 1982 through 2004 into the OnBase document
management system supported by the SAA. To date, records of the Senate
Committees on Agriculture, Nutrition, and Forestry; Appropriations;
Armed Services; Banking, Housing, and Urban Affairs; and Health,
Education, Labor and Pensions have been processed. This information is
provided to the Center on electronic media both as a security measure
and to enhance future researcher access to the records as they become
open for research.
Member Services/Educational Outreach: ``Senate Historical
Minutes''
The Senate historian continued a series of ``Senate Historical
Minutes,'' begun in 1997 at the request of the Senate Democratic
Leader. In 2007, he prepared and delivered a ``Senate Historical
Minute'' biweekly at Democratic Conference meetings. These 430-word
``Minutes'' enlighten Members about significant events and
personalities associated with the Senate's institutional development.
More than 300 of them are available as a regularly expanded feature on
Senate.gov (``Historical Minute Essays''). An illustrated compilation
was published in 2006 as 200 Notable Days: Senate Stories, 1787-2002.
Photographic Collections
The photo historian enhanced the office's upcoming publications on
Senate presidents pro tempore and the Russell Building's centennial by
selecting images to illustrate the respective texts. The photo
historian continued to provide timely photographic reference service by
phone and e-mail, while cataloging, digitizing, rehousing, and
expanding the office's 40,000-item image collection. She also
maintained the office's continuity of operations (COOP) plan and
updated backup copies of the office's vital electronic records. The
photo historian worked closely with the National Archives to arrange
for the scanning of a large collection of early 20th century historical
photographs donated to the Office, thus adding hundreds of new images
to the collection.
Educational Outreach
Much of the Historical Office's correspondence with the general
public takes place through Senate.gov, which has become an
indispensable source for information about the institution. Office
staff maintain and frequently update the Web site with timely reference
and historical information. In 2007, the office staff responded to more
than 1,300 inquiries from the general public, the press, students,
family genealogists, congressional staffers, and academics, through the
public e-mail address provided on the Senate.gov. The diverse nature of
their questions reflects varying levels of interest in Senate
operations, institutional history, and former Members. Office staff
also provided seminars on the general history of the Senate, Senate
committees, women senators, Senate floor leadership, relations between
the press and the Senate, and the U.S. Constitution. The historians
also participated in Senate staff seminars and office retreats, and
conducted dozens of briefings for specially scheduled groups.
Advisory Committee on the Records of Congress
This 11-member permanent committee, established in 1990 by Public
Law 101-509, meets semiannually to advise the Senate, the House of
Representatives, and the Archivist of the United States on the
management and preservation of the records of Congress. Its membership
representing the Senate includes the Secretary of the Senate, who is
chairing the panel during the 110th Congress, the Senate historian, and
appointees of the secretary and the majority and minority leaders. The
Historical Office staff provides support services for the Committee's
regular meetings.
Capitol Visitor Center Exhibition Content Committee
Staff historians completed their assignments in drafting text for
displays in the 17,000 square-foot exhibition gallery of the Capitol
Visitor Center.
human resources
The Office of Human Resources 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.
These responsibilities include recruiting and staffing; providing
guidance and advice to managers and staff; training; performance
management; job analysis; compensation planning, design, and
administration; leave administration; records management; maintaining
the employee handbooks and manuals; internal grievance procedures;
employee relations and services; and organizational planning and
development.
The Human Resources staff administers the following programs for
the Secretary's employees: the Public Transportation Subsidy program,
Student Loan Repayment Program, parking allocations, and the summer
intern program that offers college students the opportunity to gain
valuable skills and experience in a variety of Senate support offices.
As a 2008 initiative, Human Resources has migrated eligible commuters
to the Smart Benefits Program, which is operated by the Washington
Metropolitan Area Transit Authority.
Recruitment and Retention of Staff
Human Resources has the ongoing task of advertising new vacancies
or positions, screening applicants, interviewing candidates, and
assisting with all phases of the hiring process. Human Resources
coordinates with the Sergeant at Arms (SAA) Human Resources Department
to post all SAA and Secretary vacancies on the Senate intranet,
Webster, so that the larger Senate community may access the posting
from their own offices.
Training
In conjunction with the Senate Chief Counsel for Employment, staff
continues to develop and deliver training for department heads and
staff. Training topics include sexual harassment, interviewing skills,
Family Medical Leave Act administration, and an overview of the
Congressional Accountability Act.
Interns and Fellows
Human Resources staff manages the Secretary's internship program
and the coordination of the Heinz Fellowship program. From advertising,
conducting needs analyses, communicating, screening, placing and
following up with all interns, the office keeps a close connection with
these program participants in an effort to make the internship most
beneficial to them and the organization.
Combined Federal Campaign
The office has taken an active role in the Combined Federal
Campaign (CFC) for the Senate community at-large. The office serves as
co-director of the program for the Senate, participating in kick-off
meetings, identifying key workers in each office, and disseminating and
collecting necessary information and paperwork.
information systems
The staff of the Department of Information Systems provides
technical hardware and software support for the Office of the Secretary
of the Senate. Information Systems staff also interface closely with
the application and network development groups within the Sergeant at
Arms (SAA), and the Government Printing Office (GPO) on technical
issues and joint projects. The department provides computer-related
support for all local area network (LAN) servers within the Office of
the Secretary. Information Systems staff provide direct application
support for all software installed on workstations, initiate and guide
new technologies, and implement next generation hardware and software
solutions.
Mission Evaluation
The primary mission of the Information Systems Department is to
continue to provide the highest level of customer satisfaction and
computer support for the office of Secretary of the Senate. Emphasis is
placed on the creation and transfer of legislative records to outside
departments and agencies, meeting Disbursing Office financial
responsibilities to the Member offices, and office mandated and
statutory obligations.
Fiscal Year 2007 Summary of Improvements to the Secretary's Local Area
Networks
The Senate Active Directory/Messaging Architecture (ADMA) project
implementation provided a central point of IT system administration,
and the opportunity to deploy enterprise-wide solutions which include
remote access to Outlook Web Access, Webster, Legislative Information
Systems (LIS), and newswire services. The Secretary's office piloted
and successfully implemented the ADMA Refresh program, replacing server
hardware to take advantage of increased performance factors, lower
power consumption, and improve efficiency by reducing the number of
servers required to provide new technologies.
The passage of S. 1, the Honest Leadership and Open Government Act
of 2007, mandated the replacement of the existing Public Records filing
solution with an enhanced joint solution with the House of
Representatives. Four older servers were replaced to accommodate the
increased amount of lobby registrations. Software development directed
by the SAA and the Secretary of the Senate in collaboration with the
Office of the House Clerk's staff insured the new system was available
in December 2007. A single web portal was introduced for registrants
who are no longer are required to visit two different Web sites to file
lobby reports. Additionally, the new architecture provides fail-over
capability to the Alternate Computing Facility (ACF).
Upgraded and replaced 30 percent of handheld mobile devices
(BlackBerry) for essential staff. Coverage is now available in Webster
Hall.
New laptops with secure wireless printing functionality were
provided for the teaching staff of the Senate Page School.
Initiated Senate Gift Shop and Stationery Room Project requirement
to update existing point of sale and back office hardware and software
application. Project is ongoing in 2008.
Completed additional Senate Wireless network access verification
testing for staff access in Hart, Russell, Dirksen, and Postal Square
locations.
Completed installation of Disbursing backup servers at an offsite
location.
Installed and upgraded ADMA servers for Chief Counsel for
Employment (SCCE) department. Provided SCCE with additional mini-file
server to transport all critical data to an offsite location.
In the past, technical staff were required to visit approximately
75 workstation and laptop locations to install LIS applications. In May
2007, an improved method was adopted to audit software applications,
and deployed standard applications and LIS upgrades without visiting
each workstation location. In 2007, 5 major and 40 minor upgrades were
required on each legislative workstation/laptop. The time saved
represents a tremendous support cost reduction, and insures a more
efficient method of software application deployment with fewer
interruptions to the end user.
Installed and deployed a group of eight ``hot-spare'' laptops at
the ACF. These units are located in a secure data center, and insure
legislative staff can access LIS applications from any senate location
or access from outside the Senate with virtual private network (VPN)
access.
Upgraded and replaced the senate Library database and Web servers.
Implemented Curator Environmental application at the Senate Support
Facility.
Living Disaster Recovery Planning System (LDRPS) has been a long-
term project to provide both Secretary and SAA staff with the ability
to author and distribute COOP documents on-line. Phase 2 is scheduled
for completion in March 2008, and Office of Security and Emergency
Preparedness (OSEP) implementation is scheduled for June 2008.
The Infosystems Desktop Virtualization project began in November
2006 and expanded in 2007 to include a critical application, Member
status tracking. Desktop virtualization involves separating the
physical location where the personal computer desktop lives (such as a
home or office) from where the user is accessing the computer (such as
airport or hotel business center). The member status VM (virtual
machines) environment was successfully tested during the July 2007 COOP
exercise. VM lower the initial hardware investment cost by 80 percent,
reduce power consumption requirements, and can simplify and expedite
disaster recovery efforts. The LIS Project office has adopted the VM
software application for testing different versions of its LEXA
software.
Each year a different staff member from the Information System
department is assigned to direct the Senate Concurrent Capability
Exercise. This strategy allows for each department staff person to gain
experience in the event of a short or long-term COOP event.
In conjunction with SAA and OSEP, the Secretary has adopted WebEOC
as the standard application tool to manage localized or widespread coop
events. Initial staff training for key departments was accomplished in
the fourth quarter of 2007.
Installed offsite laptop for Parliamentarian to process an indexed
search of all precedents off-line when not connected to the Senate
fiber network.
Replaced and upgraded Senate Security workstations in preparation
of the relocation to the CVC.
Increased IT security with requesting real-time email security
alert notifications from the SAA/Security Operations center. While
intrusion detection has been dramatically increased at the network
perimeter, increased levels of user training are required. SAA training
personnel provided on-site IT Security training classes for personnel
located in the offices of the Senate Gift Shop, Senate Library, and
Office of Reporters of Debate
Adopted the Microsoft Office Groove application during the July
2007 COOP exercise as the standard file migration tool to transfer
legislative documents when GPO, Senate Office of Legislative Counsel,
or the Secretary's staff is displaced.
Installed Senate Messaging Alert Client (SMAC) on all BlackBerry
devices.
Developed standardized server operating system software images for
server upgrades in the Disbursing Office and SCCE.
Implemented Remote Data Replication (RDR) process. Effectively this
consists of a set of ``sync'd'' servers and provides automatic failover
of all Secretary data files and Outlook mail account information to the
ACF.
interparliamentary services
The Office of Interparliamentary Services (IPS) has completed its
26th year of operation as a department of the Secretary of the Senate.
IPS is responsible for administrative, financial, and protocol
functions for all interparliamentary conferences in which the Senate
participates by statute, for interparliamentary conferences in which
the Senate participates on an ad hoc basis, and for special delegations
authorized by the Majority and Minority Leaders. The office also
provides appropriate assistance as requested by other Senate
delegations.
The statutory interparliamentary conferences are as follows: NATO
Parliamentary Assembly; Mexico-United States Interparliamentary Group;
Canada-United States Interparliamentary Group; British-American
Interparliamentary Group; United States-Russia Interparliamentary
Group; United States-China Interparliamentary Group; and United States-
Japan Interparliamentary Group.
In June, the 46th Annual Meeting of the Mexico-U.S.
Interparliamentary Group was held in Texas and the United States-China
Interparliamentary Group meeting was held in Washington, DC. In July,
the British-American Parliamentary Group meeting was held in Vermont.
IPS staff handled the arrangements for these successful events.
All foreign travel authorized by the Majority and Minority Leaders
is arranged by the IPS staff. In addition to delegation trips, the
office 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 and
the Minority Leader, IPS assists staff members of senators and
committees in completing the required reports.
IPS maintains regular contact with the Department of State and
foreign embassy officials. The office staff frequently organizes visits
for official foreign visitors and assists them in setting up meetings
with leadership offices. 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 Senate 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 Majority and Minority Leaders, 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 IPS.
Planning is underway for the 48th Annual Meeting of the Canada-U.S.
Interparliamentary Group and the first meeting of the United States-
Japan Interparliamentary Group which will be held in the United States
in 2008. Advance work, including site inspection, will be undertaken
for the Mexico-U.S. Interparliamentary Group conference and the United
States-Russia Interparliamentary Group conference to be held in the
United States in 2009. Preparations are also underway for the 2008
United States-China Interparliamentary Group meeting and the spring and
fall sessions of the NATO Parliamentary Assembly.
library
The Senate Library provides legislative, legal, business, and
general information services to the United States Senate. The library's
collection encompasses legislative documents that date from the
Continental Congress in 1774; current and historic executive and
judicial branch materials; an extensive book collection on American
politics, history, and biography; and a wide array of online systems.
The library also authors content for three Web sites--LIS.gov,
Senate.gov, and Webster.
Notable Achievements
Senate-wide taxonomy, indices, and content development projects
implemented to improve Web information delivery, functionality, and
stability.
Knowledge base project implemented to manage Senator biography
database.
Installed, tested, and implemented three new servers to support the
catalog database upgrade and Web-based catalog.
Processed 5,913 congressional documents received from a university
library yielding 275 documents not previously in the Senate collection.
Shelved more than 8,000 volumes of the Congressional Serial Set at
the Senate Support Facility (SSF) and completed an inventory of the
Serial Set collection.
The use of Web technology to meet the Senate's ever-increasing
demand for information continues. A Web content management system
(CMS), first installed in 2002 to support Senate.gov publishing,
significantly improved the library's ability to efficiently deliver
Senate information, while saving staff time and labor. The increased
availability of resources on the Web combined with efficient content
management has dramatically increased library inquiries. Prior to the
availability of Web-based information, library inquiries totaled
46,368. Present-day inquiries totaled approximately 1.5 million.
SENATE LIBRARY INQUIRIES
----------------------------------------------------------------------------------------------------------------
Web Increase
-------------------------- from prior
Year Traditional Total year
Intranets Senate.gov (percent)
----------------------------------------------------------------------------------------------------------------
2007........................................... 26,309 63,186 1,392,947 1,482,442 -9
2006........................................... 31,032 35,634 1,561,138 1,627,804 +90
2005........................................... 33,080 40,488 782,588 856,156 +35
2004........................................... 33,750 20,749 581,487 635,986 +61
2003........................................... 46,234 18,871 329,327 394,432 \1\ +751
2002........................................... 40,359 6,009 ( \2\ ) 46,368 ( \3\ )
----------------------------------------------------------------------------------------------------------------
\1\ Web inquiry statistics, first available in 2003, increased the total from the previous year by 751 percent.
\2\ Not available.
\3\ Baseline.
The library continues to invest in training on information
modeling, meta data management best practices, and using XML publishing
technology. Understanding the power of current technology and user
needs enables the library to generate cost-efficient, relevant, and
educational Web resources. This appreciation of user needs stems from
the most valuable service the library offers to the Senate--traditional
face-to-face and telephone research services.
Webster Modernization
The library is serving as a major contributor in the first major
review of Webster, the Senate intranet, since 2002. The Webster
Modernization project has three primary goals: establish a Webster
Advisory Group (WAG), redesign the information architecture, and
develop a taxonomy. As a WAG member, the library will help to determine
guidelines, policies, and technical and content areas of responsibility
for the four Webster stakeholders--Secretary of the Senate, Sergeant at
Arms (SAA), Senate Chaplain, and the Senate Committee on Rules and
Administration. The new Webster home page is expected to launch in
2008.
The library is committed to building and maintaining a service-
oriented information architecture, encyclopedia-like index pages, and
the first-ever taxonomy in support of Webster. The information
architecture will be displayed as five site-navigational index pages
arranging Senate administrative products and services by service,
organization, legislative topic, building location, and A-to-Z
subjects. Index pages will include key subjects such as votes, the
Congressional Record, and research databases. The taxonomy will produce
targeted site search results in a timely and efficient manner.
Incorporating a CMS into the Webster redesign will significantly
improve both site production and end user workflow. The library is
working with the Web Technology office to establish processes that will
repurpose Senate.gov content and CMS functionality. Staff time
dedicated to both authoring and editing Web publications is
significantly reduced by repurposing a single data source.
A redesigned ``New Books List'' on the library's Webster site was
launched in August. The new list is produced in XML and Web-published
via the CMS--key components in the success of the entire Webster
project. These technologies streamline the publishing process and cut
production time in half. Colorful book jacket images and Government
documents are featured on the new list. A prototype redesign for the
library's catalog page was created to incorporate preconfigured
executable searches for new Senate hearings, new books, books on order,
and hearings held by committee during a given year.
Floor Schedule
The CMS offers added efficiencies by permitting floor schedule
information for Webster and Senate.gov to be published from a single
source. In addition to convening and adjournment times, program
highlights, and links to roll call votes and the Daily Digest, the
Webster floor schedule will link to Legislative Information System
(LIS) bill status records for currently active legislation. Librarians
publish the floor schedule after each Senate meeting adjourns.
Legislative Records
Improved procedures to guarantee legislative data accuracy were put
into place in February when the Senate Validation Clerk position was
transferred to the library. Each day that the Senate is in session, the
validation clerk edits the Congressional Record against LIS data.
Discrepancies are promptly reported to the appropriate office and
corrected. These changes have greatly improved the workflow between the
Secretary of the Senate, the SAA, and the LIS Office within the Library
of Congress.
LEGISLATIVE RECORD VALIDATION
------------------------------------------------------------------------
Document type Edits
------------------------------------------------------------------------
Bill status............................................. 61
Daily Digest............................................ 53
Debates................................................. 67
Executive status........................................ 26
Legislative activity.................................... 5
Morning Business........................................ 31
---------------
Total............................................. 243
===============
2007 Days in session.................................... 171
------------------------------------------------------------------------
Efficient Web-publishing tools, including the CMS and XML, are used
to produce the library's three most popular legislative publications--
Hot Bills List, Appropriations Legislation, and Cloture Motion Activity
tables. These publications, which are generated from a single data
source, appear on Webster, LIS.gov, and Senate.gov. Librarians are
responsible for monitoring floor activity and updating these tables on
a daily basis.
HOT BILLS, APPROPRIATIONS, AND CLOTURE WEB INQUIRIES
----------------------------------------------------------------------------------------------------------------
Publication Senate.gov LIS Webster Total
----------------------------------------------------------------------------------------------------------------
Hot bills (active legislation).............................. 376,512 22,794 2,815 402,121
Appropriations legislation (fiscal year 1987-present)....... 16,528 9,917 9,464 35,909
Cloture motion activity (1971-present)...................... 7,183 865 5,664 13,712
---------------------------------------------------
Total Web Inquiries................................... 451,742 ........... ........... ...........
----------------------------------------------------------------------------------------------------------------
Instruction and Professional Outreach
Two new research classes and an interactive resource page on
Webster were developed this year. Librarians combine service, research,
and technical skills to provide practical training for the Senate. In
conjunction with National Library Week, Technical Services presented
public catalog training sessions for Senate staff.
SENATE LIBRARY CLASSES
------------------------------------------------------------------------
Subject Students Classes
------------------------------------------------------------------------
Insider's Guide to Senate.gov................. 11 2
LIS Savvy..................................... 297 37
Research tips and tricks...................... 37 2
-------------------------
Totals.................................. 345 41
------------------------------------------------------------------------
Senator Biography Database
The library is overseeing efforts to customize a multifunction data
repository for biographical and institutional information about the
1,897 individuals who have served as United States senators. The
knowledge database will enhance the storage, organization, and
retrieval of Senate Web content through support for the site search
engine, taxonomy construction, as well as display of an A-to-Z index
and topical subindexes. The library is testing 50 member record data
fields with an initial database release scheduled for August 2008.
Collection Development
The library provides several digital resources to the Senate. The
American State Papers and the United States Congressional Serial Set,
with a comprehensive collection of 325,000 legislative documents and
56,000 maps, were added this year. These provide staff with desktop
access to two centuries of the most important legislative documents.
The New York Times microfilm collection scope expanded significantly to
include 1851-1961 following the transfer of microfilm reels from two
executive branch agencies.
The library received and processed the first installment of 5,913
congressional documents offered by the University of Wyoming. These
acquisitions provided the Senate with 275 documents not previously in
the collection and represent a rare opportunity to improve the
comprehensiveness of the congressional collection.
As a participant in the Government Printing Office's (GPO) Federal
Depository Library Program (FDLP), the library receives selected
categories of legislative, executive, and judicial branch publications.
The library received 18,903 Government publications in 2007, 12,050 of
those through the FDLP. In response to the trend of issuing Government
documents in electronic format, 702 links were added to the library
catalog, bringing the total to more than 22,300. The links provide
Senate staff desktop access to the full-text of each document.
ACQUISITIONS
------------------------------------------------------------------------
Category Total
------------------------------------------------------------------------
Congressional Documents................................. 14,736
Executive Branch Publications........................... 4,167
Books................................................... 822
---------------
Total Acquisitions................................ 19,725
------------------------------------------------------------------------
A major ongoing project is the title-by-title evaluation of
executive branch publications. During the project's sixth year, 1,279
items were withdrawn from the collection, 651 of which were donated to
requesting Federal libraries. The project's final phase will improve
organization and access by integrating Government documents into the
larger primary collection. Toward this end, 382 documents were merged
into the collection.
Cataloging
The library's productive cataloging staff draws on years of
experience to produce and maintain a catalog of more than 187,700
bibliographic items. During 2007, 13,643 items were added to the
catalog--a 3 percent increase over 2007--including 6,628 new titles,
and 5,637 withdrawn items. A total of 37,331 maintenance transactions
contributed to the content, currency, and record integrity of the
catalog.
Senate staff searched the library catalog on 5,035 occasions (+6
percent), viewing 4,819 catalog pages. The catalog is updated nightly
to ensure that Senate staff will retrieve accurate and current
information on library holdings. The addition of book jacket images for
280 new titles enhanced visual appeal and utility.
A related, ongoing project involves cataloging the Senate
Historical Office's book collection. Records for 298 titles were added
to the library catalog, bringing the total number of Historical Office
titles to 1,665. Library staff assisted the Historical Office with the
reorganization and shelving of their book collection in LC call number
order.
INFORMATION SERVICE SUPPORT ACTIVITIES
------------------------------------------------------------------------
Category Total
------------------------------------------------------------------------
Document Deliveries..................................... 3,319
Circulation:
Item Loans.......................................... 2,547
New Accounts........................................ 406
Total Accounts...................................... 1,308
Microform Center:
Titles Used......................................... 49
Journals Used....................................... 658
Pages Printed....................................... 2,926
Photocopies............................................. 101,533
------------------------------------------------------------------------
Name Authorities Cooperative Program (NACO)
NACO, an international cataloging authority headquartered at the
Library of Congress, manages personal name and subject control for the
library community. As one of 457 participants, the library contributed
248 personal names and congressional terms. That exceptional number
underscores the very special nature of the Senate's collections and
skills of the library's catalogers.
Library System Upgrade
The library installed, tested, and deployed two new data servers
and a Web server to support the catalog upgrade. New capabilities have
shortened data transfer time, provided needed data redundancy, enhanced
authority record maintenance, and provided support for dynamic delivery
of catalog content. That content will be desktop available via
preconfigured executable searches and RSS feeds. The server and system
upgrades were accomplished with no service disruption for Senate staff
searching the library's catalog.
Senate Support Facility (SSF)
A networked computer workstation and printer were added to the
library's SSF site. This provides for communication with the main
library and facilitates searching the Senate's online resources,
including Webster and the library catalog.
Staff shelved more than 8,000 volumes of the United States
Congressional Serial Set received from Allegheny College, Meadville,
Pennsylvania. The project replaced volumes that were in poor condition,
identified volumes in need of conservation, and recovered 40 missing
volumes.
Preservation and Binding
During the year, 393 volumes containing hearings, committee prints,
bills and resolutions, Congressional Records, and other materials were
bound by the GPO. In addition, two sets of the Annals of Congress (84
volumes) were cleaned and bound for preservation. Technical Services
staff attended several book repair training sessions led by the
Director of the Office of Conservation and Preservation. In the course
of these sessions, 36 historic volumes were repaired.
Budget
Budget savings in 2007 totaled $1,058; and, after a decade of
budget monitoring, savings total $76,871.86. This continual review of
purchases eliminates materials not meeting the Senate's current
information needs. This oversight is also critical in offsetting cost
increases for core materials and for acquiring new materials. The goal
is to provide the highest service level using the latest technologies
and best resources in the most cost-effective manner.
Continuity of Operations (COOP) Plan
Several library initiatives further enabled the Office of the
Secretary to provide information services to the Senate from off-site.
Projects include housing core documents at the SSF, training staff to
remotely access the Senate network from a Senate-issued laptop, and
training staff to remotely check-in with the Office of Security and
Emergency Preparedness from a Senate-issued Blackberry. Additionally,
the library expanded the digital congressional research collection
containing fully searchable congressional documents dating from the
First Congress. These databases can be remotely accessed and support
immediate digital delivery of information.
