    [Senate Hearing 111-609]
    [From the U.S. Government Publishing Office]

                                                            S. Hrg. 111-609

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2011

    =======================================================================

                                    HEARINGS

                                    before a

                              SUBCOMMITTEE OF THE

                COMMITTEE ON APPROPRIATIONS UNITED STATES SENATE

                         ONE HUNDRED ELEVENTH CONGRESS

                                 SECOND SESSION

                                       on

                                    S. 3799

    AN ACT MAKING APPROPRIATIONS FOR THE LEGISLATIVE BRANCH FOR THE FISCAL
             YEAR ENDING SEPTEMBER 30, 2011, AND FOR OTHER PURPOSES

                                   __________

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                          COMMITTEE ON APPROPRIATIONS

                       DANIEL K. INOUYE, Hawaii, Chairman
    ROBERT C. BYRD, West Virginia        THAD COCHRAN, Mississippi
    PATRICK J. LEAHY, Vermont            CHRISTOPHER S. BOND, Missouri
    TOM HARKIN, Iowa                     MITCH McCONNELL, Kentucky
    BARBARA A. MIKULSKI, Maryland        RICHARD C. SHELBY, Alabama
    HERB KOHL, Wisconsin                 JUDD GREGG, New Hampshire
    PATTY MURRAY, Washington             ROBERT F. BENNETT, Utah
    BYRON L. DORGAN, North Dakota        KAY BAILEY HUTCHISON, Texas
    DIANNE FEINSTEIN, California         SAM BROWNBACK, Kansas
    RICHARD J. DURBIN, Illinois          LAMAR ALEXANDER, Tennessee
    TIM JOHNSON, South Dakota            SUSAN COLLINS, Maine
    MARY L. LANDRIEU, Louisiana          GEORGE V. VOINOVICH, Ohio
    JACK REED, Rhode Island              LISA MURKOWSKI, Alaska
    FRANK R. LAUTENBERG, New Jersey
    BEN NELSON, Nebraska
    MARK PRYOR, Arkansas
    JON TESTER, Montana
    ARLEN SPECTER, Pennsylvania

                        Charles J. Houy, Staff Director
                      Bruce Evans, Minority Staff Director
                                     ------

                     Subcommittee on the Legislative Branch

                         BEN NELSON, Nebraska, Chairman
    MARK PRYOR, Arkansas                 LISA MURKOWSKI, Alaska
    JON TESTER, Montana                  THAD COCHRAN, Mississippi
    DANIEL K. INOUYE, Hawaii               (ex officio)
      (ex officio)
                               Professional Staff
                                 Nancy Olkewicz
                         Rachelle Schroeder (Minority)
                            Sarah Wilson (Minority)

                             Administrative Support

                                  Teri Curtin

                                C O N T E N T S

                                  ----------

                            Thursday, March 4, 2010

                                                                       Page
    U.S. Senate:
        Office of the Secretary......................................     1
        Sergeant at Arms and Doorkeeper..............................    72
    United States Capitol Police.....................................    93

                            Thursday, March 18, 2010

    Architect of the Capitol.........................................   133
    Office of Compliance.............................................   152

                            Thursday, April 15, 2010

    Government Accountability Office.................................   173
    Government Printing Office.......................................   183
    Congressional Budget Office......................................   189

                            Thursday, April 29, 2010

    Library of Congress..............................................   225

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2011

                                  ----------

                            THURSDAY, MARCH 4, 2010

                                           U.S. Senate,
               Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 4:32 p.m., in room SD-138, Dirksen
    Senate Office Building, Hon. Ben Nelson (chairman) presiding.
        Present: Senators Nelson, Pryor, Tester, and Murkowski.

                                  U.S. SENATE

                            Office of the Secretary

    STATEMENT OF HON. NANCY ERICKSON, SECRETARY OF THE
                SENATE
    ACCOMPANIED BY:
            CHRIS DOBY, FINANCIAL CLERK
            SHEILA DWYER, ASSISTANT SECRETARY