Unum, Newsletter of the Office of the Secretary of the Senate
Unum, the Secretary's quarterly newsletter has been produced by
Senate Library staff since October 1997. It serves as an historical
record of accomplishments, events, and personnel in the Office of the
Secretary of the Senate. The newsletter is distributed throughout the
Senate, and to former staff and Senators. The four 2007 issues
highlighted the 10-year anniversaries of LIS and Unum, three committee
histories, and a National Library Week book talk by former Senator
Edward Brooke.
Major Library Goals for 2008
Establish taxonomy and service-oriented architecture for the
Webster redesign.
Use the Senator Biography Database to populate frequently requested
information lists published on Senate.gov.
Provide library profiles to disaster recovery agencies.
Establish a GPO contract for binding special material.
SENATE LIBRARY STATISTICS FOR CALENDAR YEAR 2007--ACQUISITIONS
--------------------------------------------------------------------------------------------------------------------------------------------------------
Books Government Documents Congressional Publications
----------------------------------------------------------------------------------------
Reports/ Total
Ordered Received Paper Fiche Hearings Prints Bylaw Docs
--------------------------------------------------------------------------------------------------------------------------------------------------------
January.............................................. 13 82 301 31 365 15 95 167 1,056
February............................................. 11 29 389 ......... 300 14 77 201 1,010
March................................................ 41 66 323 ......... 369 44 145 226 1,173
--------------------------------------------------------------------------------------------------
1st Quarter.................................... 65 177 1,013 31 1,034 73 317 594 3,239
==================================================================================================
April................................................ 25 49 162 230 282 30 72 221 1,046
May.................................................. 33 125 136 214 358 40 62 282 1,217
June................................................. 22 76 161 ......... 375 21 128 369 1,130
--------------------------------------------------------------------------------------------------
2nd Quarter.................................... 80 250 459 444 1,015 91 262 872 3,393
==================================================================================================
July................................................. 11 53 168 25 384 13 84 379 1,106
August............................................... 4 45 165 304 349 22 64 505 1,454
September............................................ 19 54 257 103 234 21 61 254 984
==================================================================================================
3rd Quarter.................................... 34 152 590 432 967 56 209 1,138 3,544
==================================================================================================
October.............................................. 81 127 216 230 2,331 131 43 480 3,558
November............................................. 24 65 171 146 2,723 152 71 425 3,753
December............................................. 22 51 285 150 1,326 73 65 288 2,238
==================================================================================================
4th Quarter.................................... 127 243 672 526 6,380 356 179 1,193 9,549
==================================================================================================
2007 Total........................................... 306 822 2,734 1,433 9,396 576 967 3,797 19,725
2006 Total........................................... 347 889 2,062 1,271 3,350 221 748 3,003 11,544
==================================================================================================
Percent Change....................................... -11.8 -7.5 32.6 12.8 180.5 160.6 29.3 26.4 70.9
--------------------------------------------------------------------------------------------------------------------------------------------------------
SENATE LIBRARY STATISTICS FOR CALENDAR YEAR 2007--CATALOGING
--------------------------------------------------------------------------------------------------------------------------------------------------------
Bibliographic Records Cataloged
S. ------------------------------------------------------------------------------
Hearing Government Documents Congressional Publications Total
Numbers ------------------------------------------------------------------- Records
Added to Books Docs./ Cataloged
LIS Paper Fiche Electronic Hearings Prints Pubs./
Reports
--------------------------------------------------------------------------------------------------------------------------------------------------------
January............................................. 12 65 7 ......... 10 550 5 12 649
February............................................ 36 15 2 6 14 357 ......... 10 404
March............................................... 29 28 7 2 5 601 19 14 676
---------------------------------------------------------------------------------------------------
1st Quarter................................... 77 108 16 8 29 1,508 24 36 1,729
===================================================================================================
April............................................... 26 41 5 ......... 29 331 4 8 418
May................................................. 59 48 5 ......... 55 255 ......... 11 374
June................................................ 16 41 6 1 23 505 43 8 627
---------------------------------------------------------------------------------------------------
2nd Quarter................................... 101 130 16 1 107 1,091 47 27 1,419
===================================================================================================
July................................................ 288 15 1 2 59 527 1 17 622
August.............................................. 115 17 14 5 7 510 1 1 555
September........................................... 44 31 7 2 18 751 1 8 818
---------------------------------------------------------------------------------------------------
3rd Quarter................................... 447 63 22 9 84 1,788 3 26 1,995
===================================================================================================
October............................................. 35 83 18 6 22 548 ......... 7 684
November............................................ 5 46 5 ......... 14 326 ......... 25 416
December............................................ 22 21 7 33 11 319 ......... 15 406
4th Quarter................................... 62 150 30 39 47 1,193 ......... 47 1,506
---------------------------------------------------------------------------------------------------
2007 Total.......................................... 687 451 84 57 267 5,580 74 136 6,649
2006 Total.......................................... 318 1,499 70 96 171 5,506 98 692 8,132
===================================================================================================
Percent Change...................................... 116.0 -69.9 20.0 -40.6 56.1 1.3 -24.5 -80.4 -18.2
--------------------------------------------------------------------------------------------------------------------------------------------------------
SENATE LIBRARY STATISTICS FOR CALENDAR YEAR 2007--DOCUMENT DELIVERY
----------------------------------------------------------------------------------------------------------------
Micrographics Photocopiers
Volumes Materials Facsimiles Center Pages Pages
Loaned Delivered Printed Printed
----------------------------------------------------------------------------------------------------------------
January........................................ 275 374 62 153 8,389
February....................................... 286 289 29 211 11,314
March.......................................... 168 306 31 158 4,886
----------------------------------------------------------------
1st Quarter.............................. 729 969 122 522 24,589
================================================================
April.......................................... 244 369 66 186 7,674
May............................................ 241 286 24 414 6,083
June........................................... 204 270 56 253 16,327
----------------------------------------------------------------
2nd Quarter.............................. 689 925 146 853 30,084
================================================================
July........................................... 193 237 34 146 12,795
August......................................... 180 191 31 359 9,074
September...................................... 207 223 .......... 171 7,842
----------------------------------------------------------------
3rd Quarter.............................. 580 651 65 676 29,711
================================================================
October........................................ 216 318 29 308 7,794
November....................................... 206 290 29 ............. 5,914
December....................................... 127 166 25 567 3,441
----------------------------------------------------------------
4th Quarter.............................. 549 774 83 875 17,149
================================================================
2007 Total..................................... 2,547 3,319 416 2,926 101,533
2006 Total..................................... 2,941 3,290 878 4,479 101,297
================================================================
Percent Change................................. -13.4 +0.9 -52.6 -34.7 +0.2
----------------------------------------------------------------------------------------------------------------
senate page school
The United States Senate Page School exists to provide a smooth
transition from and to the students' home schools, providing those
students with as sound a program, both academically and experientially,
as possible during their stay in the Nation's capital, within the
limits of the constraints imposed by their work situation.
Summary of Accomplishments
Completed the process to be re-accredited by the Middle States
Commission on Secondary Schools on December 12, 2007.
Conducted closing ceremonies for two successful page classes on
June 8, 2007, and January 18, 2008, the last day of school for each
semester.
Successfully completed orientation and course scheduling for the
Spring 2007 and Fall 2007 pages. Needs of incoming students determined
the semester schedules.
Provided extended educational experiences, including 19 field
trips, a guest speaker, opportunities to play musical instruments and
vocalize, and foreign language study with the aid of tutors. Summer
pages participated in eight field trips to educational sites as an
extension of the page experience. Administered national tests for
qualification in scholarship programs as well.
Continued the community service project embraced by pages and staff
since 2002. The Senate Page School students and staff collected items
for gift packages and then assembled and shipped the packages, which
included letters of support, to military personnel in Afghanistan and
Iraq.
Purchased updated materials and equipment, including new academic
support software for use in math, social studies, and English.
Purchased a few pieces of replacement equipment for the science lab, as
well as an LCD projector and presentation cart for use in all
classrooms.
Reviewed and updated the continuity of operations and evacuation
plans. Pages and staff continue to practice evacuating to primary and
secondary sites.
Participated in escape hood training. Staff was recertified in CPR/
AED procedures.
Trained tutors and substitute teachers in evacuation procedures.
Continued ongoing communication among the Page School, the SAA,
Party Secretaries, and the Page Program.
Summary of Plans
Our goals include:
--Continuing individualized small group instruction and tutoring by
teachers on an as-needed basis;
--Continuing to offer foreign language tutoring assistance to
students;
--Complementing the curriculum with field trips focusing on sites of
historic, political, and scientific importance;
--Administering English usage pre- and post-tests to students each
semester to assist faculty in determining needs of students for
usage instruction;
--Offering staff development options, including attendance at
seminars conducted by Education and Training and subject matter
and/or educational issue conferences conducted by national
organizations';
--Continuing the community service project;
--Conducting a Senate Page School Feedback Survey of all first
semester pages to assist staff in determining areas of strength
and areas for improvement in the program; and
--Providing all necessary responses to the re-accreditation report.
printing and document services
The Office of Printing and Document Services (OPDS) serves as the
liaison to the Government Printing Office (GPO) for the Senate's
official printing, ensuring that all Senate printing is in compliance
with Title 44, Chapter 7 (Congressional Printing and Binding) of the
U.S. Code as it relates to Senate documents, hearings, committee prints
and other official publications. The office assists the Senate by
coordinating, scheduling, delivering and preparing Senate legislation,
hearings, documents, committee prints and miscellaneous publications
for printing, and provides printed copies of all legislation and public
laws to the Senate and the public. In addition, the office assigns
publication numbers to all hearings, committee prints, documents and
other publications; orders all blank paper, envelopes and letterhead
for the Senate; and prepares page counts of all Senate hearings in
order to compensate commercial reporting companies for the preparation
of hearings.
Printing Services
During fiscal year 2007, OPDS prepared 4,744 requisitions
authorizing GPO to print and bind the Senate's work, exclusive of
legislation and the Congressional Record. This number represents a 10
percent increase over the previous year. 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 proof handling, job scheduling and tracking for
stationery products, Senate hearings, Senate publications and other
miscellaneous printed products, as well as monitoring blank paper and
stationery quotas for each Senate office and committee. OPDS also
coordinates a number of publications for other Senate offices such as
the Curator, Historian, Disbursing Office, Legislative Clerk, and
Senate Library, as well as the U.S. Botanic Garden, U.S. Capitol Police
and Architect of the Capitol. These tasks include providing guidance
for design, paper selection, print specifications, monitoring print
quality and distribution. Last year's major printing projects included
``The Report of the Secretary of the Senate'', ``New Senators Guide'',
``The United States Senate 110th Congress, Traditions of the United
States Senate'', and ``PRO TEM: Presidents Pro Tempore of the United
States Since 1789''.
Hearing Billing Verification
Senate committees often use outside reporting companies to
transcribe their hearings, both in-house and in the field. OPDS
processes billing verifications for these transcription services
ensuring that costs billed to the Senate are accurate. OPDS utilizes a
program developed in conjunction with the Sergeant at Arms Computer
Division that provides more billing accuracy and greater information
gathering capacity and adheres to the guidelines established by the
Senate Committee on Rules and Administration for commercial reporting
companies to bill the Senate for transcription services. During 2007,
OPDS provided commercial reporting companies and corresponding Senate
committees a total of 935 billing verifications of Senate hearings and
business meetings. Over 77,000 transcribed pages were processed at a
total billing cost of over $498,000, a 15 percent increase over the
previous year.
The office continued processing all file transfers and billing
verifications, between committees and reporting companies
electronically ensuring efficiency and accuracy. Department staff
continues training to apply today's expanding digital technology to
improve performance and services.
HEARING TRANSCRIPT AND BILLING VERIFICATIONS
----------------------------------------------------------------------------------------------------------------
2004 2005 2006 2007
----------------------------------------------------------------------------------------------------------------
Billing Verifications........................... 787 949 934 935
Average per Committee........................... 41.4 49.9 49.2 49.2
Total Transcribed Pages......................... 56,262 66,597 66,158 77,831
Average Pages/Committee......................... 2,961 3,505 3,482 4,096
Transcribed Pages Cost.......................... $366,904 $426,815 $433,742 $498,541
Average Cost/Committee.......................... $19,311 $22,463 $22,829 $26,239
----------------------------------------------------------------------------------------------------------------
Secretary of the Senate Service Center
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.
Additionally, the Service Center provides work for GPO detailees
assigned to legislative offices during Senate State work periods.
Document Services
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. The
Congressional Record, a printed record of Senate and House floor
proceedings, Extension of Remarks, Daily Digest and miscellaneous
pages, is one of the many printed documents provided by the office on a
daily basis. In addition to the Congressional Record, the office
processed and distributed 11,992 distinct legislative items during the
first Session of the 110th Congress, including Senate and House bills,
resolutions, committee and conference reports, executive documents, and
public laws.
CONGRESSIONAL RECORD STATISTICS
----------------------------------------------------------------------------------------------------------------
2005 2006 2007
----------------------------------------------------------------------------------------------------------------
Total Pages Printed............................................. 34,787 24,881 37,699
For the Senate.............................................. 16,393 12,362 16,659
For the House............................................... 18,394 12,519 21,040
Total Copies Printed and Distributed............................ 1,049,463 780,302 1,001,619
To the Senate............................................... 295,366 210,084 274,524
To the House................................................ 397,327 326,648 424,944
To the Executive Branch and the Public.......................... 356,770 243,570 ..............
Total Production Costs.......................................... $16,014,706 $13,115,660 ..............
Senate Costs................................................ $6,640,823 $5,006,708 $6,483,411
House Costs................................................. $8,933,244 $7,784,653 $10,035,868
Other Costs................................................. $440,639 $324,299 $374,102
----------------------------------------------------------------------------------------------------------------
Data provided by the Government Printing Office.
The demand for online access to legislative information continues
to be strong. Before Senate legislation can be posted online, it must
be received in the Senate through OPDS. Improved database reports allow
the office to report receipt of all legislative bills and resolutions
received in the Senate which can then be made available online and
accessed through other Web sites, such as LIS and Thomas, by
congressional staff and the public.
Customer Service
The primary responsibility of OPDS is to provide services to the
Senate. However, the office also has a responsibility to the general
public, the press, and other Government agencies. Requests for
legislative material are received at the walk-in counter, through the
mail, by fax, and electronically. Online ordering of legislative
documents and the Legislative Hot List Link, where Members and staff
can confirm arrival of printed copies of the most sought-after
legislative documents, continued to be popular. The Legislative Hot
List site is updated several times daily each time new documents arrive
from GPO to the Document Room. In addition, the office handled
thousands of phone calls pertaining to the Senate's official printing,
document requests and legislative questions. 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
customer service while providing accurate answers to Senate and public
requests.
SUMMARY OF ANNUAL CUSTOMER SERVICE STATISTICS
----------------------------------------------------------------------------------------------------------------
On-line Counter
Calendar year Congress/session Public mail Fax request request request
----------------------------------------------------------------------------------------------------------------
2004.......................... 108th/2nd....... 1,137 2,229 564 36,780
2005.......................... 109th/1st....... 1,369 2,326 1,464 40,105
2006.......................... 109th/2nd....... 1,048 1,633 1,751 26,640
2007.......................... 110th/1st....... 957 1,346 1,613 24,854
----------------------------------------------------------------------------------------------------------------
On-Demand Publication
The office supplements depleted legislation where needed by
producing additional copies in the DocuTech Service Center, staffed by
experienced GPO detailees, who provide Member offices and Senate
committees with on-demand printing and binding of bills and reports.
On-demand publication allows the department to cut the quantities of
documents printed directly from GPO and reduces waste. The DocuTech is
networked with GPO, allowing print files to be sent back and forth
electronically. This allows OPDS to print necessary legislation in the
event of a GPO COOP situation. During 2007, the DocuTech Center
produced 378 task orders, for a total of 8,843 unique legislative
documents and over 595,000 printed pages.
Accomplishments and Future Goals
Over the past year, OPDS has striven to provide new services and
improve existing ones. Of particular note is the office staff's
commitment to the ``Greening the Capitol'' initiative. Improved quality
100 percent recycled copier and letterhead paper has been made
available to all Senate offices. The office staff works diligently to
track document requirements by monitoring print quantities and reducing
waste and associated costs. Electronic proofing procedures implemented
in 2006 continued; over four hundred new and revised print jobs were
routed electronically for customer approval, improving turnaround time
and efficiency.
The office's future goals include working with GPO on their Federal
Digital and Microcomp Replacement Systems developing online ordering of
stationery products for Senate offices. The office staff continually
focuses on COOP and the emergency preparedness. OPDS staff continues to
seek new ways to use technology to assist Members and staff with added
services and improved access to information.
office of public records
The Office of Public Records receives, processes, and maintains
records, reports, and other documents filed with the Secretary of the
Senate involving the Federal Election Campaign Act, as amended; the
Lobbying Disclosure Act of 1995; the Senate Code of Official Conduct:
Rule 34, Public Financial Disclosure; Rule 35, Senate Gift Rule
filings; Rule 40, Registration of Mass Mailing; Rule 41, Political Fund
Designees; and Rule 41(6), Supervisor's Reports on Individuals
Performing Senate Services; and Foreign Travel Reports.
The office provides for the inspection, review, and reproduction of
these documents. From October, 2006, through September, 2007, the
Public Records office staff assisted more than 2,400 individuals
seeking information from reports filed with the office. This figure
does not include assistance provided by telephone, nor help given to
lobbyists attempting to comply with the provisions of the Lobbying
Disclosure Act of 1995. A total of 140,010 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 2007 Accomplishments
The office staff changed the lobbying e-filing program to conform
with the modifications to the IBM forms made by the Clerk of the House;
and began work to implement S. 1, the Honest Leadership and Open
Government Act, which amended the Lobbying Disclosure Act of 1995.
Plans for Fiscal Year 2008
The Public Records office will complete implementation of S.1.
Automation Activities
During fiscal year 2007, the Senate Office of Public Records staff
began design of a new lobbying data base, new public query programs for
senate.gov, and a new page design for senate.gov.
Federal Election Campaign Act, as Amended
The Act requires Senate candidates to file quarterly reports.
Filings totaled 4,461 documents containing 283,564 pages.
Lobbying Disclosure Act of 1995 (LDA)
The Act requires semi-annual financial and lobbying activity
reports. As of September 30, 2007, 6,915 registrants represented 18,068
clients and employed 41,386 individuals who met the statutory
definition of ``lobbyist'' since the January 1, 1996 enactment of the
LDA. The number of registrants increased by almost 350 from the
previous year, while the number of clients actually decreased by 3,400.
This reduction is due, in part, to a review of the records to remove
duplicate entries. The total number of individual lobbyists disclosed
on 2007 registrations and reports was 16,469. The total number of
lobbying registrations and reports processed was 43,705.
Public Financial Disclosure
The filing date for Public Financial Disclosure Reports was May 15,
2007. The reports were available to the public and press by Thursday,
June 14. Copies were provided to the Select Committee on Ethics and the
appropriate State officials. A total of 3,693 reports and amendments
were filed containing 22,465 pages. There were 424 requests to review
or receive copies of the documents.
Senate Rule 35 (Gift Rule)
The Senate Office of Public Records has received 365 reports during
fiscal year 2006.
Registration of Mass Mailing
Senators are required to file mass mailings on a quarterly basis.
The number of pages was 682.
senate security
The Office of Senate Security (OSS) was established, under the
Secretary of the Senate, by Senate Resolution 243 (100th Congress, 1st
Session). The office is responsible for the administration of
classified information 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. This report covers the period from January 1, 2007, through
December 31, 2007.
Personnel Security
Five hundred eighty-seven Senate employees held one or more
security clearances at the end of 2007. This number does not include
clearances for employees of the Architect of the Capitol, nor does it
include clearances for congressional fellows assigned to Senate
offices. OSS also processes these clearances.
OSS processed 3,315 personnel security actions, a 45.8 percent
increase from 2006. One hundred-forty investigations for new security
clearances were initiated last year, and 96 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 5 years.
Staff holding Secret security clearances are reinvestigated every 10
years. During the past 12 months, reinvestigations were initiated on 87
Senate employees. OSS processed 193 routine terminations of security
clearances during the reporting period and transmitted 431 outgoing
visit requests. The remainder of the personnel security actions
consisted of updating access authorizations and compartments.
Overall, the average time required to process a Senate employee for
a security clearance has decreased from 309 days to 270 days. The
average time for investigations has decreased by 12.6 percent relative
to 2006. The average time for an initial investigation conducted and
adjudicated by the Department of Defense (DOD) is 241 days from the
date that OSS requests the investigation until the letter from DOD
granting the clearance is received in OSS. The average time for DOD
initial investigations decreased 13.0 percent. The periodic re-
investigation process averages 304 days, a decrease of 9.4 percent
relative to 2006. The average time for an initial investigation
conducted by the Federal Bureau of Investigation (FBI) and adjudicated
by DOD is 225 days, while the periodic re-investigation process
averages 363 days. The FBI investigation with DOD adjudication times
represents a decrease of 22.1 percent and 6.2 percent respectively.
Two hundred-one records checks were conducted at the request of the
FBI and Office of Personal Management (OPM). Four record checks were
performed on behalf of Customs and Immigration. The remaining checks
were performed for the FBI. This represents a 1.0 percent increase in
records checks completed by OSS.
Security Awareness
OSS conducted or hosted 64 security briefings for Senate staff.
Topics included: information security, counterintelligence, foreign
travel, security managers' responsibilities, office security
management, and introductory security briefings. This represents a 0.2
percent increase from 2006.
Document Control
OSS received or generated 3,623 classified documents consisting of
118,070 pages during calendar year 2007. This is a 45.6 percent
increase in the number of documents received or generated in 2006.
Additionally, 80,940 pages from 2,910 classified documents no longer
required for the conduct of official Senate business were destroyed.
This represents a 30.3 percent increase in destruction from 2006. OSS
transferred 1,232 documents consisting of 38,525 pages to Senate
offices or external agencies, up 36.0 percent from 2006. 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 7,765 document transactions and handled over 237,535 pages of
classified material in 2007, an increase of 38.0 percent
Secure storage of classified material in the OSS vault was provided
for 107 Senators, committees, and support offices. This arrangement
minimizes the number of 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 1,406 occasions
by a total of 9,213 people during 2007. Use of OSS conference
facilities increased 19.9 percent over 2006 levels. Eight hundred
ninety-six meetings, briefings, or hearings were conducted in OSS'
three conference rooms. Of those, nine were ``All senators'' briefings,
and two were hearings. OSS also provided, to senators and staff, secure
telephones, secure computers, secure facsimile machine, and secure
areas for reading and production of classified material on 510
occasions in 2007.
Projects and Accomplishments
OSS hosted the second annual Technical Exposition for the Office of
the Director of National Intelligence (DNI) in April 2007. Classified
and unclassified exhibits representing the technical and scientific
accomplishments of the U.S. Intelligence Community were shown to
Members of the U.S. Senate and the U.S. House of Representatives, as
well as cleared staff from throughout the Legislative Branch. OSS
personnel provided assistance with security, site preparation, and
escorting during the 4 months leading up to the Expo. The office and
DNI are planning another Expo in March 2008.
OSS is preparing to move to the Capitol Visitors Center (CVC) when
it is ready for occupancy in the summer of 2008. OSS has been
coordinating with internal offices and other U.S. Government agencies
to insure the space will be appropriate for the storage, processing and
discussion of classified material. OSS is developing plans and
procedures for use of the new space and for moving the Senate's
classified holdings to the new space in a secure and efficient manner.
This will involve determining the need for holding each of the
approximately 10,000 documents currently stored in the office.
stationery room
The mission of the Keeper of the Stationery is to:
--Sell stationery items for use by Senate offices and other
authorized legislative organizations;
--Select 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;
--Purchase supplies utilizing open market procurement, competitive
bid and/or GSA Federal Supply Schedules;
--Maintain product supply and order capability during Continuity of
Operations incidents;
--Maintain individual official stationery expense accounts for
Senators, Committees and Officers of the Senate;
--Render monthly expense statements;
--Ensure receipt of reimbursements for all purchases by the client
base through direct payments or through the certification
process;
--Make payments to all vendors of record for supplies and services in
a timely manner and certify receipt of all supplies and
services; and
--Provide delivery of all purchased supplies to the requesting
offices.
------------------------------------------------------------------------
Fiscal Year Fiscal Year
2007 2006
Statistics Statistics
------------------------------------------------------------------------
Gross Sales............................. $5,456,125 $4,945,381
Sales Transactions...................... 45,608 45,471
Purchase Orders Issued.................. 7,356 6,795
Vouchers Processed...................... 8,078 8,313
Office Deliveries....................... 7,305 6,085
Number of Items Delivered............... 153,813 156,172
Number of Items Sold.................... 587,529 608,104
===============================
Mass Transit Media Sold................. 91,569 86,483
$20.00.............................. 75,922 72,388
$10.00.............................. 6,955 4,510
$5.00............................... 8,692 9,585
===============================
Public transportation users............. 1,763 ( \1\ )
------------------------------------------------------------------------
\1\ Not available.
Fiscal Year 2007 Highlights and Projects
Recycling Initiatives
Through review of products and processes, the Stationery Room began
examining its recycling commitment to promote the ``Greening of the
Capitol'' initiative that was launched during this reporting period.
Our goal is to promote environmentally-friendly and safe products and
product end-of life cycle disposition.
In conjunction with the Office of the Senate Superintendent, the
Stationery Room launched a battery recycling program, placing battery
recycling containers in the store area for customers to safely dispose
of batteries for recycling. These containers are collected periodically
by the Superintendent's Office and shipped to a metals recycling plant
for environmentally-safe disposition.
The Stationery Room is also lending its support in promoting the
Senate Superintendent's recycling program for safe disposition of
printer, fax and copier cartridges. This effort was initiated to
eliminate the disposal of these materials in landfills. Users are
encouraged to drop these materials off at the Superintendent's drop-off
site in the Dirksen Building. The Stationery Room promotes this effort
through signage in and around the store, reminding customers of the
drop-off site and periodic flyers which are enclosed with monthly
statements.
The use of copy paper sold in the Stationery Room was also
investigated. For many years, the Stationery Room has carried copy
paper with a 30 percent post-consumable content. The Stationery Room
has added or increased its selections to include 50 percent and 100
percent post-consumable copy paper.
Business cards ordered through the Stationery Room were another
target of opportunity for change. The Stationery Room staff worked with
vendors to provide a business card stock with a 30 percent-50 percent
post-consumable content. Additionally, vendors are now using a soy-
based ink in the printing process.
Fine writing papers and envelopes were also analyzed for content
and it was determined the post-consumable content from the paper mills
could be increased without degradation of the quality. These products
now contain a post-consumable content of 50 percent.
Operational requirements are currently under review to ensure
materials used also meet the same goals to promote an environmentally
friendly campus. The Stationery Room is currently evaluating use of
various types of plastic and paper bags, along with reusable bags made
of 100 percent post-consumer plastic bottles that are now sold in the
store.
Senate Support Facility (SSF)
The facility continues to be a major asset for Stationery Room
operations. During fiscal year 2007, the Senate Sergeant at Arms
Central Operations Division transported 31,678 cartons of product from
the U.S. Capitol Police screening facility to the SSF for processing
and distribution to the Senate campus. This process has virtually
eliminated most commercial vehicular traffic coming to the Senate
campus in support of Stationery Room operations. The Senate Sergeant at
Arms' (SAA) Central Operations Division is to be commended for the
support and ``team effort'' they provide to the Stationery Room
operation in meeting its responsibilities to the Senate community.
Public Transit Subsidy Program
During the last quarter of fiscal year 2007, the Washington
Metropolitan Transit Authority (WMATA) advised the Stationery Room they
would be discontinuing the Metrochek paper media at the end of 2008 and
transitioning agencies to the Smart Benefit Smart Trip Card. A WMATA
analysis showed that 60 percent of participants in the Public
Transportation Subsidy Program were already using the Smart Trip Card.
WMATA determined it would be more cost-effective and efficiencies could
be achieved by moving all participants to the Smart Benefit program.
Since 1992, the Stationery Room has been administering the Senate's
Public Subsidy Program and with that responsibility has begun a
transition process, working with WMATA, the
Committee on Rules and Administration and the Executive Office of
the Secretary of the Senate to accomplish this move in fiscal year
2008.
Computer Modernization
The Senate Stationery Room continues to utilize the Microsoft
Business Dynamics Retail Management System and the Microsoft Business
Dynamics Great Plains accounting software for its operations, which was
installed in August 2005. During this reporting period, strategic
planning began for the applications to be upgraded by the primary
contractor. This planning resulted in the execution of a contract at
the end of this reporting period. It is projected the Stationery Room
system will be upgraded from version 1.2 of the Retail Management
System (RMS) to version 2.0 and from version 8.0 to 9.0 of the Great
Plains accounting software during the second/third quarter of fiscal
year 2008.
Also during fiscal year 2007, the Stationery Room did some
preliminary investigations for two system enhancements, which would
provide value and efficiencies for its customers. Subject to funding
for fiscal year 2009, the Stationery Room would like to proceed with
the e-commerce storefront online ordering system and further develop a
means to move select data to the SAA's TranSAAct system for use by
Senate offices. The latter would move monthly customer account
statements along with transactional detail to the TranSAAct system. The
migration of account/sales data would eliminate the monthly mailings
and labor associated with the statements while building historical data
retention for sales transaction information and budget forecasting.
office of web technology
The Department of Web Technology is responsible for the Web sites
that fall under the purview of the Secretary of the Senate:
--the Senate Web site (Senate.gov)--available to the world; and
--the Secretary's Web site on Webster (Webster.senate.gov)--available
to Senate staff.
the senate web site--senate.gov
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
The Senate Web site content is maintained by over 30 contributors
from seven departments of the Secretary's office and three departments
of the Sergeant at Arms (SAA). Content team leaders meet regularly to
share ideas and coordinate the posting of new content.
Major Additions to the Site in 2007
A portal for new lobbying disclosure and guidelines established
through the legislation commonly referred to as S. 1, the Honest
Leadership and Open Government Act of 2007. This portion of the site
connects visitors to the various new disclosure and registration
applications associated with the Office of Public Records. http://
www.senate.gov/pagelayout/legislative/g_three_sections_with_teasers/
lobbyingdisc.htm
--Homepage feature articles were published on the following topics:
--Art in the Senate: A View of the Senate's Past;
--What Happens When a New Congress Begins?;
--New Multimedia Exhibit, Isaac Bassett: A Senate Memoir;
--Oral History Project: Life in the Senate;
--The president of the Senate's Role in the Legislative Process; and
--``We the People'' Celebrating the Constitution.
Accomplishments of the Office of Web Technology in 2007
Completed upgrade of Documentum Content Management System (CMS) to
5.3 from 4.3. Upgrade was done seamlessly to content authors and users
of Senate.gov, so no down time was experienced.
Trained content authors in the use of new Documentum CMS and
produced documentation to assist in authoring.
Aided Senate Library in collecting requirements and writing a
statement of work for developing a new knowledge base. The Montague
taxonomy system will be used to organize data available on Senate.gov
and Webster.
Collaborated with other stakeholders (Secretary, SAA, Committee on
Rules and Administration and Chaplain) on the design of a new Webster.
A governance board was established with members from each of the
stakeholders. The information architecture and wireframe layouts of the
centrally managed intranet pages were established and agreed to. Work
on the masthead/banner and the graphical presentation of the central
pages is nearing completion, and development of the site is currently
underway.
Audited the Senate.gov pages regularly, updating and correcting
links; verifying content; and reviewing individual page designs
throughout Senate.gov.
Initiated a project to develop a children's Web site on Senate.gov.
Worked with content team leaders to gather and analyze existing content
on Senate.gov and publications produced by the Office of the Secretary
to find topics of interest to children. The content analysis phase of
this project is ongoing.
Continued on the Senate.gov content reorganization project. A task
force was established to study the ``Legislation and Records'' bucket,
or section, and return recommendations on reorganization of the content
therein. The task force did a thorough study, including conducting
usability tests on items that were more difficult to locate, and
returned a report to the full content team. The report was accepted
unanimously. The changes in the ``Legislation and Records'' section
will be implemented when all six buckets have been reviewed. The task
force will turn their efforts now to the ``Senators'' bucket.
Reorganized the file structure of the CMS. Began work on the
``Congressional Records'' folder, tracking file moves and editing
existing reference items that will live in this section. This
restructuring of the file system will make it easier to collect usage
statistics for the site.
Worked with the Curator's office to reorganize their content within
the ``Art and History'' bucket. Facilitated discussions on information
architecture and page layout of art content, and offered advice on
usability and best practices.
Initiated a project to build a library of documentation to
facilitate the creation and maintenance of web content; updated
existing instructions on using Documentum to reflect changes in the new
version of the CMS; documented tasks to be done at the beginning of a
new Congress; and created procedures and directions manual for updating
the Senate Chamber Desk Web site.
Collaborated with the staffs of the Historical Office, Curator, and
Library to produce the Webster page Guide to Staff-Led Tours. The
intention of the site is to aid staff while they conduct tours of the
Capitol. It includes information on art, architecture, and the history
of the Capitol.
Senate.gov Usage Statistics
In 2007, over 8 million visitors a month accessed the Senate Web
site. Twenty-one percent of them entered through the main Senate
Homepage while the majority came to the site via a bookmarked page
(possibly directly to their Senator's site) or to a specific page from
search results.
----------------------------------------------------------------------------------------------------------------
2006-2007
Title of web page 2006 Visits/ 2007 Visits/ Percent
month month Increase
----------------------------------------------------------------------------------------------------------------
Visits--Entire Site............................................. 6,081,000 8,196,662 26
Senate Homepage................................................. 1,685,000 1,704,675 1
----------------------------------------------------------------------------------------------------------------
Reviewing statistics on Web page usage helps the content providers
better understand what information the public is seeking and how best
to improve the presentation of that data. Visitors are consistently
drawn to the following content items, listed in order of popularity.
MOST VISITED PAGES IN 2007
----------------------------------------------------------------------------------------------------------------
2006 Visits/ 2007 Visits/
Top pages month month Percent Change
----------------------------------------------------------------------------------------------------------------
Senators contact info list...................................... 216,929 448,301 +52
Roll Call votes................................................. 63,099 62,879 ..............
Active legislation.............................................. 30,053 36,907 +19
Senate leadership............................................... 19,278 18,191 -6
Bills and resolutions........................................... 18,155 17,231 -5
State information............................................... 15,988 14,774 -8
Committee hearings scheduled.................................... 15,901 18,232 +13
----------------------------------------------------------------------------------------------------------------
The most popular page on the main Senate Web site is the list of
Senators with links to their Web sites and comment forms by a large
margin. Visitors also continue to be interested in legislative matters
in 2007 with Roll Call Vote Tallies, the Active Legislation table, and
the Bill and Resolutions section being particularly popular.
Webster--HTTP://Webster/Secretary
Webster Usage Statistics
The most popular page on the Secretary's Web site is the
``Financial Services'' page with about 1,600 visitors a month--more
than the Secretary's main homepage which receives about 1,550 a month.
The ``Financial Services'' page (which is linked to from the Webster
homepage) contains information on employee benefits (insurance,
retirement, payroll, etc.) and provides access to the many forms
employees need to obtain or modify these benefits. Other popular areas
of the Secretary's site include the Senate Library Web site, the list
of departments with descriptions and contact information, jobs
postings, and the Web page that lists all Secretary of the Senate
services.
The Secretary's site on Webster will be redesigned in the coming
year in keeping with the look of Webster's main page. The redesign will
incorporate the ability for staff in departments to update their sites
themselves if they wish.
legislative information system (lis) project
The Legislative Information System (LIS) is a mandated system
(Section 8 of the 1997 Legislative Branch Appropriations Act, 2 U.S.C.
123e) that provides desktop access to the content and status of
legislative information and supporting documents. The 1997 Legislative
Branch Appropriations Act (2 U.S.C. 181) also established a program for
providing the widest possible exchange of information among legislative
branch agencies. The long-range goal of the LIS Project is to provide a
``comprehensive Senate Legislative Information System'' to capture,
store, manage, and distribute Senate documents. Several components of
the LIS have been implemented, and the project is currently focused on
a Senate-wide implementation and transition to a standard system for
the authoring and exchange of legislative documents that will greatly
enhance the availability and re-use of legislative documents within the
Senate and with other legislative branch agencies. The LIS Project
Office manages the project.
Background: LISAP
An April 1997 joint Senate and House report recommended
establishment of a data standards program, and in December 2000, the
Senate Committee on Rules and Administration and the Committee on House
Administration jointly accepted the Extensible Markup Language (XML) as
the primary data standard to be used for the exchange of legislative
documents and information.
Following the implementation of the LIS in January 2000, the LIS
Project staff shifted its focus to the data standards program and
established the LIS Augmentation Project (LISAP). The over-arching goal
of the LISAP is to provide a Senate-wide implementation and transition
to XML for the authoring and exchange of legislative documents.
The current focus for the LISAP is the development and
implementation of an XML authoring system for legislative documents
produced by the Senate Legislative Counsel (SLC) and the Enrolling
Clerk. The XML authoring application is called LEXA, an acronym for the
Legislative Editing in XML Application. LEXA replaces the DOS-based
XyWrite software used by drafters to embed locator codes into
legislative documents for printing. The XML codes inserted by LEXA
provide more information about the document and can be used for
printing, searching and displaying a document. LEXA features many
automated functions that provide a more efficient and consistent
document authoring process. The LIS Project staff has worked very
closely with the SLC and the Enrolling Clerk to create an application
that meets the needs for legislative drafting.
LISAP: 2007
Throughout 2007 additional features and fixes were added to LEXA,
enabling the SLC to use the application for more and more of their
drafting requests. In 2007, 99 percent of introduced and reported bills
and resolutions produced in the SLC were drafted in XML. Some of the
new functionality added to LEXA in the last year included the
following:
--A utility to list and then print multiple files as one document;
--An improved tool for creating conference reports in draft and final
forms;
--Additional tagging for creating appropriations language in a bill
or amendment; and
--Various new or improved features to automate and speed the drafting
process and creation of almost all types of measures.
The Senate Enrolling Clerk's staff began doing much of its document
preparation in LEXA at the beginning of the 110th Congress. The LEXA
developers worked closely with the office to improve the processes for
creating engrossed and enrolled documents in XML. The two groups also
worked closely with the Government Printing Office (GPO) to make
certain that the engrossed and enrolled documents print in the required
formats. Although a few of the lesser-used printed versions still
remain to be worked out, the last major stage to be completed in 2007
was for Senate engrossed amendments (EAS). With the addition of the EAS
documents, almost all stages of a measure can be produced in XML.
Support for LEXA users remains an important concern. The LIS
Project Office provides support for LEXA through the LEXA HelpLine and
LEXA Web site (http://legbranch.senate.gov/lis/lexa). The HelpLine is a
single phone number that rings on all the phones in the office. The Web
site, which is located on a server accessible by the legislative
branch, is used to distribute updates of the application to GPO and
provides access to release notes, the reference manual, and other user
aids. The 2004 legislative branch appropriations act directed GPO to
provide support for LEXA, much as they have for XyWrite. GPO continues
to work toward augmenting the support provided by the LIS Project
Office.
GPO maintains the software module that converts a Senate or House
XML document to locator for printing through Microcomp. They also
develop and maintain the stylesheet that is used on LIS (http://
www.congress.gov) and Thomas (http://thomas.loc.gov) to display the XML
bills. GPO is also nearing completion of a new tool to create and print
tables. The new table tool will be used by both the House and Senate,
providing another module that is common to both applications.
The LIS Project Office, the SLC, and the Systems Development
Services group of the Sergeant at Arms conducted a pilot installation
of a document management system (DMS) in the SLC. In 2006, the team had
identified DMS software that will work with both LEXA and XyWrite
documents. The 2007 pilot identified a few issues to be resolved, and
the three groups continue to work together with the SLC systems
integrator to implement the DMS in a way that will benefit the entire
office. The DMS will provide a powerful tracking, management, and
delivery tool for the SLC.
LISAP: 2008
The LIS Project staff will continue to work with the House, GPO,
and the Library of Congress on projects and issues that impact the
legislative process and data standards for exchange. These groups are
currently participating in two projects with GPO: one to define
requirements for replacing the Microcomp composition software and
another to improve the content submission and exchange processes.
Senate, House, and GPO software developers will move together to
upgrade their respective installations of Microsoft.Net. This upgrade
will allow GPO to vastly improve the time it takes to compose large
documents for printing. The printing component is common to both the
Senate and House applications, and all groups must do the upgrade at
the same time. This is planned for the first quarter of 2008.
The LIS Project Office will work with the House and GPO in 2008 to
resolve any HTML display issues so that the XML versions of Senate
documents will be made available on LIS and Thomas. The HTML version
produced from the XML data more closely resembles the printed document.
This improved HTML format will eventually replace the version currently
available on the Web.
The Enrolling Clerk will use LEXA to produce engrossed and enrolled
bills in XML. The LIS Project staff will continue to work with the SLC
and the Enrolling Clerk to refine and enhance LEXA so that more and
more of the documents produced by those offices will be done in XML.
Once all of the documents can be produced in XML using LEXA, those
offices will be able to stop using XyWrite. Since XyWrite is not
compatible with other Windows software, moving away from it will allow
the offices to use more modern technologies for all functions. Other
Senate offices that do drafting with XyWrite may begin using LEXA,
including the Committee on Appropriations.
The LIS Project staff will monitor the use of the tagging
structures created for appropriations language to determine if it
provides enough description so that appropriations bills might be
created as XML documents. XML tags and LEXA functions will be added as
needed toward the appropriations bills being prepared using LEXA.
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 document type definitions 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 staff 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.
______
Sergeant at Arms and Doorkeeper
Prepared Statement of the Honorable Terrance W. Gainer
introduction
Madam Chairman and members of the subcommittee, thank you for
inviting me to testify before you today. I am pleased to report on the
progress the Office of the Sergeant at Arms (SAA) has made over the
past year and our plans to enhance our contributions to the Senate in
the coming year.
For fiscal year 2009, the Sergeant at Arms respectfully requests a
total budget of $226,359,000, an increase of $23,370,000 (or 11.5
percent) over the fiscal year 2008 budget. This request will allow us
to maintain the improvements and level of service we provide to the
Senate community. It will also fund the development and maintenance of
business and network security applications, among other support
services. Appendix A, accompanying this testimony, elaborates on the
specific components of our fiscal year 2009 budget request.
In developing this budget and our operating plans, we are guided by
three priorities: (1) ensuring the United States Senate is as secure
and prepared for an emergency as possible; (2) providing the Senate
outstanding service and support, including the enhanced use of
technology; and (3) delivering exceptional customer service to the
Senate.
This year I am pleased to highlight some of this office's
activities to include the furtherance of our efforts towards our United
States Senate Sergeant at Arms Strategic Plan in which we are capturing
performance measures that will help us assess our work. Our
accomplishments in the areas of security and preparedness, information
technology, and operations are also impressive. We are preparing for
next year by planning for the major events and by ensuring that the
Office of the Sergeant at Arms is an agile organization that can adjust
to the unexpected.
Specifically, planning efforts are under way for the January
Inauguration and we are all ramping up for the opening of the Capitol
Visitor Center (CVC) later this year. Our office has been involved with
the CVC since its inception, and scores of hours have been spent
preparing for the operations and security of the center. We have worked
collaboratively on this bicameral project with representatives from
Leadership, oversight committees and other agencies to ensure the
design, construction and operational aspects of the facility achieve
the desired results. Our participation and the challenges presented
have been vast and varied, including but not limited to security, hours
of operation, emergency preparedness, information technology,
furnishings for the Senate side of the CVC, Senate Meeting Rooms
design, set-up and maintenance, bus routes, Capitol tour routes, coat
checks, official appointments, accommodating visitors to the Senate
Gallery, broadcast media infrastructure, ATM service, telephone
service, and other communication infrastructure.
Assisting with these and all of the efforts of the Office of the
Sergeant at Arms is an outstanding senior management team including
Drew Willison who serves as my Deputy, Administrative Assistant Rick
Edwards, Republican Liaison Mason Wiggins, General Counsel Joseph
Haughey, Assistant Sergeant at Arms for Security and Emergency
Preparedness Chuck Kaylor, Assistant Sergeant at Arms for Police
Operations Bret Swanson, Acting Assistant Sergeant at Arms and Chief
Information Officer Kimball Winn, and Assistant Sergeant at Arms for
Operations Esther Gordon. The many accomplishments set forth in this
testimony would not have been possible without this team's leadership
and commitment.
The Office of the Sergeant at Arms also works with other
organizations that support the Senate. I would like to take this
opportunity to mention how important their contributions have been in
helping us achieve our objectives. In particular, we work regularly
with the Secretary of the Senate, the Architect of the Capitol, the
Office of the Attending Physician, and the United States Capitol Police
(USCP). When appropriate, we coordinate our efforts with the United
States House of Representatives and the agencies of the Executive
Branch. I am impressed by the people with whom we work, and pleased
with the quality of the relationships we have built together.
During this first year serving as Sergeant at Arms, I have seen
their great work, and I would be remiss if I did not mention how proud
I am of all the men and women of the Sergeant at Arms team who help
keep the Senate running. The employees of the Office of the Sergeant at
Arms are among the most committed and creative in Government. We are
continuously building on the success this organization has experienced
in recent years.
None of our efforts would be accomplished, though, without the
guidance of this Committee and the Committee on Rules and
Administration. Thank you for the support you consistently demonstrate
as we work to serve the Senate.
security and preparedness
Protecting the Senate and Planning for the Unknown
In our security and preparedness programs, we work collaboratively
with organizations across Capitol Hill to secure the Senate. We also
rely upon Senate Leadership, this Committee, and the Committee on Rules
and Administration for guidance and support.
While more than 6 years have passed since 9/11 and the anthrax
attacks, and although no major attack has occurred against us at home,
the threat of attack remains. The recent apprehension of an individual
armed with a shotgun in the Senate park underscore our need for
vigilance and emergency preparedness. Not all hazards are manmade, and
our contingency plans can be implemented to respond to natural
disasters as well. Over the past 2 years, Senate offices in Washington,
DC, and in the States have been impacted by local disruptions and
natural disasters. The security and emergency programs that have been
developed over the past 7 years have enabled the Senate and our
supporting agencies to respond appropriately in each instance, ensuring
the safety of staff and visitors and recovering operations as rapidly
as possible. The ongoing improvement and appropriate expansion of our
security and emergency plans and programs will continue to be a
priority for the Sergeant at Arms.
On September 6, 2000, the Bipartisan Leadership for the 106th
Congress directed the Capitol Police Board to develop and manage a
program which would enable the Congress to fulfill its constitutional
obligations in the event of a disaster-related incident. The Capitol
Police Board was further directed to coordinate with Officers of the
Senate and House to develop a comprehensive Legislative Branch
emergency preparedness program. As a member of the Capitol Police Board
and Chairman for 2007, the Senate Sergeant at Arms continued to build
on the accomplishments of previous Boards.
Our efforts to ensure that we can respond to emergencies and keep
the Senate functioning under any circumstance have grown over the past
years. To continue improvements in this area and better manage our
security and preparedness programs, we have established seven strategic
priorities to focus our efforts:
--Emergency Notifications and Communications.--Provide effective
communications systems, devices, and capabilities to support
the Senate during any emergency.
--Accountability.--Ensure accurate and timely accounting of Members,
Senate staff, and visitors during an emergency.
--State Office Security and Preparedness.--Support Senate State
Offices with a full suite of security enhancements and a
comprehensive preparedness program.
--Emergency Plans, Operations and Facilities.--Continue emergency
planning, emphasizing life-safety, continuity of operations,
and programs to address the needs of individuals after a
disaster.
--Training and Education.--Continue a strong emergency preparedness
training program.
--Exercises.--Conduct a comprehensive exercise program to validate,
rehearse and improve Senate readiness to act in the event of an
emergency.
--Office Support.--Provide responsive security services and customer
support to Senate offices, committees, and support
organizations.
Emergency Notification and Communications
Our emergency notification and communications initiatives ensure
that we have effective communications systems, devices, and
capabilities in place to support the Senate during an emergency. Last
year we expanded the coverage of text alerts to include any PDA on any
cellular or data service provider. This included leveraging the peer-
to-peer capabilities of BlackBerry devices using PIN messages. This
year we are upgrading our telephonic alert system to enable the
integration of text and telephone messaging into a single Web-based
interface, allowing the Capitol Police to initiate voice and text
messages to several thousand individuals in a matter of seconds.
We have also installed a video-based alert system that will allow
the Capitol Police to display emergency messages on the Senate cable TV
network that will become operational this year. Over 1,300 wireless
annunciators are in place across the Senate, and the Capitol Police
have completed the installation of a public address system that can
broadcast into public areas throughout the Capitol, Senate Office
Buildings, and outdoor assembly areas. Further, if the Senate is forced
to relocate, we have the capability to video teleconference and
broadcast between an emergency relocation site and other Legislative
Branch and Executive Branch sites.