                    opening statement of senator ben nelson

        Senator Nelson. The subcommittee will come to order. Good
    afternoon, everyone and welcome. I apologize for the start of
    this afternoon being different than scheduled, but sometimes
    the call of Senate business for votes hops in the way of what
    we were otherwise planning to do. So thank you for your
    indulgence.
        We meet this afternoon to take testimony on the fiscal year
    2011 budget request for the Secretary of the Senate, the Senate
    Sergeant at Arms, and the U.S. Capitol Police. This is our
    first hearing of fiscal year 2011, and once again, I look
    forward to working closely with my good friend and ranking
    member, Senator Murkowski, and the other members of the
    subcommittee, Senator Pryor and Senator Tester. I understand
    Senator Pryor will be joining us here shortly.
        I think we had four very productive budget hearings last
    year, and it is my hope that we can continue that trend again
    this year.
        Having said that, I must say that I am very concerned that
    the subcommittee has, once again, been presented with a fairly
    large budget request for fiscal year 2011. The 2011 budget
    request for the legislative branch totals $5.1 billion, an
    increase of $466 million, or 10 percent, over the current year.
    At the risk of sounding like a broken record, we really do need
    to reduce these numbers, but the fact is that this country
    remains in economic turmoil and the American taxpayers simply
    will not tolerate increased Government spending at a time of
    such significant high levels of unemployment.
        Last year, we received an overall increase of 5 percent in
    the legislative branch, including some large-ticket items for
    the House, over which we clearly have no control. But I hope
    that we will not be seeing an increase of that magnitude this
    year. In fact, I have stated repeatedly that I am going to do
    everything I can to hold the legislative branch flat this year.
    I think we really do need to lead by example with this
    subcommittee and we cannot do that by appropriating large
    increases to our agencies.
        The President sent the message very loud and clear in his
    State of the Union Address this year noting that families
    across the country are tightening their belts and making tough
    decisions. The Federal Government must do the same he said, and
    he announced a 3-year freeze on nonsecurity discretionary
    Government spending.
        The President said ``Like any cash-strapped family, we will
    work within a budget to invest in what we need and sacrifice
    what we don't.''
        And he went on further, ``If we do not take meaningful
    steps to rein in our debt, it could damage our markets,
    increase the cost of borrowing, and jeopardize our recovery,
    all of which would have an even worse effect on our job growth
    and family incomes.''
        So with that having been said, I am happy today to
    introduce and welcome our three witnesses, Nancy Erickson,
    Secretary of the Senate; Terrance Gainer, the Senate Sergeant
    at Arms; and Phillip Morse, the Chief of the Capitol Police.
        I first want to acknowledge the dedication and work of all
    of you and your staffs. The Senate worked many late nights into
    early mornings, right up to the holidays this year, and even
    during our record snowfall this winter, your staff, all of
    them, did an exceptional job of maintaining the services that
    we rely on here in the Capitol environs. We are grateful to
    each and every one of them and to you for keeping the Senate
    running safely and smoothly every day. To the extent it was not
    smooth, it was not your fault.
        Ms. Erickson, we are pleased to have you here this
    afternoon, and I look forward to hearing your testimony. Among
    many others on your staff, I want to acknowledge Chris Doby of
    the Disbursing Office for his fine work in balancing the books
    for the Senate. It is no easy task, but he and his team do a
    great job and we appreciate their dedication and commitment to
    this institution.
        For fiscal year 2011, your office is requesting a total of
    $60.2 million, which is an increase of $32.4 million, or a
    little over double your fiscal year 2010 amount. Now, I
    understand that the bulk of this increase, to be clear, $32
    million, is a result of the transfer of the Senate information
    services to your office from the Senate Sergeant at Arms where
    it is currently funded. So I look forward to hearing more about
    the specifics of your budget request and how we might fund this
    transition over several years as opposed to funding it perhaps
    as much as we are asked to in fiscal year 2011.
        Chief Gainer, the Sergeant at Arms request for 2011 totals
    $240 million, a 7 percent increase over fiscal year 2010, and I
    realize that your request includes several big-ticket items as
    well for the Senate community which are expensive, but I look
    forward to working with you to identify what our true needs
    are, both in terms of salaries and expenses to maintain our
    current services. Terry, I want to personally thank Skip Rouse
    and Grace Ridgeway of your office for their outstanding service
    to this subcommittee.
        And finally, Chief Morse, I understand you have recently
    resubmitted your fiscal year 2011 budget request based on your
    first quarter review of fiscal year 2010 expenditures. The
    fiscal year 2011 request totals $385 million which is an
    increase of $57 million, or 17 percent, over the enacted fiscal
    year 2010 level. This includes a request for 52 additional
    officers and 12 civilians.
        Chief Morse, I understand that your quarterly review also
    identified some miscalculations in your fiscal year 2010
    appropriation, which obviously is somewhat disturbing, and I
    look forward to discussing this with you just a little bit
    later. It seems that your department continues to be plagued
    with some financial management challenges, and needless to say,
    that causes us on the subcommittee tremendous concern. We hope
    that you will be able to help us understand.
        Your budget request does include, I understand, $16 million
    for the indoor coverage portion of the radio project, which
    will be the final installment of funding for this project. So I
    look forward to receiving an update on this project from you as
    well.
        Now it is my pleasure to turn to the ranking member of the
    subcommittee, Senator Murkowski, for her opening remarks.
    Senator.