Earlier this year we began to deploy 57 Blue Emergency Phones
throughout the Senate Office Buildings and Capitol. These phones will
serve as a two-way communication device between the caller in distress
and the USCP Command Center. There will be 7 phones installed in public
eating areas and 50 phones will be installed near the emergency staging
areas. This significantly enhances life-safety communications at our
mobility impaired evacuation elevators and in our most trafficked
public areas. These phones will be operational in early 2008.
Looking forward we will continue to integrate and improve our
telephonic and text-based notification capabilities to support offices
and staff during emergencies. To meet Federal requirements the current
wireless annunciator system must be narrow band compliant by October 1,
2008. This summer we will replace all 1,300 devices throughout the
Senate. This year our CIO organization will begin a multi-year
telecommunications modernization project. A key component of that is an
enhanced 9-1-1 capability that will benefit emergency responders and
staff.
Accountability
Accountability of Members and staff remains an area of emphasis in
all our emergency plans and evacuation drills. One of our major
initiatives 2 years ago was to improve procedures for offices to report
accountability information to the Capitol Police and the Sergeant at
Arms quickly and accurately using proximity enabled laptops and a
BlackBerry-based application that allows Office Emergency Coordinators
to account for staff remotely using their BlackBerry. This past year we
have focused on office training to ensure every office has an account
that is up to date and that staff know how to remotely check-in. The
backbone for this capability, termed the Accountability and Emergency
Roster System (ALERTS), allows each office to manage staff rosters as
well as to indicate who in the office is to receive email and
telephonic alerts from the Senate's emergency notification system. A
total of 287 Senate staff members were trained on how to use ALERTS and
Remote Check-in during in-office or classroom sessions. Our staff has
also trained personnel in the Capitol Police Senate Division on the use
of this system.
Accountability and internal communications are stressed in the
Emergency Action Plan template that we have developed for use by all
Senate offices. This template, offered to all offices, encourages the
development of internal communications procedures during emergencies
through a phone tree or emergency contact list. Offices are encouraged
to establish and periodically practice these internal procedures for
accounting for staff members, post emergency. To aid in this effort, we
conduct Emergency Action Plan training classes with a special emphasis
on staff accountability and stress this initiative during all Office
Emergency Coordinator training.
Once a quarter, our office conducts a remote accountability
exercise with Senate Office Emergency Coordinators. During our most
recent exercise, over 198 individuals logged on in exercise to provide
office accountability, and we worked with 20 offices on training and
configuration issues. We have also conducted follow-up calls to offices
that did not use our accountability system following drills or actual
evacuations to provide assistance or training if needed.
State Office Security and Preparedness
The Senate's State Office Preparedness Program consists of several
elements. First is the Physical Security Enhancement Program. This
program provides a security assessment of each State office, followed
by physical security enhancements if the office desires to participate
in the program. We have completed an initial physical security survey
of all established State offices and the results of these on-site
reviews were provided to each Member. In addition to the physical
security enhancements, we have recently implemented a program that
provides additional emergency preparedness and continuity of operations
support to State offices.
Since the program's inception in 2002, we have conducted 615 State
office security surveys and will conduct another 150 surveys of new and
relocating offices and those due a resurvey for the 110th Congress over
the coming months. We have completed security enhancements in 260 State
offices of which 73 were completed in 2007. In 2006, we finalized an
agreement with the Federal Protective Service and General Services
Administration to streamline installation of security enhancements for
Senate State offices located in Federal buildings. We are currently
working with 65 State offices in some stage of planning or approval. To
date, members of our Office of Security and Emergency Preparedness have
visited approximately 35 State offices where security enhancements have
been installed or implemented. Staff from each of these offices has
expressed gratitude for the security enhancements and the personalized
visit. In short, this is a successful program and we will continue our
emphasis in this area.
Our State Office Preparedness Program combines our existing
physical security enhancement program with additional emergency
preparedness and continuity of operations planning (COOP) support. This
level of support includes equipment and training that is similar to
those programs that are currently offered to Member's Washington, DC,
offices. We conducted a pilot project to evaluate this program in 11
State Offices during the fall of 2007 and launched the full program in
January 2008. This program provides a general risk assessment to each
office, a set of basic emergency supplies, Web-based training and a
template to build an office emergency plan. We will meet with D.C.
office managers, and offer VTC based sessions to State Offices. Office
response has been very encouraging and we look forward to reporting on
this next year.
Emergency Plans, Operations, and Facilities
Our emergency plans ensure that we attend to the safety of Senate
Members and staff, as well as to the continuity of the Senate. It is
the responsibility of each Member office and committee to have the
requisite plans in place to guide their actions during any emergency
event. Every Member office had completed and filed an emergency action
plans with OSEP at the conclusion of the 110th Congress. New Membership
and office moves have necessitated that many of these be redone. A
total of 154 offices currently have completed and filed emergency
action plans with our office of Security and Emergency Preparedness.
Many Senate offices similarly have institutional or internal continuity
of operations responsibilities. Every office within the SAA and
Secretary of the Senate has COOP plan and the SAA continues to support
offices and committees as their respective plans are developed. Our
staff provides training guides, templates, and assistance with in-
office consulters to any office that request it. These offices that
have updated plans are encouraged to maintain and exercise them.
Evacuation procedures for mobility-impaired individuals continue to
be a major effort between Emergency Preparedness and United States
Capitol Police. Each Senate office building has a primary and secondary
emergency evacuation elevator. Each of these elevators is designated
with a sign indicating it is an emergency staging area. Specific
procedures have been established for the safe and efficient evacuation
of those who have mobility impairments. In 2007, procedures were
revised to provide mobility impairment emergency evacuation elevator
support to the 9th floor meeting area of the Hart Senate Office
Building.
To improve mobility impaired evacuation capabilities OSEP is
working with the AOC to provide emergency power to all emergency
evacuation elevators. When this project is complete our evacuation
capabilities will be doubled. The United Sates Capitol Police have
trained their officers in these procedures and practice these whenever
we conduct exercises. Supporting impaired staff, our office of Security
and Emergency Preparedness distributes and provides training for Victim
Rescue Units that are designed to be used by those with mobility
impairments in smoke-filled environment. In 2007, 49 staff members were
trained in mobility impaired evacuation procedures.
The Senate has an established structure to evaluate Senate
emergency programs, plans, and requirements. Several years ago, we
identified the need for post-event care and family assistance. Over the
past year, we have continued to develop plans that provide critical
services to affected families following a wide-spread event. In support
of this, the Senate's Employee Assistance program, has conducted
training with a core group of employees to establish peer support
teams. That training will expand this year.
Over the past year, Avian Flu has been a heightened planning
activity for Government and other organizations. Last year the Sergeant
at Arms established plans and capabilities to support continued
operations of the Senate and our employees in a pandemic environment.
We have conducted several informational briefings for Senate Chiefs of
Staff in coordination with the Office of the Attending Physician (OAP).
The OAP has information posted on their web-site and continues to
support offices upon request. This will remain an active planning area
in the coming year.
This year we asked the RAND Corporation to assist in conducting
strategic review of emergency preparedness activities provided to
Senate offices by our Office of Security and Emergency Preparedness.
During this review, RAND representatives interviewed Senate offices and
staff in several focus groups and met with the many agencies we partner
with to support the Senate. RAND also conducted an extensive review of
Senate emergency outreach and preparedness material, to include
planning templates, training classes, in-office briefings, brochures,
and online content. The RAND strategic review culminated in a final
annotated briefing in the fall of 2007. Chief among the findings of
this report is the conclusion that OSEP's training and outreach
programs are comprehensive and structured to adequately prepare Senate
staff for emergency events. In its final report, RAND also highlights
the challenges associated with serving the busy and transient Senate
community. Resulting RAND recommendation on leveraging existing
communication (i.e., newsletters, informational materials, in-office
contacts), streamlining training programs, and utilizing post-incident
materials, in-office contacts), streamlining training programs, and
utilizing post-incident ``teaching moments'' are currently being
incorporated into OSEP strategic plans and projects.
Recognizing the Sergeant at Arms' responsibility to coordinate the
actions of internal organizations, inform and support Senate offices,
and effectively manage the resources within our purview during an
emergency, the SAA has established a consolidated Senate Emergency
Operations Center (EOC) capability that pulls key functional area
representatives together into a single operational area during an
emergency. The Sergeant at Arms and Secretary of Senate exercised this
capability during 2007. Last year we established a Web-based EOC
management and information tracking capability using WebEOC. This year
we have further upgraded the capabilities of this system and continued
regular staff training for each functional area. WebEOC is a widely
used application throughout the Government and within the National
Capitol Region. This allows the Senate EOC to remain in contact with
supporting agencies and provides situation awareness during an
emergency.
Training and Education
In addition to assisting offices in the creation and maintenance of
continuity and emergency plans, we provide training to Senate staff on
emergency plans, procedures, and equipment. Our training program is a
vital component of overall emergency preparedness at the Senate, and is
designed to emphasize emergency procedures, equipment, and the critical
protective actions staff members should take to protect themselves
during an emergency event. Our formal training program is coordinated
through the Joint Office of Education and Training, while in-office
sessions are frequently requested and administered directly through
OSEP.
During the past year, we have conducted 425 separate training
classes, reaching an audience of over 4,000 staff members. Our
classroom training curriculum includes: escape hood and equipment,
Senate-specific emergency procedures, emergency action planning,
personal preparedness planning, and emergency procedures for
individuals with mobility impairments. Additional personalized in-
office sessions on emergency action plan development, accountability,
and remote check-in use are also offered. OSEP also sponsors several
well-attended seminars yearly, to include ``Evacuating D.C.'' (led by
representatives from local government transportation and emergency
management agencies) and CPR and AED Awareness (taught by Office of
Attending Physician personnel).
Not everyone is able to attend training classes. To augment our
training efforts, the SAA creates and distributes topic-specific
brochures and guidance documents to further enhance Senate
preparedness. These are distributed throughout the community and
describe procedures, emergency equipment, and other useful instruction
for emergencies. We have continued to expand computer and Web-based
training. Last year we created a Web-based training course on mobility
impaired evacuation procedures. We have consolidated all our Web-based
training on our OSEP Web page. This not only includes our classes but
also contains courses from outside speakers such as the D.C. Emergency
Management agency who presented a seminar on D.C. shelter-in-place and
evacuation plans. We also have training that is specifically targeted
at State office staff on our web site and have used VTC classes to
reach out for personal training classes. Just this past February, OSEP
completely revised their web site to make it more useful to Senate
staff.
We have also leveraged special recognition activities such as
National Preparedness Month in September, October's Fire Prevention
Week, OSEP Open Houses, and the Senate Services Fair to provide
additional resources and open-door services to the Senate. These also
provide a valuable forum to inform the Senate Community of additional
services available to them.
Exercises
Exercises ensure the Senate's plans are practiced and validated on
a regular basis. Our comprehensive exercise program is structured to do
just that. Every year the Sergeant at Arms and Secretary of the Senate
develop and publish an exercise calendar and guidance for the year that
also includes a 6-year exercise plan to guide future test, training,
and drill activities. This year's exercise plan provides for up to 17
diverse events over the course of the year. It maintains and
strengthens existing key capabilities, while developing needed and
emerging ones. A key area of emphasis is the integration of several
joint exercises with our congressional partners.
This year, for the first time, we are conducting a ``no-notice''
exercise of our capabilities to set up selected functions at different
locations. During fiscal year 2007, we conducted a series of five (5)
major exercises in partnership with the U.S. Capitol Police, and other
Legislative Branch entities to include the Office of the Attending
Physician, Secretary of the Senate, and Architect of the Capitol, Rules
Committee and the U.S. House of Representatives. The format for these
exercises included functional capabilities demonstrations and tabletop
scenarios and discussions.
An Emergency Operation Center exercise and a Leadership
Coordination Center exercise were conducted with the purpose of further
developing practicing and validating operational concepts. In addition,
a joint contingency capabilities and Chamber Protective Actions
rounded-out the exercises that were conducted. In addition, a number of
smaller exercises were conducted throughout the year including: monthly
alert systems tests, an exercise of the Senate's emergency
transportation plan, evacuation drills, tests of the Senate's mobile
communications and broadcast capabilities, communications tests with
the Executive Branch, and regular training of office staff related to
developing emergency plans and procedures.
Office Support
A hallmark of our support to the Senate community is our personal
in-office support that serves as a microcosm of our previously
discussed strategic priorities. Recognizing the pace and nature of
Senate office business, we extend our whole suite of services into the
office. This tailorable, flexible package recognizes that requirements
for life safety and continuity planning compete for time with other
activities. Our support activities, which include a variety of
planning, training and equipment support, are frequently one-on-one
interactions with Members, office Chiefs of Staff, emergency planners,
or entire office staffs. In-office support occurs in the areas of
accountability, developing Emergency Action Plans and Continuity of
Operations Plans and the previously mentioned State Office Program.
Training is a significant aspect of our office support. Our entire
schedule of training activities may be tailored to office-specific
requirements. Frequently, we are asked to assist offices with staff
reviews of their emergency plans, provide updates on topics of interest
or conduct escape hood refresher training, which may include staff
audiences from 8 to 48. The success of our outreach efforts are evident
in the over 300 in-office training sessions conducted during the past
year.
I previously noted our support to the Senate's mobility-impaired
population, which usually averages between 25 and 35 staff. This
individual office support is indicative of our efforts to meet Senate
needs. This is a valuable service that often goes unnoticed by our
general population. SAA staff provides in-office training to
individuals with temporary or permanent disabilities and their
designated buddies. This training includes a full review of evacuation
procedures for those with impairments, an actual evacuation route
rehearsal/walk-through to the different evacuation elevators in their
building and equipment training. We issue each of our mobility impaired
individuals a Victim Rescue Unit (smoke hood) and a wireless
annunciator/pager and provide training on the operation of each.
We offer each office a suite of emergency equipment and respond to
service calls/questions on this equipment throughout the year. During
the last year, we received over 200 requests to repair, replace,
relocate, or add to your suite of emergency equipment. Our goal is to
respond to these requests within 24 hours and we have a good track
record. As referenced earlier in the document, we make annual visits
into each office to check for completeness and functionality of this
emergency equipment.
To facilitate office feedback and requests for support we have
established and published a general telephone number as well as web-
based and email feedback mechanisms. These are used by offices--we
received over 300 calls or electronic feedback forms over the past
year. To solicit feedback on our internal programs within the Sergeant
at Arms we recently conducted an emergency preparedness survey of our
entire staff. We will use this to improve our internal plans and
training programs. We will meet with Member offices to determine if
this would be useful to evaluate their emergency preparedness. All of
these activities help us improve our services to better meet the
security and emergency preparedness needs of the Senate.
Office of Police Operations and Liaison
Security Vulnerabilities
Efforts continue to address security vulnerabilities throughout the
Senate complex. These vulnerabilities demand that we constantly assess
and re-evaluate both the physical plants of the Capitol and Senate
buildings and screening methodologies for staff and visitors. The
mandate necessitates expert input and resources in the planning and
procurement of emerging security technologies in areas such as:
enhanced individual screening technologies, the podium badging system,
proximity card readers, cameras, and various blast protection options.
The SAA actively participates in various working groups aimed at
studying these vulnerabilities, collating data, making recommendations
for improvements, and implementation oversight. On March 2, 2007, the
Board agreed to establish a Capitol Vulnerability Study Working Group
(CVSWG) comprised of representatives from the House and Senate Sergeant
at Arms, Architect of the Capitol and the U.S. Capitol Police to
evaluate the U.S. Secret Service report, 2006 United States Capitol
Vulnerability Assessment. The report contains many recommendations for
security improvements in the Capitol and the Capitol Visitor Center.
The CVSWG was issued instructions regarding priorities of effort,
methods of coordination and reporting milestones. The group
accomplished its initial task and provided to the United States Capitol
Police Board its final report in October 2007. The Board is continuing
to work with the group as they complete their work, which will lead to
important security enhancements throughout the Capitol Complex.
Foreign CODEL Support Program
The Foreign CODEL support program continues to ensure that the
unique needs and security requirements of Senators are met while they
perform official travel outside the contiguous United States. Through a
coordinated liaison effort between the SAA, USCP, and the Department of
State, threat assessments and security reviews are conducted for
Senators' official foreign travel. While our travel costs have been
reduced due to most of this work being accomplished right here in
Washington, the SAA still remains prepared to support the USCP for
CODEL trips that require their travel.
HSPD12/FRAC Project Participation in Executive Branch
Programs
On August 27, 2004, the President signed Homeland Security
Presidential Directive (HSPD) 12--Policy for a Common Identification
Standard for Federal Employees and Contractors. The directive and
subsequent published guidance established vetting and credentialing
standards for identification badges issued to Federal employees and
contractors for use in accessing Federal facilities and information
systems. While Legislative Branch employees are not bound by HSPD-12,
Senators' personal staff and support staff occupy space in buildings
across the country that are implementing required changes to physical
access procedures via these cards. We continue to work with the Federal
implementers of HSPD-12 and anticipate issuing compatible, ``Smart
Card'' ID badges to affected Senate staff this fiscal year.
Another smart card-based program affecting the Senate is the First
Responder Authentication Credential (FRAC) system launched under the
auspices of the Department of Homeland Security. FRAC cards will be
used to verify the identification of individuals who will need to
access a controlled area during an emergency situation. We are actively
participating in exercises and staying abreast of the program's
development in the National Capital Region and envision limited Senate
staff receiving these badges during the 111th Congress.
Technological Developments in Security
In cooperation with our congressional partners in the USCP and
House of Representatives, we are monitoring and implementing
technological advances to maximize the effectiveness of current
security tools, particularly those which operate in conjunction with
our ID badges. For example, the Capitol Police's Podium Badging System
(PBS) will allow officers to use facial recognition through a
congressional ID badge's proximity card to validate the badge at all
electronically-monitored access points on campus. This allows the
Capitol Police to honor only those ID badges which are still active in
the ID Management System, and helps ensure badges are not misused. To
ensure advantages realized with the addition of the PBS are preserved,
we will continue to monitor the transition of the proximity card
industry from our 125 kHz frequency to contactless 13.56 MHz. The 13.56
MHz contactless smart cards offer enhanced security through encryption
and mutual authentication and can support multiple applications such as
biometrics and computer log-on security. Smart cards are the future of
access control and will be thoroughly tested with the launch of the
HSPD-12 and FRAC initiatives.
Mail Handling
The anthrax and ricin attacks of past years necessitated new
security measures and our Office responded. We have worked
collaboratively with this Committee, the Committee on Rules and
Administration, our science advisors, the Capitol Police, the United
States Postal Service (USPS), the White House Office of Science and
Technology Policy, and the Department of Homeland Security in
developing safe and secure mail protocols.
All mail and packages addressed to the Senate are tested and
delivered by Senate Post Office employees whether they come through the
U.S. Postal Service or from other delivery services. We have
outstanding processing protocols in place here at the Senate. The
organizations that know the most about securing mail cite the Senate
mail facilities as among the best. We have been asked to demonstrate
our procedures and showcase our facilities for some of our allies and
for other Government agencies, including the Departments of Defense and
Homeland Security. When they look for ways to improve their mail
security, they visit our facility.
Last year, the Senate processed, tested, and delivered over
15,300,000 safe items to Senate offices, including over 9,700,000
pieces of U.S. Postal Service mail; over 5,300,000 pieces of internal
mail that were routed within the Senate or to or from other Government
agencies; over 67,000 packages; and almost 162,000 courier items. This
total volume of mail represented an 11 percent increase in the mail
that we delivered compared to 2006 and was the most mail that we have
processed and delivered since 2003.
We have been good stewards of taxpayer dollars in the process. We
continue to seek improvements in mail processing and have worked with
this Committee to identify avenues to reduce our costs. During the
spring of 2007, we moved from our leased Alexandria letter mail
processing facility into a newly constructed facility that we worked
with this Committee and the Architect of the Capitol to purchase. This
new facility has enhanced our processing of Senate letters and has
enabled us to perform the package testing that was previously being
performed by a vendor. Bringing the processing of packages in-house has
increased the security of the packages addressed to the Senate's
Washington offices and is projected to save the Senate over $200,000
annually. This state-of-the-art facility has provided a safer and more
secure work environment for our employees and it is designed to serve
the Senate's mail processing needs for decades.
We also worked with this Committee and the Committee on Rules and
Administration to build one of the best facilities within the
Government to process time-sensitive documents that are delivered to
the Senate. In August 2006, we opened the Courier Acceptance Site to
ensure all same day documents are x-rayed, opened, tested, and safe for
delivery to Senate offices. The number of time-sensitive documents
addressed to Senate offices is significant. We processed almost 162,000
courier items during 2007. This was the most courier items that we have
processed during a year and represented a 19 percent increase in
courier packages from 2006.
Since the anthrax attacks of 2001, our Office has worked with the
Department of Homeland Security, the U.S. Postal Service, and our
science advisors in seeking avenues to improve the safety of the mail
routed to Senate State offices and to Members' home addresses. USPS has
installed detection units at mail processing plants throughout the
United States. Virtually every letter is run through this equipment
which is designed to detect certain contaminants, thereby providing a
safety screen that did not exist in the past.
Our Senate Post Office and our Office of Security and Emergency
Preparedness worked collaboratively with our science advisors to
develop and introduce the first device designed to provide Senate staff
who work in State offices a level of protection when handling mail. We
worked with eight Senate State offices to test and pilot the Postal
Sentry Mail Processing Device and the results were favorable. We now
offer this device to any Senate State office that would like this
additional level of protection to process their State office mail.
information technology
Enhancing Service, Security, and Stewardship
We continue to embrace and enhance the role of technology to
improve upon physical and information security and life safety, to
prepare for emergencies and to support the entire Senate's information
technology needs. As in our other areas, we also emphasize
stewardship--the careful use of all our resources, including the
funding we are provided, our personnel and the external resources that
we consume--in all aspects of our information technology operation.
As we do each year, we have updated and are performing under our 2-
year Information Technology Strategic Plan. The current revision, under
which we will be operating in fiscal year 2009, is the first to
incorporate stewardship as a guiding principle for all of our actions.
The five strategic information technology goals articulated in the
current plan and their supporting objectives drive our information
technology programmatic and budgetary decisions:
--Secure.--A secure Senate information infrastructure.
--Customer Service Focused.--A customer service culture top-to-
bottom.
--Effective.--Information technology solutions driven by business
requirements.
--Accessible, Flexible, and Reliable.--Access to mission-critical
information anywhere, anytime, under any circumstances.
--Modern.--A state-of-the-art information infrastructure built on
modern, proven technologies.
Following our strategic goal of being customer-service focused, we
actively engage the people for whom we work to help us determine which
technologies to implement, which business requirements to automate, and
which efforts to undertake. We also initiate our own projects to
improve our ability to perform our core functions. As a result, we have
more than 50 projects, ranging in size from a few days' work to multi-
year and multi-million-dollar efforts, underway at any given time, all
of which support our strategic goals. Our major accomplishments during
the past year include:
--Allowing the Senate to comply with the online filing and reporting
provisions of S. 1, the Honest Government and Open Leadership
Act of 2007, by working closely with the Secretary of the
Senate's Office of Public Records to implement new systems for
reporting and disclosure of lobbying relationships.
--Satisfying our customers to a greater extent as evidenced by the
excellent ratings we received on our fifth annual information
technology customer satisfaction survey.
--Improving our ability to defend ourselves against external
computer-based threats by awarding a contract to monitor our
networks and take protective actions, while respecting the
privacy of individual offices' data and communications.
--Making it easier for our customers to obtain cellular telephones
and BlackBerry devices by implementing an online catalog and
ordering system.
--Progressing well toward the implementation of our new telephone
system, including the creation of a comprehensive lab and the
completion of the final engineering phase. Pilot testing will
begin this summer and full implementation will begin this
winter.
--Improving the ability of Members, staff, and visitors to
communicate by extending our infrastructure that supports
cellular telephone and BlackBerry devices and wireless data
networks into the Capitol and the Senate expansion space in the
Capitol Visitor Center.
--Providing offices with a means to retain more e-mail data online,
with rapid and flexible search and retrieval capabilities,
through deployment of a solution for e-mail archiving that
allows older messages to be moved out of the message data base
but still remain online. By leveraging lower cost storage and
high-performance indexing, the solution provides a cost
effective, long-term electronic mail storage option without a
negative impact on the Senate's messaging infrastructure.
--Improving the experience of office staff as they accommodate the
required physical inventory of Senate assets by implementing
barcode scanning technologies.
--Making it easier for office administrative personnel to manage
their offices by deploying additional phases of TranSAAct, the
web-based system for managing certain office functions.
TranSAAct now offers single sign-on access to 13 other
applications, access to electronic versions of billing
statements, and online means to grant floor privileges and
authorization to make charges at the Recording Studio.