                      statement of senator lisa murkowski

        Senator Murkowski. Thank you, Mr. Chairman.
        It sure does not seem like a year since we were here with
    these three fine individuals that are before us. It goes by
    quickly.
        I want to thank you for calling the hearing and allowing
    the consideration of the 2011 legislative branch budget
    request. I felt like we worked pretty well together last year
    in putting together a proposal that we could stand up and
    clearly support. But it was very clear that even with the
    package that we had, I think, skinnied down and yet still
    allowed for a level of funding that allowed for the system to
    work here, there was a fair amount of criticism at that budget
    for the increases that we saw then.
        So I too share your concern that we are back a year later
    and the proposals that we have are proposals for increases and
    an overall requested increase of 10 percent, which I would
    concur with you, Mr. Chairman, we need to lead by example here
    within the legislative branch, and now is not the time to be
    seeing 10 percent increases. So I am absolutely behind you when
    you have suggested that we need to work together to figure out
    how we can allow for the smooth functioning of the operations
    that must proceed here but do so in a manner that indicates
    that we are tightening our belts, along with everybody else in
    this country.
        I would like to welcome all of the witnesses and the
    deputies that you have pointed out. This is a very important
    discussion that we are having today on how the agencies that
    you all represent are planning to move forward in this next
    fiscal year.
        Again, just the general sense of disappointment when we
    look at this budget and see that it is 10 percent over the
    fiscal year 2010 enacted level. And I do realize that the
    witnesses that we have here today are only responsible for
    three pieces of this increase. But you and I, Mr. Chairman, are
    responsible for looking at the big picture and balancing the
    needs of each of the agencies within this bill. So we have got
    to consider your requests within the full context.
        Clearly, each of you is requesting significant increases.
        The Secretary of the Senate is requesting an increase of
    $32.4 million, or 116.7 percent. I have to admit that when I
    looked at that, I thought that the decimal was in the wrong
    place and that it was 11.6 percent, but it is 116 percent,
    which includes an increase of $441,000, or 1.7 percent for
    salaries; $32 million, or 1,600 percent, for expenses. The
    extraordinarily large increase is associated with the transfer
    of just one program, as I understand, from the Sergeant at Arms
    to the Secretary's office. So it is good that we have got you
    both here together today to tell the subcommittee more about
    this particular program, how its funding needs work.
        The Sergeant at Arms Office is requesting an increase of
    $15.7 million, or 7 percent. It includes an increase of $8
    million, or 11.4 percent, for salaries and $7.7 million, or 5
    percent, for expenses. Although we have seen the Sergeant at
    Arms make tremendous strides last year in filling the
    vacancies, we still have 23 vacant positions that I would like
    to hear about today. I am also eager to learn how we are coming
    with the telecom modernization and the payroll system upgrade
    projects, how these are progressing.
        And then finally, the Capitol Police is requesting an
    increase of $57.2 million, or 17.4 percent, which includes an
    increase of $17.1 million, or 6.3 percent, for salaries and a
    51.6 percent increase for expenses. Now, I understand that
    these increases support a total of 2,307 sworn positions, which
    would include an increase of 52 sworn officers, 12 new civilian
    positions, for a 2.9 percent increase in personnel over fiscal
    year 2010.
        I am curious to know how this increase in personnel is
    going to impact the overtime issue that the Capitol Police
    continues to face. As I understand, we are not going to be
    seeing a decrease in the overtime, which is a concern, because
    last year, when we met to consider this with the new positions,
    as I recall, the assurance was this will help us finally get
    out of that situation with the overtime. So I would like to
    hear more about that. Of course, I also look forward to an
    update on the radio modernization program.
        I think the chairman has said very clearly the economic
    landscape across our country has not improved much over the
    last year. In fact, there are a lot of folks out there that
    would say the situation has even worsened. I said it last year.
    I will say it again. I believe it is absolutely important that
    we lead by example in exercising fiscal discipline. We have got
    to demonstrate that our house is in order before we can expect
    others to follow.
        So I am anxious to hear what you all have to say today
    about this year's request and to discuss how we can really find
    that common ground to balance the needs with what is
    economically feasible and fiscally responsible.
        So I look forward to working with you, Mr. Chairman, as
    well as all those who are working so hard to serve us. We thank
    you.
        Senator Nelson. Thank you, Senator.
        Now we would like to begin with the witnesses. I would
    appreciate it if we can hold the opening statements to about 5
    minutes, although we will not run the clock for that. Ms.
    Erickson, perhaps we will start with you and then we will go to
    Mr. Gainer and Chief Morse.