--Freeing our customers to choose a BlackBerry device from the
carrier of their choice through the implementation of a Senate
Messaging Alert Client that operates independently of the
Senate e-mail network and any particular carrier's
infrastructure, and provides the sender of an alert with
notification that it was delivered and read by each recipient.
enhancing service to the senate
Customer Service, Satisfaction, and Communications
Our strategic plan stresses customer service as a top priority, and
we actively solicit feedback from all levels and for all types of
services. Our fifth annual CIO customer satisfaction survey showed that
our overall customer satisfaction rating increased slightly from the 87
percent mark of the previous year. This comprehensive online survey
measures our customers' satisfaction with the systems, solutions,
service and the quality of personnel in our organization. Based on the
survey results, each year, we develop an action plan based on the
survey results, which stresses the areas in which improvement is
indicated. As always, we continue to emphasize strong communications
and customer relationships, bringing new technologies into the Senate
as quickly as possible, moving business and information online, and
offering choices that allow offices to meet their unique business
requirements.
In addition to the annual CIO customer satisfaction survey, we
solicit customer feedback for every help desk ticket opened. In several
major contracts that affect our customers, we include strict service
levels that are tied to the contractors' compensation--if they do well,
they get paid more; if they do poorly, they get paid less. As an
example of how well the service levels have been working for one
contract, we have exceeded the service level every month in system
installation service levels, help desk resolution times, and customer
satisfaction under the recently recompeted IT Support Contract, which
was developed, reviewed, and awarded with participation from our
customers. We also communicate effectively with our customers through a
well-developed outreach program that includes information technology
newsletters, quarterly project status reviews, participation in
information technology working groups, weekly technology and business
process review meetings with customers, joint monthly project and
policy meetings with the Committee on Rules and Administration, the
Senate Systems Administrators Association, and the Administrative
Managers' Steering Group.
Keeping Senators and Staff Informed
The Senate Information Services program continues to deliver
premium, vital online information services to Senators and staff. These
services range from the Senate's own near-real-time news tool,
NewsWatch, to mission-critical external research services providing
far-reaching current and archived news and general information,
historical newspapers dating back as far as the 18th century, Federal
and State statutes and case law, regulatory and judicial updates,
congressional news and current policy issues analysis, information
technology policy developments, and daily updated directories of
personnel in Government, business, media, and professional
associations. Senate users accessed more than 3.5 million real-time
news stories and almost 2 million pages of congressional news and
current policy analyses throughout 2007. During the same period, staff
conducted more than 15,000 hours of legal research, viewed contact and
biographical information for 60,000 professionals in wide-ranging
disciplines, and reviewed newspaper content contained in almost 25,000
images from more than 400 local daily newspapers from the United States
and around the world.
Robust, Reliable, and Modern Communications
We continue to make good progress toward modernizing the Senate's
entire telecommunications infrastructure to provide improved
reliability and redundancy in support of daily operations and
continuity of operations and Government, as well as to take advantage
of technological advances to provide a more flexible and robust
communications infrastructure. We are completing the final engineering
and design stage of this multi-year project to modernize the systems
that provide telephone and other telecommunication services to the
Senate on Capitol Hill. The new system has been engineered to provide
redundancy for increased reliability and availability resulting in a
state-of-the-art system of converged voice, data, and video
communications technologies built upon Internet telephony protocols,
also referred to as IP telephony or voice over IP. The new
telecommunications system will replace our 20-plus-year-old telephone
technology, eliminate single failure points, provide new capability and
value to the Senate, and benefit from the security of running behind
our infrastructure's firewalls. Early next year we will begin launching
the program.
The entire Senate enjoys the benefits of a modern, robust,
reliable, and scalable messaging infrastructure that includes built-in
options for continuity of operations, design choices, and a platform
for leveraging modern technologies including collaboration, mobility,
and communications. Offices continue to take advantage of the choices
offered as we completed six migrations of offices' electronic mail from
one to another of the flexible design options to meet the offices'
changing business needs. In the coming fiscal year, we will upgrade the
messaging system to the latest software edition that will provide
additional features and benefits for electronic mail users. We are also
deploying Microsoft's Office Communications Server system to allow
instant messaging and collaboration within the Senate and messaging to
external clients without the risks associated with other instant
messaging clients.
Web-Based and Customer-Focused Business Applications
This year, we completed the second phase and began the third phase
of TranSAAct, which is our platform for moving business online. Based
on the business requirements of offices and the Committee on Rules and
Administration, we continue to develop TranSAAct to eliminate paper-
based manual processes and move them to the Web. Through TranSAAct,
administrative managers and chief clerks can manage and track invoices
for SAA services through a modern Web interface, and have single sign-
on access to 13 Web-based applications including the ALERTS emergency
notification database, package tracking, the transit fare subsidy
system, and the garage parking database. The latest additions to
TranSAAct provide offices the ability to request services online and
use electronic signatures for approvals, eliminating paper requests and
significantly streamlining the previous manual processes for granting
floor privileges and authorizations to request services from the
Recording Studio. These two are the first of a host of other such
processes to be moved online. Because it is built on an extensible
modern database framework, TranSAAct allows indefinite expansion as new
requirements are fulfilled. We look forward over the coming months and
years to moving additional business process to the Web, reducing the
time, paper and errors associated with the current manual processes.
We also completed development on the next iteration of our highly
successful Service Academy nominations application, which we have
renamed the Office Application Manager. The Office Application Manager
is designed to help offices create, manage, and respond to Web-based
application submission for service academies, internships, and
fellowships. Electronic submissions reduce the amount of paper used
while streamlining the submission process for constituents and offices.
We are continuing to work with the other major stakeholders (the
Secretary of the Senate, the Committee on Rules and Administration, and
the Chaplain's Office) on restructuring Webster. We are currently in
the process of completing a more functional front page, banner, and
look and feel for the Senate intranet site. Included in the effort is a
new method of categorizing information on the site to improve search
results and content layout for the site, making information easier to
find and significantly improving the user experience.
We have also implemented a modern content management system to
enable Webster content providers the ability to develop and maintain
the content of their pages more easily without the need to know web
programming. We also made the same system, CommonSpot, available to
offices to develop and maintain their websites.
Showcasing and Promoting Modern Information Technology in
the Senate
This past year we continued to highlight new technologies in the
Information Technology Demonstration Center through a series of well-
attended ``Demo Days''. After products are tested and validated in our
technology assessment laboratory, they are then available for offices
to try in the demo center. The Demo Days feature live demonstrations of
new and emerging technologies. Just to name a few of the new products
and technologies that we have recently brought to the Senate, in the
past year we introduced Microsoft Groove 2007 for enhanced
collaboration on documents across organizational boundaries, HP server
integrated lights-out management board to enable remote monitoring and
management of servers, personal videoconferencing hub for easier
configuration of video conference calls with multiple participants,
Microsoft's Vista operating system, and a reporting application to
allow individual office system administrators to see quickly how they
are doing with respect to automatically-downloaded software updates.
Also, this past year, we hosted two more highly-successful Senate
emerging technology conferences and exhibitions to expose Senate staff
to new technologies and concepts. These conferences are designed around
technology themes of immediate interest Senate-wide. The two
conferences held this past year featured mobility and staying connected
anytime and anywhere and ``green'' initiatives in technology, for use
in the office and at home. Speakers included industry leaders;
Government agencies; and Member office, Architect of the Capitol, and
CIO staff.
In order to perform technology assessments, feasibility analysis,
and proof of concept studies, to ensure we are considering technologies
that will directly support the Senate's mission, we continue to improve
the capabilities in our technology assessment laboratory. Technologies
and solutions are vetted and tested here prior to being announced for
pilot, prototype, or mass deployment to the Senate. To ensure that
relevant technologies and solutions are under consideration, the CIO-
sponsored technology assessment group, consisting of CIO staff and our
customers, performs high-level requirements analysis and prioritizes
new technologies and solutions for consideration for deployment in the
Senate. Some of the new technologies evaluated and/or recommended for
support through our lab testing during the current fiscal year include:
--Server virtualization to reduce the number of physical servers we
require;
--Enterprise instant messaging, a critical business communication
tool that provides all the customary instant messaging
capabilities without sacrificing enterprise class reliability
and security;
--A Microsoft Vista operating system image and security configuration
customized for the Senate;
--More than 30 new Hewlett-Packard, Fujitsu, and Apple portable or
desktop computer offerings;
--18 new Hewlett-Packard workgroup printers;
--12 new document imaging scanners;
--Almost 600 Microsoft critical software security patches; and
--12 office productivity suite applications.
We will continue or intensify these efforts in fiscal year 2009 to
ensure that the Senate is always well-equipped to perform its
functions. To keep our customers informed of our efforts, we publish
the results of our studies on the emerging technology page of the CIO's
portion of Webster.
Enhancing Security with Accessible, Flexible, and Reliable
Systems
We continue to seek ways to improve the security of our technology
infrastructure in order to protect data, respect privacy, enable
continuous Senate operations and support our emergency and continuity
plans. Our efforts over the past year have enabled us to support
alternate sites and the replication of information, as well as
emergency and contingency communications. We are delivering increased
support for remote access and have completed the in-building wireless
infrastructure. A significant commitment to information technology
security is improving our ability to protect the Senate from increasing
external cyber threats, and the multi-year telecommunications
modernization project is driving improvements in the reliability of our
communications infrastructure. We also seek ways to enable individual
offices to replicate and defend the electronic information that is the
lifeblood of their existence. Our efforts all center on improving the
ability of the Senate to accomplish its mission.
Alternate Sites and Information Replication
We are continuing the testing of our technology in scenarios in
which our primary infrastructure and primary work locations have become
inaccessible. This includes the simulated loss of our primary data and
network facilities, as well as simulated loss of staff work spaces. All
mission essential Senate enterprise information systems continue to be
replicated at our alternate computing facility (ACF), using our
recently upgraded optical network and storage area network technology.
In August, the CIO conducted the third comprehensive test of the
facility: Senate primary computing facilities (including network
access) were completely shut down and reconstituted at the ACF. For
most systems full capability and functionality were provided from the
ACF for a period of 4 hours and then systems were ``failed-back'' to
the primary computing facility on Capitol Hill. In this test we kept
several major systems in production mode at the ACF for several days
before returning them to the primary facility. In December, working
with staff from the Office of the Secretary of the Senate, we conducted
a second failover exercise involving the Senate's financial systems. On
May 29 and 30, 2007, approximately 210 members of the CIO organization,
including staff from all departments and vendors, participated in our
first pandemic exercise. The exercise was a proof of concept activity,
demonstrating the CIO's ability to support mission essential systems
with a minimum number of on-site personnel, and the ability to support
substantial numbers of people working from home. All three of these
exercises were extremely successful and gave us valuable insight into
how we would provide our support in an emergency.
This past year our CIO organization also continued helping offices
protect their data by enabling them to replicate data to State offices
or the ACF through the remote data replication program. As of January
2008, there are 54 Member offices and 21 committees taking advantage of
this program, with 68 percent installed at the ACF and 32 percent
installed in Members' State offices. Remote data replication provides
the Senate an unprecedented ability to access institutional data in the
event of an emergency. Another system that is integral to emergency
planning, particularly in the event of a mass telecommuting scenario,
such as a pandemic, is the Senate's video teleconferencing system.
Through this highly-successful project we have installed more than 600
units in offices across the Nation with usage rates in excess of 33,000
minutes per day when the Senate is in session.
Two--enterprise and hybrid--of the three architectural options we
offer for electronic messaging provide complete replication of the
office's electronic mail at the ACF. Eighty-six percent of offices are
now taking advantage of the continuity of operations capability
inherent in the enterprise and hybrid options. Also, the recently
introduced e-mail archiving system provides complete replication to the
ACF electronic mail that has been archived to ``near-line'' storage
media for long term storage.
Finally, we also offer offices a virtual file server system that
allows them to store data securely on our large, centrally hosted,
enterprise-class storage area network. The system, as designed,
provides redundancy for disaster recovery and continuity of operations
and minimizes the environmental and staff burden of in-office data
storage. Offices that opt to use the system also enjoy enterprise-level
data backup and off-site storage of backup tapes while retaining
control of data recovery. In the event of a disaster that renders our
primary computing facility unavailable, the data at the ACF will be
brought online and will provide users consistent access to their data.
The system has been available since December 2006, and 14 Member
offices and four committees have taken advantage of this exciting
technology.
Securing our Information Infrastructure
As a result of information security activities we described in last
year's testimony, we have gained a much better understanding of the
dynamic nature of global cyber threats. This knowledge, combined with
the flexible technologies used in our information security operations
center, allows us to understand the overall IT operational risk present
in the Senate environment. We have evolved from a defensive,
reactionary posture of responding to cyber threats and attacks to an
active detection and prevention posture. We are deploying technologies
and processes that will detect malware and attempts at exploitation in
real time as they are attempted and that have the ability to actively
prevent most of these attempts, including ``zero-day'' attacks, from
being successful, which spares Senate information technology assets
from being affected and requiring remediation. Adjusting our controls
in response to new threats and making security recommendations to
offices and committees allows us to help ensure continuity of
Government by increasing availability of the IT infrastructure, even
under duress.
The list of electronic threats to our information infrastructure is
growing in number and sophistication. Over the next year, we will meet
the challenge of managing a volatile security environment by: (1)
optimizing our current configuration of security controls, expanding
the role of our security operation centers; (2) optimizing our current
configuration of security controls to enhance our incident handling
capabilities and operational protocols; (3) improving our collaboration
with other Federal agencies in the areas of incident response and
situational awareness; (4) evaluating, testing, and deploying new
security control mechanisms; and (5) enhancing communication with
office IT staff to give them timely and usable information in order to
improve the security posture of their own IT infrastructure.
Similar to security in the physical world, security in the
information technology world requires constant vigilance and the
ability to detect and deter attacks. The threats to our information
infrastructure are increasing in frequency and sophistication, and they
come from spyware, adware, malware, Trojans, keyloggers, spybots,
adbots, and trackware, all of which continuously search for
vulnerabilities in our systems and which we see being generated from
foreign as well as domestic sources. Countering the evolving threat
environment means increasing our awareness of the situation, improving
our processes, and continually researching, testing, and deploying new
security technologies. Because we have very little advance notice of
new types of attacks, we must and do have flexible security control
structures and processes that we frequently revise and adjust. Our
efforts to cultivate external relationships to improve our overall
awareness of Internet-based threats have been effective. As the global
threat environment has shifted, we have modified our processes and our
technologies to improve our awareness and response to better protect
the Senate's IT infrastructure.
This last year, we experienced growth in providing computer
security assistance to offices. We are increasingly called upon to help
office system administrators properly configure desktop and server
security controls and assist them in evaluating our weekly reports on
anti-virus controls. Also, we implemented an outreach program (with 15
offices completed and 6 scheduled for training) and work with system
administrators to ensure staff is regularly informed of threats to
Senate information and what they can do to help reduce the risk from
such threats. As a part of the information sharing process, we annually
produce 35-40 blog entries, articles and user notices targeted at
administrators and the general Senate population. As the Senate
continues to employ cutting edge technologies, our IT security group's
activities will adjust in order to ensure optimal product performance
and service delivery. We continue to use cutting edge technology, not
only within our IT security services, but also in our IT security
infrastructure. For example, we recently upgraded our anti-virus
infrastructure to allow us greater flexibility, better utilization of
our computing resources, and enhance our availability and disaster
recovery capabilities. This infrastructure is very scalable, and we can
continue to expand capabilities while conserving on costs.
Protecting the Senate's information is one of our most important
responsibilities. This year we have continued to make tremendous
strides in this area with the development and operation of the Senate's
redundant information security operations centers, one located on
Capitol Hill and the other at the Alternate Computing Facility. The
mission of these centers is to identify and understand threats, assess
vulnerabilities, identify failure points and bottlenecks, determine
potential impacts, and remedy problems before they adversely affect
Senate operations. We augment this capability with close liaisons with
other Federal agencies to ensure we have the most up-to-date
information and techniques for combating cyber threats. Running within
our information security operation centers, a state-of-the-art security
information management system aggregates and reports on data from a
variety of sources worldwide to help us track potential attackers
before they can harm us. The combination of the information security
operations centers, our defense-in-depth capability at all levels of
our network infrastructure, and our enterprise anti-virus/anti-spyware
programs, and centralized security update management service has proven
highly effective.
We must remain vigilant because the threat environment, as measured
by detected security incidents, remains very high. For example, every
day we detect approximately 1,121,000 potential security threats
targeting the Senate, more than 40 percent of which are characterized
as medium- to high-risk and our information security watchstander staff
handles 40-50 security issues each month. Monitoring the Senate's
information technology environment has been significantly improved over
the past year from detecting and being able to analyze and categorize
2.5 to 4 million ``events,'' which are items of Senate network traffic
that have the potential to cause a security breach, in October 2007, to
the ability to detect and analyze 7 to 9 million events currently as of
February 2008. Moving ahead, our information security operations
centers will be able to detect and analyze on the order of 12 to 19
million events per day. We will then upgrade our infrastructure to be
able to handle approximately 30 million events in a 24-hour period,
which will help prevent our systems from being overwhelmed during a
widespread malware outbreak or distributed denial of service attack
directed at the Senate, and will also allow for significant future
growth of the Senate security monitoring sensor network.
Our anti-virus controls detected and countered nearly 1,087,000
viral events in Senate computers during calendar year 2007. All offices
use our managed anti-virus system and centralized software update
servers. These systems protect over 11,500 Senate computers, and are a
main reason why only one major viral outbreak event was handled by our
incident handling team in 2007. Our security controls contained the
outbreak to only 2 percent of our systems, and prevented any
operational impact on an extended Senate session during a holiday
period. This is quite a contrast to viral outbreaks of just a few years
ago when several thousand machines were affected and notable
disruptions in Senate IT operations were experienced multiple times
throughout the year.
Of course, we undertake all our information security monitoring
activities in compliance with our information privacy policy. Although
the constraints of our policy make defending against threats more
difficult, we believe they are necessary to retain the trust of those
whom we serve.
Our information security watchstander, which is patterned after
similar security operations center positions in other agencies, is an
around-the-clock duty of our IT security staff. The position provides
the Senate community a central point of contact when reporting and
responding to IT security events. The watchstander also reviews and
responds to IT security alerts, suspicious activity bulletins, and
warnings compiled by public and private sources, and coordinates
efforts to increase Senate-wide IT security awareness. Due to the ever-
increasing numbers and potential severity of IT security events, the
number of IT Security staff has been increased to handle the larger
volume and variety of events. Some examples of watchstander
responsibilities are responding to complaints from offices of increased
e-mail spam and phishing attempts, creating user notices in response to
warnings on vulnerabilities, and responding to reports of suspicious
network traffic identified by our security operations center.
IT security is, and will continue to be, a growth area as we work
to stay ahead of threats and put safeguards in place. We plan to
increase both our analytical and defensive capabilities. In support of
that, we are hiring the three new full-time employees in our IT
Security Branch that were approved in our fiscal year 2008
appropriation. Further security sensors and other protection
technologies will be deployed at Senate network perimeters that will
enhance our ability to protect the Senate from cyber threats, malware,
and other network-borne threats from outside entity networks that
directly connect to the Senate. Sophisticated security products and
technologies will also be integrated into our new telecommunications
system, thus providing a monitoring, detection and active prevention
capability that will further protect us from current and future cyber
threats and better satisfy the Senate's requirements for privacy of
voice communications.
Emergency and Contingency Communications
We provide a comprehensive array of communications systems and
options with the objective of being able to communicate under any
circumstance. For instance, we are currently deploying the Senate
Message Alert Client, which eliminates our dependence on any single
commercial carrier for emergency communications to BlackBerry devices
and provides the flexibility of device-to-device communications.
Through this client, staff can create inter- or intra-office emergency
notification lists that can be used to send emergency messages directly
to devices on the list in real time. The Senate Message Alert Client
and the global e-mail alert system are two of the primary methods for
the USCP and the SAA to issue mass emergency communications messages.
This year we continued upgrading and testing our two Senate
emergency response communications vehicles according to a monthly
exercise plan. These assets are available for deployment with LAN, WAN,
telephone, and satellite connectivity and provide the ability to
relocate significant information infrastructure virtually anywhere. We
also continue to train and expand our deployment teams, and work to
revise and refine our operations procedures for deployment of these
vehicles in support of the Senate.
During the year we completed the in-building wireless
infrastructure in the Capitol and the Capitol Visitor Center. This
infrastructure provides coverage in areas where it was previously poor
or non-existent and also allows Senate staff to connect back to their
offices via wireless remote computing. The wireless infrastructure also
supports every carrier, allowing Members to use the carrier of their
choice with the device of their choice across the Senate campus. In the
Capitol Visitor Center, we are providing all services within the Senate
expansion space. At the request of the Architect of the Capitol we are
also providing cellular and BlackBerry coverage to the core of the
Visitor Center.
As we demonstrated during our pandemic exercise last spring, the
mobile and remote computing technologies we provide allow Senate staff
to access and modify their information and communicate from virtually
anywhere, anytime. We will continue to enhance and expand these
capabilities in order to support a potentially dispersed workforce with
the ability to telecommute. These capabilities are crucial to our
ability to support the Senate in an emergency situation where the
workforce must be dispersed and also support the Senate's ability to
provide employees with flexible work options on a daily basis.
We are dedicated to providing an integrated and highly-reliable
emergency communications infrastructure through a variety of projects
including expanding our emergency communications infrastructure,
integrating and streamlining emergency communications capability,
liaison with the USCP command center, developing specifications for
outfitting emergency operations and leadership coordination centers,
and conducting monthly comprehensive testing of emergency alert
notification systems.
Enhancing Stewardship through Fiscal and Environmental Responsibility
Stewardship of our resources is intertwined in everything we do, as
well as being a driving force for some of our activities. We are always
looking for ways to improve our processes or technologies so that we
save time, money, electricity, paper, or other resources. Our CIO
organization is a good steward of the fiscal resources of the Senate,
as they are consistently and continuously improving on the services
offered to our customers while seeking only modest increases in
funding. Many of their initiatives save offices hundreds or thousands
of dollars in costs that would otherwise be borne out of their official
accounts. As most of these initiatives save money due to a reduction in
the purchase of some commodity, they also fit in with our efforts
toward environmental stewardship. Some examples of our efforts to
enhance fiscal and environmental stewardship are:
--Implementation of virtual file servers, which allow the Sergeant at
Arms and other offices to combine multiple file servers onto
fewer physical devices, reducing the need to manufacture
devices and therefore dispose of them, reducing power and air
conditioning requirements, saving funds, and enhancing our
ability to provide reliable and redundant services.
--The electronic fax system saves offices hundreds of thousands of
pages of paper each year by allowing staff to dispose of
unwanted fax messages electronically before they are printed,
and reduces the need for fax toner cartridges, which again
reduces the need for manufacturing and disposal of them, and
saves offices tens of thousands of dollars a year on their
purchase.
--Online billing through our TranSAAct system has eliminated
approximately 30,000 pages of printed billing statements each
month. As we add Verizon Wireless and other services into
TranSAAct we will save even more paper.
--Scrutiny of our telecommunications bills for overcharges and
incorrect items has saved us more than $100,000 in the current
fiscal year.
We also ensure that the devices we recommend to the Senate meet the
applicable EnergyStar guidelines, and where feasible, the guidelines
for the responsible manufacture of information technology equipment.
operations and support
Consistently Delivering Excellent Service
The commitment to exceptional customer service is a hallmark of the
Sergeant at Arms organization and the cornerstone of our support
functions. The groups that make up our support team continue to provide
exceptional customer service to the Senate community.
Capitol Facilities
Capitol Facilities serves the Senate community by providing a clean
and professional work environment through its Environmental Services
Division. The Furnishing Division provides creative framing services to
all Senators and committees, custom cabinets and other high quality
furniture, carpeting, and draperies.
During the past year, Capitol Facilities has implemented a new
quality assurance system to track and monitor the cleaning quality
performed during the night in the Capitol and the cleaning supplies
used. It has improved the consistency and level of cleaning by using
technology to inspect and report on all areas cleaned in the Capitol
while at the same time resulting in a 50 percent reduction in the time
required for inspections allowing more time to be devoted to cleaning.
This system has also allowed us to monitor cleaning supply levels more
closely and reduce consumption.
Capitol Facilities has purchased and are using new event chairs for
special events in the Capitol resulting in improvements in appearance
and comfort for the Senate community and visitors.
Improvements made to our Cabinet Shop include installation of a
``Brandt'' edgebander which applies both veneer and solid wood to the
edges of cabinets and other furniture. Since this process was
originally done by hand which was very labor intensive and slow, we
have been able to reduce the amount of production time by 10 percent
for items requiring this application. The addition of a cabinet
designer to our staff has facilitated the CAD (Computer Aided Design)
process and given the department better presentation drawings for the
client to review and working drawings to build from. This designer has
also been instrumental in the completion of the first set of complete
drawings for the historic Webster Desk in the Senate Chamber.
Both Leadership Offices and Senate Security are participating in
the testing phase of an integrated work management system that features
an on-line furniture catalog, ordering functions, and work order
tracking capability.
Printing Graphics and Direct Mail
We provide photocopying, print design, and production services to
the Senate. The Printing, Graphics, and Direct Mail (PGDM) department
continues to provide high level service and customer support to the
Senate community. In fiscal year 2007, we responded to an increased
demand for color publications by using both digital color reproduction
and traditional full-color offset printing. PGDM produced more than 19
million full-color pages utilizing offset presses, a 61 percent
increase over fiscal year 2006, and over 1.7 million digital color
reproductions on our printers, a 29 percent increase over fiscal year
2006. In fiscal year 2007 PGDM purchased a digital production press,
which incorporates multiple print management functions in one system,
reducing turnaround times and producing higher quality products.
The department also processed more than 16 million black and white
copies, a large percentage of which were sent to PGDM in digital
format. The convenient web-based print ordering service expanded,
increasing web-based printing request production to more than 6.6
million documents. PGDM staff expanded the very popular CMS imaging
service and scanned over 700,000 documents, a 61 percent increase over
fiscal year 2006. We saved the Senate approximately $662,000, enabled
quick turnaround times, and provided convenient customer service by
producing over 7,446 large format charts in-house. Constituent mail saw
first class postage increased to $0.41 per piece and PGDM saved Senate
offices over $2.1 million in postage expenses by sorting over 11
million pieces of mail during fiscal year 2007. We also worked with
other Senate partners to process 55,000 flag requests.
The Senate Support Facility has been in full operation for more
than 2 years. A key initiative for the facility was to provide a secure
transfer service from the United States Capitol Police Off-Site
inspection facility to the Senate Support Facility. In fiscal year
2007, PGDM transferred more than 100,000 items from the inspection
facility to the Senate Support Facility, greatly reducing the number of
trucks entering the Capitol complex.
Parking Office
The Parking Office is a leader in our ``Green'' initiatives. There
are 17 flex-fuel vehicles in the Fleet, one hybrid vehicle and one
electric car.
The Parking Office also plays a critical role in planning and
exercising transportation and logistics in emergency operations. The
Parking Office has worked closely with OSEP in these endeavors and has
produced the final draft of COOP transportation manuals.
Photo Studio
The Photo Studio has developed procedures to replicate the Photo
Browser database at the Alternate Computing Facility, providing a
secure backup and recovery plan for customer's photo images.
Photo Studio staff also designed new web pages to provide a more
user-friendly and informative interface for customers, and implemented
an FTP service which allows customers to upload multiple image files at
one time.
The Photo Studio is currently evaluating Digital Asset Management
(DAM) products to replace the Photo Browser image database and order
fulfillment system. Our fiscal year 2009 budget request plans for
upgrades to existing server hardware to ensure adequate maintenance and
secure storage for Senators' and Committees' photo images which
currently number more than 1.2 million. Our goal is to implement a
fully supported DAM and ordering system that will function securely
within the Senate environment.
Senate Hair Care
Senate Hair Care increased service prices in fiscal year 2007. This
resulted in a revenue increase of $50,546 over fiscal year 2006 totals,
approximately 12.5 percent. Customers are responding enthusiastically
to new retail products offered in Senate Hair Care. We have responded
to the needs of customers who travel by offering an expanded range of
travel size retail products, to keep customers compliant with the TSA
3-1-1 rule.
Recording Studio
Our Recording Studio is responsible for providing gavel to gavel
coverage of Senate floor proceedings, broadcasting Senate committee
hearings, and providing radio and television production studios and
equipment for Senators' use. Last year, we televised all 1,384 hours of
Senate Floor proceedings, 755 committee hearings, and broadcast 1,348
radio and television productions.
Committee Hearing Room Upgrade Project
Demand for additional committee broadcasts has been ever
increasing. In 2003, we began working with this Committee and the
Committee on Rules and Administration to upgrade and install multimedia
equipment in Senate committee hearing rooms. The project includes
digital signal processing audio systems and broadcast-quality robotic
camera systems.
To date, we have completed 19 hearing rooms, S-207, S-211 and have
2 more rooms in the design phase. Room enhancements include improved
speech intelligibility and software-based systems that we can configure
based on individual committee needs. The system is networked; allowing
committee staff to easily and automatically route audio from one
hearing room to another when there are overflow crowds. Additionally,
the system's backup will take over quickly if the primary electronics
fail.
As part of the upgrades included in our move to the CVC, we are
installing technologies to enhance our ability to provide broadcast
coverage of more hearings simultaneously without adding staff. For
example, the Committee Hearing Room Upgrade Project will allow us to
cover a hearing with one staff member. Before the upgrade, three staff
members were required to adequately cover a hearing. These technology
enhancements, coupled with the expansion of the number of control rooms
for committee broadcasts to 12, will enable us to increase our
simultaneous broadcast coverage of committee hearings from 5 to as many
as 12.
Migration to the Capitol Visitor Center
The most significant work we anticipate for the Senate Recording
Studio, over the next 6 months, is its move from the basement of the
Capitol to the CVC. This move will enable the Recording Studio to
complete its upgrade to a full High Definition Facility, and to
implement a number of improvements that have been planned to coincide
with the opening of the CVC. The Studio anticipates moving all aspects
of its operation, including the engineering shops, the Senate
Television operation, Studio production and post-production facilities,
committee broadcast services, and all administrative and management
offices to the CVC by September 1, 2008.
My earlier testimony discussed the impact the CVC will have on the
Senate Recording Studio. We have other departments that will be
impacted by the CVC and their operations and processes will change with
its opening.
Senate Appointments Desks
To improve security and the flow of people who visit the Capitol,
the Senate Appointments Desk will add two desks in the CVC, one located
near the main entrance and the other located outside of the Senate
Meeting Rooms on the lower level. Approximately 80 percent of the
people who have appointments at the Capitol will enter through the CVC,
reducing congestion within the Capitol and minimizing processing and
waiting time for our guests. Approximately 95,000 people who previously
entered through the Capitol's North Door will enter through the CVC
when it opens. We will maintain scaled versions of the Capitol and the
Russell Building Appointments Desks for visitors with appointments with
Leadership and for those who have appointments in both the Senate
office buildings and the Capitol. Our Appointments Desks staff will
expand from 6 to 10 and our projected labor efficiencies experienced in
other departments will enable us to transfer four FTEs to the Senate
Appointments Desk team.
Senate Gallery Visitors
We plan to improve the visitor experience for the estimated 200,000
people annually who want to witness Senate proceedings from the
Gallery. We will process these guests through the CVC, rather than the
Capitol's North Door, improving security and thereby eliminating the
long lines and congestion that had been commonplace throughout the
Capitol. Our Senate Doorkeepers team will manage a staging room that
has been designated on the main floor of the CVC near the elevators
that will facilitate the collection of Gallery-prohibited items and the
movement of people in a secure manner. The staging room and the
surrounding areas offer our guests numerous creature comforts and
educational opportunities. The staging room will be converted into a
Senate Meeting Room when the Senate is not in session.
conclusion
We take our responsibilities to the American people and to their
elected representatives seriously. The Office of the Sergeant at Arms
is like dozens of small businesses, each with its own primary mission,
each with its own measures of success, and each with its own culture.
It has a fleet of vehicles that serves Senate Leadership, delivers
goods, and provides emergency transportation. Our Photography Studio
records historic events, takes official Senate portraits, provides a
whole range of photography services, and delivers thousands of pictures
each year. The SAA's printing shop provides layout and design, graphics
development, and production of everything from newsletters to floor
charts. The Office of the Sergeant at Arms also operates a Page
dormitory, a hair salon, and parking lots. It provides many other
services to support the Senate community, including framing, flag
packaging and mailing, and intranet services. Each of these businesses
requires personnel with different skills and different abilities. One
thing that they all have in common, though, is their commitment to
making the Senate run smoothly.
Over the past year, the staff of the SAA has kept the Senate safe,
secure, and operating efficiently. This Committee and the Committee on
Rules and Administration have provided active, ongoing support to help
us achieve our goals. We thank you for your support and for the
opportunity to present this testimony and respond to any questions you
may have.
appendix a--fiscal year 2009 budget request
attachment i--financial plan for fiscal year 2009
EXECUTIVE SUMMARY: OFFICE OF THE SERGEANT AT ARMS--UNITED STATES SENATE
[Dollar amounts in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 --------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
General Operations and Maintenance:
Salaries............................................... $60,600 $69,758 $9,158 15.1
Expenses............................................... $78,379 $84,572 $6,193 7.9
----------------------------------------------------
Total, General Operations and Maintenance............ $138,979 $154,330 $15,351 11.0
====================================================
Mandated Allowances and Allotments......................... $55,616 $52,818 ($2,798) -5.0
Capital Investment......................................... $3,315 $14,515 $11,200 337.9
Nondiscretionary Items..................................... $5,079 $4,696 ($383) -7.5
----------------------------------------------------
TOTAL................................................ $202,989 $226,359 $23,370 11.5
====================================================
Staffing................................................... 949 956 7 0.7
----------------------------------------------------------------------------------------------------------------
To ensure that we provide the highest levels and quality of
security, support services and equipment, we submit a fiscal year 2009
budget request of $226,359,000, an increase of $23,370,000 or 11.5
percent compared to fiscal year 2008. The salary budget request is
$69,758,000, an increase of $9,158,000 or 15.1 percent, and the expense
budget request is $156,601,000, an increase of $14,212,000 or 10.0
percent. The staffing request is 956, an increase of 7 percent.
We present our budget in four categories: General Operations and
Maintenance (Salaries and Expenses), Mandated Allowances and
Allotments, Capital Investment, and Nondiscretionary Items.
The general operations and maintenance salaries budget request is
$69,758,000, an increase of $9,158,000 or 15.1 percent compared to
fiscal year 2008. The salary budget increase is due to the addition of
seven FTEs, a COLA, and merit funding. The additional staff will
support increased demand for services, as well as advancing
technologies.
The general operations and maintenance expenses budget request for
existing and new services is $84,572,000, an increase of $6,193,000 or
7.9 percent compared to fiscal year 2008. Major factors contributing to
the expense budget increase are cost escalations in the IT support
contract, $1,661,000; a new cyber security contract, $800,000; purchase
of furnishings and carpet, $697,000; additional maintenance costs to
support Internet bandwidth, $600,000; and other IT support agreements,
$442,000.
The mandated allowances and allotments budget request is
$52,818,000, a decrease of $2,798,000 or 5.0 percent compared to fiscal
year 2008. This variance is primarily due to decreases in telecom
services costs.
The capital investment budget request is $14,515,000, an increase
of $11,200,000 or 337.9 percent compared to fiscal year 2008. The
fiscal year 2009 budget request includes funds for hearing room audio/
video upgrades, $5,000,000; data network engineering equipment,
$2,300,000; network upgrade project, $1,800,000; replacement of
printing equipment, $1,795,000; upgrade of the Storage Area Network
(SAN), $1,520,000; and the modular furniture replacement project for
SAA space, $1,000,000.
The nondiscretionary items budget request is $4,696,000, a decrease
of $383,000 or 7.5 percent compared to fiscal year 2008. The request
funds three projects that support the Secretary of the Senate: contract
maintenance for the Financial Management Information System,
$3,656,000; maintenance and necessary enhancements to the Legislative
Information System, $835,000; and maintenance and enhancements to the
Senate Payroll System, $205,000.
attachment ii--fiscal year 2009 budget request by department
The following is a summary of the SAA fiscal year 2009 budget
request on an organizational basis.
FISCAL YEAR 2009 BUDGET REQUEST BY DEPARTMENT
[Dollar amounts in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 --------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
Capitol Division........................................... $30,175 $37,621 $7,446 24.7
Operations................................................. $40,077 $46,274 $6,197 15.5
Technology Development..................................... $44,578 $53,399 $8,821 19.8
IT Support Services........................................ $72,557 $71,996 ($561) -0.8
Staff Offices.............................................. $15,602 $17,069 $1,467 9.4
----------------------------------------------------
TOTAL................................................ $202,989 $226,359 $23,370 11.5
----------------------------------------------------------------------------------------------------------------
Each department's budget is presented and discussed in detail on
the next pages.
CAPITOL DIVISION
[Dollars in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 -------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
General Operations and Maintenance:
Salaries................................................ $15,752 $18,151 $2,399 15.2
Expenses................................................ $12,423 $12,570 $147 1.2
---------------------------------------------------
Total, General Operations and Maintenance............. $28,175 $30,721 $2,546 9.0
===================================================
Mandated Allowances and Allotments.......................... $1,800 $1,800 ........... ...........
Capital Investment.......................................... $200 $5,100 $4,900 2,450.0
Nondiscretionary Items...................................... ........... ........... ........... ...........
---------------------------------------------------
TOTAL................................................. $30,175 $37,621 $7,446 24.7
===================================================
Staffing.................................................... 286 286 ........... ...........
----------------------------------------------------------------------------------------------------------------
The Capitol Division consists of the Executive Office, the Office
of Security and Emergency Preparedness, the U.S. Capitol Police
Operations Liaison, Post Office, Recording Studio and Media Galleries.
The general operations and maintenance salaries budget request is
$18,151,000, an increase of $2,399,000 or 15.2 percent. The salary
budget increase is due an expected COLA and merit increases, and other
adjustments.
The general operations and maintenance expenses budget request is
$12,570,000, an increase of $147,000 or 1.2 percent.
The mandated allowances and allotments budget request for State
office security initiatives is $1,800,000.
The capital investments budget request of $5,100,000 will fund
hearing room audio and video upgrades, and two new vehicles in the Post
Office.
OPERATIONS
[Dollars in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 -------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
General Operations and Maintenance:
Salaries................................................ $17,140 $19,161 $2,021 11.8
Expenses................................................ $5,772 $6,876 $1,104 19.1
---------------------------------------------------
Total, General Operations and Maintenance............. $22,912 $26,037 $3,125 13.6
===================================================
Mandated Allowances and Allotments.......................... $16,665 $16,992 $327 2.0
Capital Investment.......................................... $500 $3,245 $2,745 549.0
Nondiscretionary Items...................................... ........... ........... ........... ...........
---------------------------------------------------
TOTAL................................................. $40,077 $46,274 $6,197 15.5
===================================================
Staffing.................................................... 305 305 ........... ...........
----------------------------------------------------------------------------------------------------------------
The Operations Division consists of the Central Operations Group
(Director/Management, Parking Office, Printing, Graphics and Direct
Mail, Photo Studio, and Hair Care Services), Facilities, and the Office
Support Services Group (Director, Customer Support, State Office
Liaison, and Administrative Services).
The general operations and maintenance salaries budget request is
$19,161,000, an increase of $2,021,000 or 11.8 percent. The salary
budget increase is due to an expected COLA and merit increases.
The general operations and maintenance expenses budget request is
$6,876,000, an increase of $1,104,000 or 19.1 percent. This increase is
primarily due to additional maintenance costs, and purchases of
furnishings and carpet for Capitol offices whose occupants relocated to
the CVC and the election cycle.
The mandated allowances and allotments budget request is
$16,992,000, an increase of $327,000 or 2.0 percent. This request
includes funds for the rent expenses of home State offices.
The capital investment budget request is $3,245,000. This request
includes funds for modular furniture replacement in SAA office space,
$1,000,000; and several equipment replacement projects in Central
Operations, including the purchase of a laser printer, $500,000; photo
studio server upgrade and printing system, $450,000; plate maker,
$400,000; and six copy center printers, $275,000.
TECHNOLOGY DEVELOPMENT
[Dollars in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 --------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
General Operations and Maintenance:
Salaries............................................... $12,060 $14,939 $2,879 23.9
Expenses............................................... $25,399 $27,694 $2,295 9.0
----------------------------------------------------
Total, General Operations and Maintenance............ $37,459 $42,633 $5,174 13.8
====================================================
Mandated Allowances and Allotments......................... ........... ........... ............ ...........
Capital Investment......................................... $2,040 $6,070 $4,030 197.5
Nondiscretionary Items..................................... $5,079 $4,696 ($383) -7.5
----------------------------------------------------
TOTAL................................................ $44,578 $53,399 $8,821 19.8
====================================================
Staffing................................................... 140 146 6 4.3
----------------------------------------------------------------------------------------------------------------
The Technology Development Services includes the Technology
Development Director, Network Engineering and Management, Enterprise IT
Operations, Systems Development Services, Information Systems Security
and Internet/Intranet Services.
The general operations and maintenance salaries budget request is
$14,939,000, an increase of $2,879,000 or 23.9 percent. The salary
budget increase is due to the addition of six FTEs, an expected COLA
and merit funding for fiscal year 2009. Technology Development requires
six FTEs to provide network infrastructure support, support the growing
demand on IT Security, and for additional enterprise database systems
support.
The general operations and maintenance expense budget request is
$27,694,000, an increase of $2,295,000 or 9.0 percent. This increase is
due to a new cyber security contract and additional maintenance costs
to support expanded Internet bandwidth required to meet Senate business
requirements.
The capital investment budget request is $6,070,000, an increase of
$4,030,000 or 197.5 percent. This request includes data network
engineering costs, $2,300,000; data network upgrade project,
$1,800,000; and upgrade of the Storage Area Network (SAN), $1,520,000.
The nondiscretionary items budget request is $4,696,000, a decrease
of $383,000 or 7.5 percent. The request consists of three projects that
support the Secretary of the Senate: contract maintenance for the
Financial Management Information System, maintenance and necessary
enhancements to the Legislative Information System, and maintenance and
enhancements to the Senate Payroll System.
IT SUPPORT SERVICES
[Dollars in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 --------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
General Operations and Maintenance:
Salaries............................................... $6,577 $7,160 $583 8.9
Expenses............................................... $28,254 $30,710 $2,456 8.7
----------------------------------------------------
Total, General Operations and Maintenance............ $34,831 $37,870 $3,039 8.7
====================================================
Mandated Allowances and Allotments......................... $37,151 $34,026 ($3,125) -8.4
Capital Investment......................................... $575 $100 ($475) -82.6
Nondiscretionary Items..................................... ........... ........... ............ ...........
----------------------------------------------------
TOTAL................................................ $72,557 $71,996 ($561) -0.8
====================================================
Staffing................................................... 113 113 ............ ...........
----------------------------------------------------------------------------------------------------------------
The IT Support Services Department consists of the Director, Office
Equipment Services, Telecom Services, and Desktop/LAN Support branches.
The general operations and maintenance salaries budget request is
$7,160,000, an increase of $583,000 or 8.9 percent. The salary budget
will increase due to an expected COLA and merit funding for fiscal year
2009.
The general operations and maintenance expenses budget request is
$30,710,000, an increase of $2,456,000 or 8.7 percent. This increase is
primarily due to cost escalations in the IT Support Contract and other
IT support agreements.
The mandated allowances and allotments budget request is
$34,026,000, a decrease of $3,125,000 or 8.4 percent. This budget
supports voice and data communications for Washington, DC, and State
offices, $13,290,000; computer equipment, $12,915,000; procurement and
maintenance of office equipment for Washington, DC, and State offices,
$4,559,000; maintenance and procurement of Member and Committee mail
systems, $4,500,000; and the Appropriations Analysis and Reporting
System, $100,000.
The capital investment budget request is $100,000, a decrease of
$475,000 or 82.6 percent. The current budget request includes funds to
help manage constituent e-mail correspondence.
STAFF OFFICES
[Dollars in thousands]
----------------------------------------------------------------------------------------------------------------
Fiscal year 2009 vs.
Fiscal year fiscal year 2008
Fiscal year 2009 -------------------------
2008 budget request Percent
Amount Incr/Decr
----------------------------------------------------------------------------------------------------------------
General Operations and Maintenance:
Salaries................................................ $9,071 $10,347 $1,276 14.1
Expenses................................................ $6,531 $6,722 $191 2.9
---------------------------------------------------
Total, General Operations and Maintenance............. $15,602 $17,069 $1,467 9.4
===================================================
Mandated Allowances and Allotments.......................... ........... ........... ........... ...........
Capital Investment.......................................... ........... ........... ........... ...........
Nondiscretionary Items...................................... ........... ........... ........... ...........
---------------------------------------------------
TOTAL................................................. $15,602 $17,069 $1,467 9.4
===================================================
Staffing.................................................... 105 106 1 1.0
----------------------------------------------------------------------------------------------------------------
The Staff Offices Division consists of Education and Training,
Financial Management, Human Resources, Employee Assistance Program,
Process Management & Innovation, and Special Projects.
The general operations and maintenance salaries budget request is
$10,347,000, an increase of $1,276,000 or 14.1 percent. The salary
budget increase is due to the addition of one FTE, an expected COLA,
and merit funding. Process Management and Innovation will add one
Senior IT Specialist to replace on-site contract support for SAA-
developed applications and websites.
The general operations and maintenance expenses budget request is
$6,722,000, an increase of $191,000 or 2.9 percent. This increase is
due to additional costs of system design and development for TranSAAct,
software purchases and electronic subscriptions.
______
GOVERNMENT ACCOUNTABILITY OFFICE
Prepared Statement of Gene L. Dodaro, Acting Comptroller General of the
United States
Madam Chair and members of the subcommittee: I appreciate the
opportunity to present GAO's budget request for fiscal year 2009. I am
proud to say that we serve the Congress and the American people well,
and I want to publicly acknowledge the professionalism, talents, and
dedication of the GAO workforce in supporting the Congress and
improving Government. We submit for your consideration a funding
proposal that would ensure the GAO can continue to help Congress make
informed oversight, policy, and funding decisions.
At the outset, I want to thank the subcommittee for its support of
GAO last year, especially in light of the overall budget pressures that
the subcommittee faced when considering priorities. We ask for your
continued support so that GAO can take on the issues of greatest
interest to the Congress and address an increased demand for our
services.\1\
---------------------------------------------------------------------------
\1\ An overview of GAO's strategic plan for serving the Congress is
included as appendix I.
---------------------------------------------------------------------------
The budget authority we are requesting for fiscal year 2009--$545.5
million--represents a prudent request of 7.5 percent to support the
Congress as it confronts a growing array of difficult challenges. We
will continue to reward the confidence you place in us by providing a
strong return on this investment. In fiscal year 2007 for example, in
addition to delivering hundreds of reports and briefings to aid
congressional oversight and decisionmaking, our work yielded:
--financial benefits, such as increased collection of delinquent
taxes and civil fines, totaling $45.9 billion--a return of $94
for every dollar invested in GAO;
--over 1,300 other improvements in Government operations spanning the
full spectrum of national issues, ranging from helping Congress
create a center to better locate children after disasters to
strengthening computer security over sensitive Government
records and assets to encouraging more transparency over
nursing home fire safety to strengthening screening procedures
for VA health care practitioners; and
--expert testimony at 276 congressional hearings to help Congress
address a variety of issues of broad national concern, such as
the conflict in Iraq and efforts to ensure drug and food
safety.
demand for gao services is high and increasing
Demand for GAO's analysis and advice remains strong across the
Congress. During the past 3 years, GAO has received requests or
mandated work from all of the standing committees of the House and the
Senate and over 80 percent of their subcommittees. In fiscal year 2007,
GAO received over 1,200 requests for studies. This is a direct result
of the high quality of GAO's work that the Congress has come to expect
as well as the difficult challenges facing the Congress where it
believes having objective information and professional advice from GAO
is instrumental.
Not only has demand for our work continued to be strong, but it is
also steadily increasing. The total number of requests in fiscal year
2007 was up 14 percent from the preceding year. This trend has
accelerated in fiscal year 2008 as requests rose 26 percent in the
first quarter and are up 20 percent at the mid-point of this fiscal
year from comparable periods in 2007. As a harbinger of future
congressional demand, potential mandates for GAO work being included in
proposed legislation as of February 2008 totaled over 600, or an 86
percent increase from a similar period in the 109th Congress.
The following examples illustrate this demand:
--Over 160 new mandates for GAO reviews were imbedded in law,
including the Consolidated Appropriations Act of 2008, the
Defense Appropriations Act of 2008, and 2008 legislation
implementing the 9/11 Commission recommendations;
--New recurring responsibilities were given to GAO under the Honest
Leadership and Open Government Act of 2007 to report annually
on the compliance by lobbyists of registration and reporting
requirements; and
--Expanded bid protest provisions applied to GAO that (1) allow
Federal employees to file protests concerning competitive
sourcing decisions (A-76), (2) establish exclusive bid protest
jurisdiction at GAO over issuance of task and delivery orders
valued at over $10 million, and (3) provide GAO bid protest
jurisdiction over contracts awarded by the Transportation
Security Administration.
Further evidence of GAO's help in providing important advice to the
Congress is found in the increased numbers of GAO appearances at
hearings on topics of national significance and keen interest (see
table 1).
In fiscal year 2007 GAO testified at 276 hearings, 36 more than
fiscal year 2006. The fiscal year 2007 figure was an all-time high for
GAO on a per capita basis and among the top requests for GAO input in
the last 25 years. This up tempo of GAO appearances at congressional
hearings has continued, with GAO already appearing at 140 hearings this
fiscal year, as of April 4th.
Table 1.--GAO's Selected Testimony Issues by Strategic Goal, Fiscal
Year 2007
Goal 1: Address challenges to the well-being and financial security of
the American people
Federal oversight of food safety
Capacity and service gaps among homeless veterans programs
Reauthorizing the State Children's Health Insurance Program
Claims processing challenges for veterans' disability benefits
FEMA payments on hurricane-damaged properties
Nursing home oversight
Private pension fees
Small Business Administration's disaster preparedness efforts
Improved safety for coal miners
Federal actions to improve child welfare services
Oil and gas royalties
Medicare physician payments
Effects of seller-funded down payments on home loans
Status of the future air traffic control system
USPS reform efforts
Federal real property issues
Emergency management plans for schools
Goal 2: Respond to changing security threats and the challenges of
globalization
Status of benchmarks for Iraqi Government
DOD's management of systems and assets
Improving the military's supply chain
Linking defense strategy with military personnel requirements
Navy shipbuilding
Using best practices for space acquisitions
Vulnerabilities in U.S. export control systems
Combating nuclear smuggling
Securing radiological sources in foreign countries
Improving the efficiency of U.S. food aid procedures
National strategy to enforce intellectual property rights
DHS's major mission and management functions
Risk-management principles and homeland security
Secure border initiative
Bankruptcy reform and credit counseling
National strategy to improve financial literacy
VA's information security management
Goal 3: Help transform the Federal Government's role and how it does
business
Contracting and security challenges in Iraq
Federal acquisitions and contracting challenges
Acquisition challenges at DHS
Security vulnerabilities at unmonitored border locations
Incomplete reporting of improper Federal payments
Transforming DHS's financial management systems
Challenges facing the polar satellite program
Electronic voting
Balancing individual privacy with homeland security needs
Health information technology and privacy
Long-term fiscal challenges
Tax compliance
Human capital challenges facing the Federal Government
Rebuilding the gulf coast
Preparations for the 2010 Census
Fiscal stewardship challenges facing the United States
Tax abuses by Medicare Part B providers
Source: GAO.
modest increase in staffing would help meet demand
Our FTE level in fiscal year 2008 is 3,100--the lowest level ever
for GAO. We are proud of the results we deliver to the Congress and our
Nation with this level, but with a slightly less than 5 percent
increase in our FTEs to 3,251 we can better meet increased
congressional requests for GAO assistance. While this increase would
not bring GAO back to the 3,275 FTE level of 10 years ago, it would
allow us to respond to the increased workload facing the Congress.
GAO staff are stretched in striving to meet Congress's increasing
needs. People are operating at a pace that cannot be sustained over the
long run. I am greatly concerned that if we try to provide more
services with the existing level of resources, the high quality of our
work could be diminished in the future. But I will not allow this to
occur. This is not in the Congress's nor GAO's interest.
One consequence of our demand vs. supply situation is the growing
list of congressional requests that we are not able to promptly staff.
While we continue to work with congressional committees to identify
their areas of highest priority, we remain unable to staff important
requests. This limits our ability to provide timely advice to
congressional committees dealing with certain issues that they have
slated for oversight, including
--Safety concerns such as incorporating behavior-based security
programs into TSA's aviation passenger screening process,
updating our 2006 study of FDA's post-market drug safety
system, and reviewing State investigations of nursing home
complaints.
--Operational improvements such as the effectiveness of Border
Security checkpoints to identify illegal aliens, technical and
programmatic challenges in DOD's space radar programs,
oversight of federally funded highway and transit projects and
the impact of the 2005 Bankruptcy Abuse Prevention and Consumer
Protection Act.
--Opportunities to increase revenues or stop wasteful spending
including reducing potential overstatements of charitable
deductions and curbing potential overpayments and contractor
abuses in food assistance programs.
gao's fiscal year 2009 budget request
Our fiscal year 2009 budget request seeks to better position us to
maintain our high level of support for the Congress and better meet
increasing requests for help. This request would help replenish our
staffing levels at a time when almost 20 percent of all GAO staff will
be eligible for retirement. Accordingly, our fiscal year 2009 budget
request seeks funds to ensure that we have the increased staff capacity
to effectively support the Congress's agenda, cover pay and
uncontrollable inflationary cost increases, and undertake critical
investments, such as technology improvement.
GAO is requesting budget authority of $545.5 million to support a
staff level of 3,251 FTEs needed to serve the Congress. This is a
fiscally prudent request of 7.5 percent over our fiscal year 2008
funding level, as illustrated in table 2. Our request includes about
$538.1 million in direct appropriations and authority to use about $7.4
million in offsetting collections. This request also reflects a
reduction of about $6 million in nonrecurring fiscal year 2008 costs.
TABLE 2.--FISCAL YEAR 2009 SUMMARY OF REQUESTED CHANGES
[Dollars in thousands]
----------------------------------------------------------------------------------------------------------------
Percentage
Budget category FTEs Amount change
----------------------------------------------------------------------------------------------------------------
Fiscal year 2008 base........................................... 3,100 $507,239 ..............
Subtotal--requested changes..................................... 151 38,288 7.5
--------------------------------
Fiscal year 2009 budget authority............................... 3,251 545,527 ..............
----------------------------------------------------------------------------------------------------------------
Source: GAO.
Our request includes funds needed to
--increase our staffing level by less than 5 percent to help us
provide more timely responses to congressional requests for
studies;
--enhance employee recruitment, retention, and development programs,
which increase our competitiveness for a talented workforce;
--recognize dedicated contributions of our hardworking staff through
awards and recognition programs;
--address critical human capital components, such as knowledge
capacity building, succession planning, and staff skills and
competencies;
--pursue critical structural and infrastructure maintenance and
improvements;
--restore program funding levels to regain our lost purchasing power;
and
--undertake critical initiatives to increase our productivity.
Key elements of our proposed budget increase are outlined as
follows:
Pay and inflationary cost increases
We are requesting funds to cover anticipated pay and inflationary
cost increases resulting primarily from annual across-the-board and
performance-based increases and annualization of prior fiscal year
costs. These costs also include uncontrollable, inflationary increases
imposed by vendors as the cost of doing business.
Rebuilding capacity
GAO generally loses about 10 percent of its workforce annually to
retirements and attrition. This annual loss places GAO under continual
pressure to replace staff capacity and renew institutional memory. In
fiscal year 2007, we were able to replace only about half of our staff
loss. In fiscal year 2008, we plan to replace only staff departures.
Our proposed fiscal year 2009 staffing level of 3,251 FTEs would
restore our staff capacity through a modest FTE increase, which would
allow us to initiate congressional requests in a timelier manner and
begin reducing the backlog of pending requests.
Critical technology and infrastructure improvements
We are requesting funds to undertake critical investments that
would allow us to implement technology improvements, as well as
streamline and re-engineer work processes to enhance the productivity
and effectiveness of our staff, make essential investments that have
been deferred year after year but cannot continue to be delayed, and
implement responses to changing Federal conditions.
Human capital initiatives and additional legislative authorities
GAO is working with the appropriate authorization and oversight
committees to make reforms that are designed to benefit our employees
and to provide a means to continue to attract, retain, and reward a
top-flight workforce, as well as help us improve our operations and
increase administrative efficiencies. Among the requested provisions,
GAO supports the adoption of a ``floor guarantee'' for future annual
pay adjustments similar to the agreement governing 2008 payment
adjustments reached with the GAO Employees Organization, IFPTE. The
floor guarantee reasonably balances our commitment to performance-based
pay with an appropriate degree of predictability and equity for all GAO
employees.
At the invitation of the House Federal workforce subcommittee, we
also have engaged in fruitful discussions about a reasonable and
practical approach should the Congress decide to include a legislative
provision to compensate GAO employees who did not receive the full base
pay increases of 2.6 percent in 2006 and 2.4 percent in 2007. We
appreciate their willingness to provide us with the necessary legal
authorities to address this issue and look forward to working together
with you and our oversight committee to obtain necessary funding to
cover these payments. The budget authority to cover the future impact
of these payments is not reflected in this budget request.
establishing and maintaining constructive union relationships
As you know, on September 19, 2007, our Band I and Band II
Analysts, Auditors, Specialists, and Investigators voted to be
represented by the GAO Employees Organization, IFPTE, for the purpose
of bargaining with GAO management on various terms and conditions of
employment. GAO management is committed to working constructively with
employee union representatives to forge a positive labor-management
relationship.
Since September, GAO management has taken a variety of steps to
ensure it is following applicable labor relations laws and has the
resources in place to work effectively and productively in this new
union environment. Our efforts have involved
--delivering specialized labor-management relations training to our
managers;
--establishing a new Workforce Relations Center to provide employee
and labor relations advice and services;
--hiring a Workforce Relations Center director, who also serves as
our chief negotiator in collective bargaining deliberations;
and
--postponing work on several initiatives regarding our current
performance and pay programs.
In addition, we routinely notify union representatives of meetings
that may qualify as formal discussions, so that a representative of the
IFPTE can attend the meeting. We also regularly provide the IFPTE with
information about projects involving changes to terms and conditions of
employment over which the union has the right to bargain.
We are pleased that GAO and the IFPTE reached a prompt agreement on
2008 pay adjustments. The agreement was overwhelmingly ratified by
bargaining unit members on February 14, 2008, and we have applied the
agreed-upon approach to the 2008 adjustments to all GAO staff, with the
exception of the SES and Senior Level staff, regardless of whether they
are represented by the union.
fiscal year 2007 achievements
In fiscal year 2007, we addressed many difficult issues confronting
the Nation, including the conflict in Iraq, domestic disaster relief
and recovery, national security, and criteria for assessing lead in
drinking water. For example, GAO has continued its oversight on issues
directly related to the Iraq war and reconstruction, issuing 20
products in fiscal year 2007 alone--including 11 testimonies to
congressional committees. These products covered timely issues such as
the status of Iraqi Government actions, the accountability of U.S.-
funded equipment, and various contracting and security challenges.
GAO's work spans the security, political, economic, and reconstruction
prongs of the U.S. national strategy in Iraq.
Highlights of the outcomes of GAO work are outlined below. See
appendix II for a detailed summary of GAO's annual measures and
targets. Additional information on our performance results can be found
in Performance and Accountability Highlights fiscal year 2007 at
www.gao.gov.
Financial benefits
GAO's work in fiscal year 2007 generated $45.9 billion in financial
benefits. These financial benefits, which resulted primarily from
actions agencies and the Congress took in response to our
recommendations, included about $21.1 billion resulting from changes to
laws or regulations, $16.3 billion resulting from improvements to core
business processes, and $8.5 billion resulting from agency actions
based on our recommendations to improve public services.
TABLE 3.--GAO'S SELECTED MAJOR FINANCIAL BENEFITS REPORTED IN FISCAL
YEAR 2007
[In billions of dollars]
------------------------------------------------------------------------
Description Benefit
------------------------------------------------------------------------
Helped to ensure funding for U.S. Postal Service retirement- 5.4
related health care.........................................
Improved the Internal Revenue Service's methodology for 4.2
pursuing delinquent taxes...................................
Encouraged National Aeronautics and Space Administration 3.7
decision to terminate the space launch initiative...........
Helped to reduce food stamp fraud and abuse.................. 3.4
Recommended that the Department of Housing and Urban 2.2
Development track and reallocate unspent housing funds......
Helped to increase collections of civil debt................. 1.7
Recommended that the Congress reduce the Department of 1.5
Defense (DOD) fiscal year 2007 operations and maintenance
budget......................................................
Identified an opportunity for DOD to reallocate funds to 1.2
cover new initiatives.......................................
------------------------------------------------------------------------
Source: GAO.
Other improvements in Government
Many of the benefits that result from our work cannot be measured
in dollar terms. During fiscal year 2007, we recorded a total of 1,354
other improvements in Government resulting from GAO work. For example,
in 646 instances Federal agencies improved services to the public, in
634 other cases agencies improved core business processes or
governmentwide reforms were advanced, and in 74 instances information
we provided to the Congress resulted in statutory or regulatory
changes. These actions spanned the full spectrum of national issues,
from strengthened screening procedures for all VA health care
practitioners to improved information security at the Securities and
Exchange Commission. See table 4 for additional examples.
----------------------------------------------------------------
Table 4.--GAO's Selected Other Improvements in Government Reported in
Fiscal Year 2007
. . . that helped to change laws
Department of Homeland Security Appropriations Act of 2007, Pub. L.
No. 109-295.
--developing a center to locate children after disasters.
--improving Federal Emergency Management Agency (FEMA) information on
the status of hurricane relief and recovery funds.
Implementing Recommendations of the 9/11 Commission Act of 2007,
Pub. L. No. 110-53.
--re-examining inspection exemptions for inbound cargo.
--re-examining inspection exemptions for domestic air cargo.
. . . that helped enhance services to the public
--strengthened screening procedures for all VA health care
practitioners.
--tightened monitoring criteria in the Environmental Protection
Agency's rule on lead in drinking water.
--encouraged reporting of nursing home fire safety deficiencies.
--improved information security at the Securities and Exchange
Commission.
. . . that helped to promote sound agency and governmentwide
management
--FEMA establishes control to help limit disaster assistance payments
to individuals with invalid Social Security numbers.
--NASA establishes policies for reimbursement by nonofficial
travelers on passenger aircraft.
--Army requires credit card vendors to conduct credit checks before
issuing individually billed travel cards.
Source: GAO.
----------------------------------------------------------------
High risk series
In January 2007, we also issued our High-Risk Series: An Update,
which identifies Federal areas and programs at risk of fraud, waste,
abuse, and mismanagement and those in need of broad-based
transformations. Issued to coincide with the start of each new
Congress, our high-risk list focuses on major Government programs and
operations that need urgent attention. Overall, this program has served
to help resolve a range of serious weaknesses that involve substantial
resources and provide critical services to the public. GAO added the
2010 Census as a high-risk area in March 2008.
TABLE 5.--GAO'S HIGH-RISK AREAS AS OF MARCH 2008
------------------------------------------------------------------------
Year
High-risk area designated
high risk
------------------------------------------------------------------------
Addressing challenges in broad-based transformations:
Strategic Human Capital Management \1\.............. 2001
Managing Federal Real Property \1\.................. 2003
Protecting the Federal Government's Information 1997
Systems and the Nation's Critical Infrastructures..
Implementing and Transforming the Department of 2003
Homeland Security..................................
Establishing Appropriate and Effective Information- 2005
Sharing Mechanisms to Improve Homeland Security....
DOD Approach to Business Transformation \1\......... 2005
DOD Business Systems Modernization.............. 1995
DOD Personnel Security Clearance Program........ 2005
DOD Support Infrastructure Management........... 1997
DOD Financial Management........................ 1995
DOD Supply Chain Management..................... 1990
DOD Weapon Systems Acquisition.................. 1990
FAA Air Traffic Control Modernization............... 1995
Financing the Nation's Transportation System \1\.... 2007
Effective Protection of Technologies Critical to 2007
U.S. National Security Interests \1\...............
Transforming Federal Oversight of Food Safety \1\... 2007
The 2010 Census (New)............................... 2008
Managing Federal contracting more effectively:
DOD Contract Management............................. 1992
DOE Contract Management............................. 1990
NASA Contract Management............................ 1990
Management of Interagency Contracting............... 2005
Assessing the efficiency and effectiveness of tax law
administration:
Enforcement of Tax Laws \1\......................... 1990
IRS Business Systems Modernization.................. 1995
Modernizing and safeguarding insurance and benefit
programs:
Modernizing Federal Disability Programs \1\......... 2003
Pension Benefit Guaranty Corporation Single-Employer 2003
Insurance Program..................................
Medicare Program \1\................................ 1990
Medicaid Program \1\................................ 2003
National Flood Insurance Program \1\ 2006
------------------------------------------------------------------------
\1\ Legislation is likely to be necessary, as a supplement to actions by
the executive branch, to effectively address this high-risk area.Source: GAO.
concluding remarks
GAO's achievements are of great service to the Congress and
American taxpayers. With your support, we will be able to continue to
provide the high level of performance that has come to be expected of
GAO.
appendix i: gao's strategic plan framework
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
appendix ii: agencywide summary of annual measures and targets
AGENCYWIDE SUMMARY OF ANNUAL MEASURES AND TARGETS
----------------------------------------------------------------------------------------------------------------
2004 2005 2006 2007 2008 2009
Performance measure actual actual actual actual target target
----------------------------------------------------------------------------------------------------------------
Results:
Financial benefits (dollars in billions)........ $44.0 $39.6 $51.0 $45.9 $40.0 $40.0
Nonfinancial benefits........................... 1,197 1,409 1,342 1,354 1,150 1,150
Past recommendations implemented (in per- cent) 83 85 82 82 80 80
New products with recommendations (in per- 63 63 65 66 60 60
cent)..........................................
Client:
Testimonies..................................... 217 179 240 276 220 200
Timeliness (in percent) \2\..................... 89 90 92 94 95 95
People:
New hire rate (in percent)...................... 98 94 94 96 95 95
Acceptance rate (in percent).................... 72 71 70 72 72 ( \3\ )
Retention rate:
With retirements (in percent)................... 90 90 90 90 90 90
Without retirements (in percent)................ 95 94 94 94 94 94
Staff development (in percent).................. 70 72 76 76 76 76
Staff utilization (in percent) \4\.............. 72 75 75 73 \5\ 75 75
Leadership (in percent)......................... 79 80 79 79 80 80
Organizational climate (in percent)............. 74 76 73 74 \6\ 75 75
Internal operations:
Help get job done............................... 4.01 4.10 4.10 4.05 4.00 4.0
Quality of work life............................ 3.96 3.98 4.00 3.98 4.00 4.0
----------------------------------------------------------------------------------------------------------------
\1\ Our fiscal year 2008 target for financial benefits differs from the target we reported for this measure in
our fiscal year 2008 performance budget in January 2007. Specifically, we decreased our financial benefits
target by $1.5 billon based on (1) our assessment of our past recommendations that are likely to be
implemented by Federal agencies and the Congress in the coming fiscal year and (2) the impact that our budget
could have on the work that leads to financial benefits.
\2\ Since fiscal year 2004 we have collected data from our client feedback survey on the quality and timeliness
of our products, and in fiscal year 2006 we began to use the independent feedback from this survey as a basis
for determining our timeliness.
\3\ N/A indicates that the data are not available yet or are not applicable because we did not collect the data
during this period.
\4\ Our employee feedback survey asks staff how often the following occurred in the last 12 months (1) my job
made good use of my skills, (2) GAO provided me with opportunities to do challenging work, and (3) in general,
I was utilized effectively.
\5\ Our fiscal year 2008 target for staff utilization differs from the target we reported for this measure in
our fiscal year 2008 performance budget in January 2007. We lowered the staff utilization target by 3
percentage points because we determined that based on our past performance, the target was unrealistic, and we
reset it at a level that is still challenging but more likely to be achieved.
\6\ Our fiscal year 2008 target for organizational climate differs from the target we reported for this measure
in our fiscal year 2008 performance budget in January 2007. We decreased the organizational climate target by
a percentage point because we determined that based on our past performance, the target was unrealistic, and
we reset it at a level that is still challenging but more likely to be achieved.Source: GAO.
______
GOVERNMENT PRINTING OFFICE
Prepared Statement of Robert C. Tapella, Public Printer
Madam Chair, Senator Alexander, and members of the Subcommittee on
Legislative Branch Appropriations: It is an honor to be here today to
present the appropriations request of the Government Printing Office
(GPO) for fiscal year 2009.
results of fiscal year 2007
For the past 5 years we have worked to transform GPO from a
traditional printing factory into a state-of-the-art digital business
that is dedicated to meeting the 21st century information product needs
of the Government and the public. The record of 2007 shows that with
the plan we developed, and with the hard work and support of our
talented employees, GPO was put on the path to increase access by the
American people to digital and other information products of the
Federal Government, and to unlock our potential for the future.
With the print marketplace shifting from analog to digital
technologies, GPO's customers in Congress, Federal agencies, and among
the public require dynamic and creative solutions to meet their
changing needs. In 2007, we achieved major milestones in customer
service and product development for the Federal marketplace in printing
and information management.
We responded to the Nation's explosive demand for the new e-
passport by more than doubling previous production. We implemented a
new, flexible program for meeting the document needs of Federal
agencies through a well recognized national vendor. We developed an
information rich online guide to House and Senate Members for Congress.
We readied our new digital platform, GPO's Federal Digital System
(FDsys), which will be a digital repository for all Federal documents,
for its first public release in 2008.
We have carried our innovative performance into fiscal year 2008.
This year, for the first time in history, the President transmitted his
Budget of the United States Government to Congress electronically. GPO
assisted OMB by provided authentication for the Budget via digital
signature. This authentication verifies to anyone who downloads the e-
Budget that the content is official and unaltered. GPO's authentication
capability ushers in a new era for Federal publications, in terms both
of digital capability as well as a capability to promote environmental
sustainability in the Government's publishing and information
dissemination activities.
These innovative contributions to the Government's information
toolkit are emblematic of today's GPO: a modern, efficient, and
effective partner in providing a broad range of products beyond
printing, the theme of our recently released Annual Report. They and
other services like them are just some of the examples of how GPO will
fulfill its mission to Keep America Informed in the digital age.
Our original objective in transforming GPO was to ensure that it
survives. We achieved that goal and more, and now GPO is beginning to
thrive. In 2007 I am pleased to report that we recorded net income for
the fourth consecutive year, including another positive adjustment to
long-term workers' compensation liability.
We increased overall revenues to levels that have not been
experienced at GPO for more than a decade, principally as the result of
e-passport work produced through our security and intelligent documents
business unit as well as other inplant operations. Efforts to economize
and increase efficiency also contributed measurably to our financial
results. We are grateful to the support provided to our appropriations
request for fiscal year 2008 by this subcommittee and its staff.
Of the total funding increase requested by GPO for fiscal year
2009, approximately $21.2 million, or 43 percent, is directly related
to the establishment and operation of FDsys, which is being designed to
ingest, organize, manage, and output authenticated, official Federal
information content for any use or purpose. The funding package for
FDsys that we are proposing for fiscal year 2009 includes $15.5 million
for GPO's revolving fund to complete the initial release of FDsys and
continue development of system enhancements; begin replacing GPO's
aging Microcomp automated composition system with modern technology to
be used for accepting information to FDsys; and replace GPO's dated
Production Estimating and Planning (PEPS) system with a modern
manufacturing workflow system, to be used to track and manage workflow
through FDsys. It also includes $5.7 million for GPO's Salaries and
Expenses Appropriation to digitize the legacy FDLP collection and
acquire expanded Web harvesting services, both of which will provide
information for ingest to FDsys. When implemented, these systems will
be coordinated with GPO's Oracle-based financial systems, resulting in
a seamless digital platform for the provision of GPO products and
services for years to come.
fiscal year 2009 appropriations request
For fiscal year 2009, we are requesting a total of $174,354,000, to
enable us to:
--meet projected requirements for GPO's congressional printing and
binding and information dissemination operations during fiscal
year 2009;
--recover the shortfall in the Congressional Printing and Binding
Appropriation accumulated in fiscal year 2007 and projected for
fiscal year 2008;
--provide investment funds for necessary information dissemination
projects in the Federal Depository Library Program;
--complete the initial release of FDsys and continue development of
system enhancements, and implement other improvements to GPO's
information technology infrastructure; and
--perform essential maintenance and repairs to our aging buildings.
Congressional Printing and Binding Appropriation.--This account
covers the cost of printing and other information services supporting
the legislative process in the House of Representatives and the Senate.
These services include production--in both print and online formats--of
the daily and permanent Congressional Record, bills, resolutions, and
amendments, hearings, committee prints and documents, miscellaneous
printing and binding including stationery and document franks, and
related products, as authorized by the public printing provisions of
Title 44, U.S. Code.
We are requesting $97,928,000 for this account, representing an
increase of $8,153,000 over the level provided for fiscal year 2008.
The increase represents the shortfall in this appropriation accumulated
in fiscal year 2007 and projected for fiscal year 2008, offset in part
by reductions in various congressional printing workload categories
that are anticipated based on historical projections for a first
session year following a Presidential election.
The Congressional Printing and Binding Appropriation is essentially
an estimate of the work that Congress will require to support its
operations in a given fiscal year. A shortfall in this appropriation
occurs when available funding is insufficient to fully cover the costs
of congressional work. GPO does not have the authority to refuse to
perform work that is required by Congress in the absence of funds.
Instead, GPO will produce the work and temporarily finance it with
available funds in our revolving fund. GPO then seeks to have Congress
pay back the shortfall in subsequent appropriations, in order to
restore funds that are meant to be used for investment in new equipment
and technology.
During fiscal year 2008, GPO reduced key congressional rates based
on redistributing overhead costs, which was made possible by financial
performance in other business units. The resulting costs reduced the
shortfall accumulated in fiscal year 2007 and projected for fiscal year
2008 from $17.2 million to approximately $9.3 million. The remaining
shortfall will be partially offset by anticipated reductions in a
number of congressional workload categories, principally the U.S. Code,
hearings, the Congressional Record, and business and committee
calendars. The increase we are requesting represents the amount that is
required to be restored to GPO's revolving fund.
Under our appropriations bill language, GPO has the authority--with
the approval of the Committees on Appropriations--to transfer forward
the unexpended balances of prior year appropriations. We appreciate the
support you have shown GPO this year by authorizing the transfer of
approximately $1.1 million in prior year balances from fiscal year 2004
and 2005 to the revolving fund. These funds could be used to offset
part of the shortfall.
CONGRESSIONAL PRINTING AND BINDING
[In millions of dollars]
------------------------------------------------------------------------
Amount
------------------------------------------------------------------------
Fiscal year 2008 approved............................... 89.8
Fiscal year 2009 request................................ 97.9
---------------
Change \1\........................................ 8.1
------------------------------------------------------------------------
\1\ Change includes: Repaying the shortfall sustained in fiscal year
2007 and projected for fiscal year 2008.
Salaries and Expenses Appropriation of the Superintendent of
Documents.--The largest single component of this appropriation is for
the Federal Depository Library Program (FDLP), under which publications
in print and electronic formats are made available to approximately
1,250 libraries nationwide for the free use of the public. This account
also provides for the cataloging and indexing of Government
publications as well as the distribution of Government publications to
international exchange libraries and other recipients as authorized by
the documents provisions of Title 44, U.S. Code.
We are requesting $43,426,000 for this account, representing an
increase of $8.5 million over the current level of funding. The
increase is required to cover mandatory pay and price level increases
as well as overhead distribution, and to continue improving public
access to Government information in electronic formats. Of the total
increase, $917,000 is for mandatory pay and price level changes, and
$1,164,000 is for the level of overhead required to be distributed to
Salaries and Expenses programs. The balance of $6,432,000 is for
program investments.
As GPO continues to perform information dissemination through the
FDLP on a predominately electronic basis, which was mandated in the
conference report accompanying the Legislative Branch Appropriations
Act for FY 1996, we need to invest in technology infrastructure and
supporting systems. Our requested increase will cover projects for FDLP
program outreach, additional data storage, modernization of item
selection systems and other mainframe-based applications, and the
initial costs for digitizing the FDLP legacy collection, a key
component of GPO's strategic vision and FDsys.
SALARIES AND EXPENSES
[In millions of dollars]
------------------------------------------------------------------------
Amount
------------------------------------------------------------------------
Fiscal year 2008 approved............................... 34.9
Fiscal year 2009 requested.............................. 43.4
---------------
Change............................................ 8.5
===============
Change includes:
Mandatory requirements.............................. 2.1
Investment requirements............................. 6.4
------------------------------------------------------------------------
Revolving Fund.--We are requesting $33,000,000 for this account, to
remain available until expended, to fund essential investments in
information technology infrastructure and systems development, and
facilities maintenance and repairs.
The key projects covered by this request include $10,000,000 to
complete the development of FDsys, which is scheduled to go live later
this year; $5,500,000 to cover the replacement of GPO's 30-year-old
automated composition system and upgrade GPO's manufacturing workflow
tracking system; and $17,500,000 for maintenance and repairs to GPO's
buildings, including elevator replacement and renovation, window
replacement, retrofitting our air handling units with more efficient
equipment, replacing the roof membrane and insulation, and related
projects. These facilities projects will protect our employees and
improve the energy efficiency of GPO's buildings. At the same time, we
are continuing to review options for the future of GPO's buildings,
including renovation and/or construction of new facilities on GPO-owned
property.
REVOLVING FUND
[In millions of dollars]
------------------------------------------------------------------------
Amount
------------------------------------------------------------------------
Fiscal year 2008 approved............................... ..............
Fiscal year 2009 requested.............................. 33.0
---------------
Change............................................ 33.0
===============
Change includes:
Investments in information technology infrastructure 15.5
and systems development............................
Building maintenance and repairs.................... 17.5
------------------------------------------------------------------------
Madam Chair, Senator Alexander, and members of the subcommittee, we
look forward to working with you, and with your support we can continue
GPO's record of achievement. To assist you in your review of our
request, I am including with my prepared statement several charts
illustrating how GPO's use of technology has generated savings in
congressional printing costs and distribution costs, how a significant
part of our request this year is to support our FDsys project, and
showing how the close relationship of GPO to congressional printing in
the process of how a bill becomes a law.
gpo generates savings for congress
GPO's use of electronic printing and information technologies has
significantly reduced the cost, in real economic terms, of
congressional publications. In fiscal year 1975, on the threshold of
our conversion to electronic photocomposition, the appropriation for
Congressional Printing and Binding was $74.8 million, the equivalent in
today's dollars of $290 million. By comparison, GPO's approved funding
for fiscal year 2008 is $89.8 million, a reduction of more than 70
percent in real economic terms. This has resulted in taxpayer savings
of hundreds of millions of dollars. The savings have come from
productivity improvements and staffing reductions made possible through
the use of modern information technology.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Productivity increases resulting from the use of electronic
printing and information technologies have enabled GPO to make
substantial reductions in staffing requirements while continuing to
improve services for Congress. In the mid-1970's, GPO employment was
approximately 8,200. Today, GPO has approximately 2,300 employees on
board, fewer than at any time in the past century. In the past 4 years
alone GPO's staffing has been reduced by 28 percent. Personnel
reductions at GPO have been accomplished while modernizing and
improving GPO services.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
gpo achieves savings in information dissemination
GPO once distributed Government documents to Federal depository
libraries primarily in print and related formats, including microfiche
and CD-ROM. In fiscal year 1995, the year that GPO Access debuted, this
activity was funded at an annual cost of $18.7 million, the equivalent
of $25.8 million in constant 2007 dollars. For fiscal year 2009, the
same function can be funded at $8.7 million, a reduction of
approximately two-thirds in real economic terms. GPO used the savings
from reduced printing distribution to fund the establishment and
operation of GPO Access, achieving additional savings for the taxpayers
and vastly expanding public access to Government information. This
achievement also allowed the Salaries and Expenses Appropriation to
remain relatively flat for more than a decade. GPO's plan to establish
and operate a modern, state-of-the-art digital platform in FDsys will
potentially achieve further savings and even broader public access to
Government information.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Of the total funding increase requested by GPO for fiscal year
2009, approximately $21.2 million, or 43 percent, is directly related
to the establishment and operation of FDsys, which is being designed to
accept, organize, manage, and output authenticated, official Federal
information content for any use or purpose. The funding package for
FDsys that we are proposing for fiscal year 2009 includes $15.5 million
for GPO's revolving fund to complete the initial release of FDsys and
continue development of system enhancements; begin replacing GPO's
aging Microcomp automated composition system with a modern technology
to be used for accepting information to FDsys; and replace GPO's dated
Production Estimating and Planning (PEPS) system with a modern
manufacturing workflow system, to be used to track and manage workflow
through FDsys. It also includes $5.7 million for GPO's Salaries and
Expenses Appropriation to digitize the legacy FDLP collection and
acquire expanded Web harvesting services, both of which will provide
information for ingest to Fdsys. When implemented, these systems will
be coordinated with GPO's Oracle-based financial systems, resulting in
a seamless digital platform for the provision of GPO products and
services for years to come.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
OFFICE OF COMPLIANCE
Prepared Statement of Tamara E. Chrisler, Executive Director
Madam Chair, Ranking Member Alexander, members of the committee, I
am pleased to appear before you as the Executive Director of the Office
of Compliance in support of the Office's fiscal year 2009 request for
appropriations. Joining me today is Board Member Roberta Holzwarth.
Along with us are General Counsel Peter Ames Eveleth, Deputy Executive
Directors Barbara Sapin and Sana Shtasel, and Director of Finance and
Administration Beth Hughes Brown.
The subcommittee will note that the Office of Compliance submits,
once again, a zero-based budget to support the agency's mission of
furthering a safe, healthy, and fair workplace on Capitol Hill. This
year's budget request is a minimal increase over our request for
appropriations in fiscal year 2008. In fiscal year 2009, the Office is
requesting a total of $4,307,500 for its operations, which is only a
4.9 percent increase over the agency's 2008 budget request. Because of
the across-the-board recissions and other cuts made to the agency's
2008 appropriations, this year's request contains items that had been
requested but not funded in fiscal years 2007 and 2008. It includes
approximately $345,000 to fully fund the authorized level of FTE
positions and concommitant salaries; approximately $134,000 for
mandatory cost-of-living adjustments and employee salary increases; and
$156,000 for initiatives that were originally requested in fiscal year
2007 or fiscal year 2008. Setting aside these repeat requests,
mandatory COLAs, and the cost of fully funding the agency's current
staff complement of 21, the agency's request for new discretionary
projects (less than $300,000) is extremely minimal but necessary to
fulfill our mission.
In fiscal year 2009, the Office of Compliance is expanding its
effort to communicate and collaborate with its stakeholders. During the
past fiscal years, we have achieved much success in our safety and
health program through increased communication with the Office of the
Architect of the Capitol in remediating hazards in the utility tunnels.
We are realizing success in our education and outreach program through
our publications and much utilized web site, as well as the
implementation of a comprehensive baseline survey that will inform the
Office's focus, to ensure that its programs are of maximum benefit to
employing offices and employees on Capitol Hill and in the District and
State Offices. In fiscal year 2009, the agency hopes to launch another
significant initiative to improve its effectiveness and productivity on
Capitol Hill--prevention and reduction.
prevent and reduce
The Office plans to establish two new ``prevent and reduce''
initiatives in fiscal year 2009. The first initiative is anticipated to
reduce the number of incidents giving rise to allegations of violations
of the Congressional Accountability Act (CAA), which will ultimately
save taxpayer dollars. As originally discussed in our House fiscal year
2008 appropriations hearings, similar language to the Notification and
Federal Employee Anti-discrimination and Retaliation Act was
contemplated and drafted for the legislative branch. Toward the same
end of resolving complaints at the lowest possible level and reducing
the cost to taxpayers in discrimination and retaliation claims, we
received encouragement from a very interested stakeholder to dedicate
one or two FTEs toward educating the employing offices of their rights
and responsibilities. The Office is delighted to request additional
staffing to assist the agencies in preventing violations of the CAA,
and encouraging resolution at the lowest possible level. The agency is
requesting FTE positions for a trainer and an ombuds person for
conflict prevention for this purpose.
The agency also requests an additional FTE for a Fire Safety
Engineer to prevent serious fire hazards and to reduce the number of
unabated fire safety citations. During fiscal year 2007, the OGC closed
11 of 38 outstanding citations. While progress has been achieved in
abating these hazards, several longstanding RAC 1 fire safety citations
remain unabated. In June 2007, the AOC provided the Office of
Compliance with a detailed plan to abate these outstanding hazards. The
AOC also identified specific actions taken to address many additional
fire safety deficiencies during 2005 and 2006. The Office of
Compliance's General Counsel expressed concern that under the AOC's
proposed abatement plans the most serious hazards involving open
stairwells would not be fully abated for an excessive period of time--
in one facility, not until 2015, while in other instances, abatement
dates were as yet undetermined.
Accordingly, we suggested alternative means for accelerated
abatement. After extensive discussions between the parties, the AOC has
recently developed, and the OOC has approved, innovative and more
efficient abatement plans for the Cannon, Longworth, and Russell Office
Buildings that resolve the fire safety hazards identified in the 2000
citations involving these three buildings. It is significant that the
AOC's abatement plans not only abate the fire safety issues in the
citations but do so in a manner that preserves the historic
architectural features within those buildings. The agency is committed
to working with the AOC and other entities to achieve an acceptable
level of fire safety within the other legislative branch buildings, and
this requested FTE would support and over time play a leadership role
in the Office's ongoing fire safety abatement initiative. This employee
would be groomed to assist and succeed an existing contract inspector--
a nationally renowned fire safety expert--to allow for continuity in
this critical area.
The second initiative is designed to reduce legislative branch
agencies' reliance on the OOC's safety and health inspections, and
instead empower them to find and remediate their own internal
deficiencies. It would fund contracted services for the agency's Zero
Accident Initiative, which involves working with employing offices to
implement preventive maintenance programs, and training supervisors and
employees to follow safe practices. The Office would work with
employing offices to analyze accident and injury records to help create
policies to prevent future accidents. Together, the two initiatives
amount to about half of the newly requested discretionary funding for
fiscal year 2009, and both initiatives are designed to save taxpayer
dollars.
conclusion
The Office welcomes fiscal year 2009 with enthusiasm for the
initiatives we hope to implement. Preventing violations of the CAA and
reducing the number of hazards is the agency's focus for the upcoming
year. The Office continues to see itself as a resource on Capitol Hill.
Our appropriations request will enable us to continue the progression
we have been on over the past several years from a strictly regulatory
agency, to an enabling and supportive resource for legislative branch
agencies. We are positioned to assist our stakeholders in meeting the
requirements of the CAA, be it for safety and health matters, or for
making the workplace fair for all employees. Thank you for your
support, past and future, of our mission.
I remain available to answer any questions that you have.
______
Prepared Statement of Roberta Holzwarth, Member, Board of Directors
Madam Chair and members of the subcommittee, good morning. I am
Roberta Holzwarth, and I represent the Board of Directors of the Office
of Compliance. I am honored to be here today to join Executive Director
Tamara Chrisler in testifying on behalf of the Office's fiscal year
2009 budget request.
Thanks to the assistance of this subcommittee, the Office of
Compliance has had an extraordinary year, culminating not only in the
recent appointment of Tamara Chrisler as our Executive Director, but
also in our two statutory Deputy Executive Directors and a Deputy
General Counsel. Our new Deputy Executive Directors for the Senate and
House, respectively, are Barbara Sapin and Sana Shtasel, who joined us
on March 4 and February 11, respectively. Let me take this opportunity
to thank the subcommittee for the recent administrative amendments to
the Congressional Accountability Act that permitted us to retain and
attract this caliber talent. I also want to thank publicly both Ms.
Chrisler and our General Counsel Peter Eveleth for their graceful
leadership during a time of challenge and transition.
Ms. Sapin has recently concluded her term as a member of the Merit
Systems Protection Board, where she adjudicated appeals of personnel
actions in personnel cases affecting the Federal workforce. In
addition, Ms. Sapin held positions at the National Labor Relations
Board, the Occupational Safety and Health Review Commission, and the
U.S. Environmental Protection Agency. Ms. Shtasel served as Chief of
Staff to former U.S. Senator Bob Packwood, among her many previous
accomplishments. She also litigated the constitutional predicate to the
Congressional Accountability Act (Davis v. Passman, 442 U.S. 228
(1979)).
We also have a new Deputy General Counsel, Susan Green, who joined
us in late November. Ms. Green, who has more than 20 years' experience
in occupational safety and health, labor standards, and labor-
management issues, served as Chief Labor Counsel to Senator Edward M.
Kennedy, and thereafter advised the Secretary of Labor on equal pay,
pension, and other labor issues.
The collective extraordinary credentials of our new staff testify
to the growing stature, accomplishments, and effectiveness of the
Office of Compliance, signaling only greater things in the year to
come.
As a result of this subcommittee's approval of our fiscal year 2008
request, the Office of Compliance has added 4 new full-time equivalent
positions to its former complement of 17; resolved long-standing,
profound health and safety violations in the U.S. Capitol Power Plant;
achieved enormous improvements in our internal office infrastructure;
and moved closer to adopting and submitting for congressional
promulgation regulations with enormous benefit to veterans and
legislative branch employees who serve in the military.
The Office has been fulfilling a prodigious mission with minimal
resources, and we are anxious to be able to make use of the resources
that we have already been authorized. As Ms. Chrisler has enumerated,
the budget proposal in front of you is the bare minimum, permitting us
to make use of the resources that have already been authorized,
endeavor to fulfill our statutory mandates, and continue the many
contributions I am convinced the Office of Compliance makes daily to
the legislative branch.
Our mission and our vision are vast, but our budget is small. The
requested increase is extremely modest, in an effort both to respond to
current fiscal realities and continue our proof positive that we make
good with very little. Although we have a far longer ``wish list,''
consistent with our statutory mandates, this budget will permit us only
to complete those projects and initiatives that rise to the most
critical level, both from a safety and health perspective and in order
to save taxpayer dollars.
I would like to thank you, Madam Chair, as well as the
subcommittee, for supporting the language in the House report that
accompanied its version of the fiscal year 2008 Legislative Branch
Appropriations bill, that directed that the Office of Compliance be
enabled to use internal email lists to distribute our publications. We
anticipate this will streamline our distribution processes, as well as
result in cost savings over time.
On behalf of the entire Board of Directors of the Office of
Compliance, I urge your support of the entirety of the budget request.
Thank you for the opportunity to appear before you today. The rest
of the Board and I wholeheartedly support this budget request and hope
you will respond to it favorably. I am available to address any
questions.
LIST OF WITNESSES, COMMUNICATIONS, AND PREPARED STATEMENTS
----------
Page
Alexander, Senator Lamar, U.S. Senator From Tennessee:
Prepared Statement of........................................ 4
Statement of................................................. 3
Ayers, Stephen T., Acting Architect of the Capitol, Architect of
the Capitol.................................................... 1
Prepared Statement of........................................ 7
Questions Submitted to....................................... 52
Summary Statement of......................................... 6
Billington, Dr. James, Librarian of Congress, Library of Congress 25
Prepared Statement of........................................ 27
Questions Submitted to....................................... 57
Chrisler, Tamara E., Executive Director, Office of Compliance,
Prepared Statement of.......................................... 182
Dodaro, Gene L., Acting Comptroller General of the United States,
Government Accountability Office, Prepared Statement of........ 162
Erickson, Nancy, Secretary of the Senate, Office of the
Secretary, U.S. Senate, Prepared Statement of.................. 79
Gainer, Honorable Terrance W., Sergeant at Arms and Doorkeeper,
U.S. Senate, Prepared Statement of the......................... 140
Holzwarth, Roberta, Member, Board of Directors, Office of
Compliance, Prepared Statement of.............................. 183
Jarmon, Gloria, Chief Administrative Officer, United States
Capitol Police................................................. 15
Jenkins, Jo Ann, Chief Operating Officer, Library of Congress.... 25
Landrieu, Senator Mary L., U.S. Senator From Louisiana:
Opening Statement of......................................... 1
Questions Submitted by.......................................52, 57
Morse, Phillip D., Sr., Chief of Police, United States Capitol
Police......................................................... 15
Prepared Statement of........................................ 17
Nichols, Dan, Assistant Chief of Police, United States Capitol
Police......................................................... 15
O'Keefe, Ambassador John, Executive Director, Open World
Leadership Center, Library of Congress, Prepared Statement of.. 31
Tapella, Robert C., Public Printer, Government Printing Office,
Prepared Statement of.......................................... 171
SUBJECT INDEX
----------
ARCHITECT OF THE CAPITOL
Page
A Year of AOC Accomplishments.................................... 11
Additional Committee Questions................................... 52
Annual Operating Budget Request.................................. 9
Architect of the Capitol:
Fiscal Year 2009 Budget Request.............................. 2
Team......................................................... 7
Capitol Visitor Center:
Budget Request and Project Update............................ 10
Soft Opening--Traffic Congestion............................. 41
Temporary Certificate of Occupancy........................... 52
Visitor Approach............................................. 41
Capital Project Budget Request................................... 9
Deferred Maintenance Backlog..................................... 6
Greening of the Capitol.......................................... 40
Library Partnership Appreciation................................. 3
Library of Congress Fiscal Year 2009 Budget Request.............. 3
Noncompliance Enforcement Actions................................ 40
Office of Compliance (OOC):
Alternative Plans for Priority Projects...................... 44
History...................................................... 43
Occupational Safety and Health Administration Obligations.... 39
Project Enforcement.......................................... 42
Operating Budget Request......................................... 6
Project Priority Defined......................................... 41
United States Capital Police Fiscal Year 2009 Budget Request..... 2
Utility Tunnels:
Number One Priority.......................................... 39
Rebuild...................................................... 44
Structural Problems.......................................... 4
GOVERNMENT ACCOUNTABILITY OFFICE
Demand for GAO Services is High and Increasing................... 163
Establishing and Maintaining Constructive Union Relationships.... 166
Fiscal Year 2007 Achievements.................................... 166
GAO's Fiscal Year 2009 Budget Request............................ 165
Modest Increase in Staffing Would Help Meet Demand............... 164
GOVERNMENT PRINTING OFFICE
Fiscal Year 2009 Appropriations Request.......................... 172
GPO:
Achieves Savings in Information Dissemination................ 176
Generates Savings for Congress............................... 174
Results of Fiscal Year 2007...................................... 171
LIBRARY OF CONGRESS
Absorbing Mandated Costs......................................... 51
Additional Committee Questions................................... 52
Austerity Affects Library Mission................................ 26
Books for the Blind and Physically Handicapped Digital Talking
Book Program................................................... 28
Content.......................................................... 65
Calendar Year 2007 Highlights.................................... 32
Cataloging Productivity.......................................... 70
Collecting and Preserving Digital Content........................25, 63
Collections Storage.............................................. 72
Congressional Research Service (CRS)............................. 30
Contracts Management............................................. 61
Copyright........................................................ 30
Digital:
Content...................................................... 74
Talking Book Implementation.................................. 49
Fiscal Year:
2008......................................................... 63
2009:
Budget Request........................................... 37
To Fiscal Year 2013...................................... 65
Fund Level Concerns.............................................. 46
Future Projects and Resource Needs............................... 31
Goals............................................................ 35
Growing Collections and Storage Requirements..................... 50
Law Library...................................................... 30
Library Services................................................. 29
LOC:
Appreciation................................................. 45
Contractor Employees......................................... 70
New Exhibits................................................. 4
Maintenance and Staffing of Packard Campus....................... 46
Measures of Success.............................................. 37
Network.......................................................... 67
National Digital Information and Infrastructure Preservation
Program (NDIIPP)...........................................28, 62, 63
Making the Transition to Sustainable Stewardship............. 63
New Visitors Experience.......................................... 26
Open World 2008.................................................. 36
Overseas Field Offices........................................... 69
Performance-based Budgeting...................................... 61
Reading Rooms.................................................... 71
Staffing Levels.................................................. 59
Storage Capacity Rating.......................................... 50
Strategic Information Reserve.................................... 27
Technical Infrastructure......................................... 68
Transition to Digital Talking Books.............................. 51
Fiscal Year 2009 Budget Request.................................. 57
OFFICE OF COMPLIANCE
Prevent and Reduce............................................... 182
UNITED STATES CAPITOL POLICE
Accommodating CVC Visitors....................................... 48
Additional Committee Questions................................... 52
CVC Security--Transportation..................................... 47
Communication Issue.............................................. 48
Employee Commitment and Homework................................. 16
Government Accountability Office Recommendations................. 16
Large Vehicle Restrictions....................................... 47
Overtime:
Analysis Study............................................... 45
For Capitol Police........................................... 42
Reduction.................................................... 43
Process of Change................................................ 15
Recent Accomplishments........................................... 15
Subcommittee Support............................................. 15
Transportation Options........................................... 48
United States Capitol Police Overtime............................ 44
U.S. SENATE
Office of the Secretary
Administrative Offices........................................... 103
Bill Clerk....................................................... 81
Capitol Visitor Center........................................... 81
Conservation and Preservation.................................... 103
Continuity of Operations and Emergency Preparedness Planning..... 81
Curator.......................................................... 104
Disbursing Office................................................ 90
Enrolling Clerk.................................................. 87
Executive Clerk.................................................. 87
Human Resources.................................................. 118
Implementing Mandated Systems.................................... 80
Information Systems.............................................. 119
Interparliamentary Services...................................... 120
Joint Office of Education and Training........................... 110
Journal Clerk.................................................... 88
Legislative Information System (LIS) Project..................... 138
Legislative Offices.............................................. 81
Library.......................................................... 121
Office of Captioning Services.................................... 82
Office of Public Records......................................... 131
Office of Web Technology......................................... 135
Official Reporters of Debates.................................... 88
Parliamentarian.................................................. 89
Presenting the Fiscal Year 2009 Budget Request................... 79
Printing and Document Services................................... 129
Senate:
Chief Counsel for Employment................................. 111
Daily Digest................................................. 83
Gift Shop.................................................... 112
Historical Office............................................ 115
Page School.................................................. 128
Security..................................................... 132
Stationery Room.................................................. 133
Sergeant at Arms and Doorkeeper
Enhancing Service to the Senate.................................. 149
Information Technology........................................... 147
Operations and Support........................................... 155
Security and Preparedness........................................ 141
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