                    summary statement of hon. nancy erickson

        Ms. Erickson. Chairman Nelson, Senator Murkowski, I
    appreciate this opportunity to provide testimony on behalf of
    the Office of the Secretary and our employees. With me today is
    Chris Doby, our Financial Clerk, and Sheila Dwyer, our
    Assistant Secretary. I ask that my statement which includes our
    department reports be submitted for the record.
        Senator Nelson. It will be submitted, received.
        Ms. Erickson. I am pleased to be testifying on a day that
    is historically significant in the life of our Nation. It was
    on March 4, 1789, that the United States Government began its
    operations. March 4 was when Presidents took the oath of office
    and when the Senate convened to confirm the President's
    Cabinet. In those bygone years, the Senate would then adjourn
    and not come back into session until December.
        In 1933, ratification of the 20th amendment moved the
    opening of new sessions of Congress up to January 3 and
    presidential inaugurations to January 20. Still, it seems worth
    remembering today that inaugurations of all our Presidents,
    from George Washington to Franklin Roosevelt, and the start of
    so many Senate sessions took place on this day, March 4.
        Since 1789, the Secretary of the Senate has been tasked
    with legislative, financial, and administrative
    responsibilities to support the Senate. It is, indeed, a
    privilege to serve the Senate in this manner.
        Our budget request for fiscal year 2011 is $60,231,000, of
    which $26,231,000 is salary costs; $2 million is operating
    costs, the same level as last year; and $32 million is for the
    administration of the Senate information services, or SIS
    program.
        The salary budget represents an increase of $441,000 over
    fiscal year 2010 as a result of the costs associated with the
    annual cost-of-living adjustment. I am proud that our
    department managers have demonstrated wise stewardship of our
    financial resources while maximizing the services we provide
    the Senate community.
        Needless to say, my total budget request this year at first
    glance is a real eye-opener. In July 2009, the chairman and
    ranking member of the Senate Committee on Rules and
    Administration approved the transfer of the SIS program from
    the Sergeant at Arms to the Secretary of the Senate, and this
    subcommittee authorized transfer of line budgeting
    responsibility for this program and the accompanying
    appropriation from the Sergeant at Arms to the Secretary
    beginning in fiscal year 2011.
        As Mr. Gainer and I note in our request to you and the
    Rules Committee, all parties involved in both of our
    organizations strongly supported the transfer. And I commend
    the Sergeant at Arms Manager for Tech Development, Tom Meenan,
    for his management role of the SIS program during its tenure.
        The SIS program was established by a regulation of the
    Senate Rules Committee in 1987 to provide Senate offices access
    to research services. Since 2000, the Sergeant at Arms has
    administered the program, providing unlimited access to select
    information services for all Senate staff and prohibiting
    vendors from charging offices user fees. This model has enabled
    the Senate to maximize its purchasing power and streamlined
    administrative procedures. The Rules Committee has maintained
    close association with and direct oversight of the SIS program
    since it was established.
        This year within my budget is a new request of $32 million
    for the administration of SIS, which I would like to request in
    the form of a single, multiyear appropriation that would be
    utilized for a 5-year period through September 30, 2015.
    Together with the Sergeant at Arms, SIS, and procurement staff,
    we have determined the annual costs and projected future costs
    to establish the amount requested today. My staff will track
    usage of SIS program funds, and I can assure you there will be
    a firewall between these funds and my office operating funds,
    providing greater program transparency.
        We stand ready to accept this program. The Senate Librarian
    and her senior staff already have considerable expertise in
    negotiating and administering contracts with information
    industry service providers, and they bring content expertise to
    the table. With their extensive knowledge of information
    service providers, we hope to bring even greater economic
    efficiencies to the table, eliminating duplicative services
    wherever possible. In addition, their daily work supporting
    Senate staff research needs and coordinating training of online
    research products will be a great benefit in our oversight
    role.
        We look forward to working closely with our oversight
    committees as we assume administration of the SIS program and
    we welcome your subcommittee's guidance as we seek the best
    method for funding this program.
        I am also pleased to report that, in conjunction with the
    Sergeant at Arms, we are moving ahead with the replacement of
    our Senate's payroll system. As you may recall from last year's
    testimony, it had become clear that the current system is
    outdated and soon will be no longer supported by its developer.
    After a competitive bid process, we have selected a vendor to
    provide the software and are close to completing the process to
    select the software integrator. We will work closely with
    Senate offices to ensure that the product meets their needs. We
    have also learned a great deal from our House counterpart's
    experience in standing up a new payroll system and remain
    grateful for the Sergeant at Arms technical support in this
    effort, particularly that of Jay Moore and his team. We are
    hopeful that it will be launched sometime in the next 18 to 24
    months.
        Our Disbursing Office staff and Senate Webmaster are also
    implementing the new reporting requirements in Public Law 111-
    68, mandating that the semi-annual report of the Secretary,
    which is a listing of all Senate expenses, be produced in a
    searchable electronic format. The first electronic report will
    cover the first full reporting period in 2011.
        Electronic filing requirements are old hat for the Office
    of Public Records, which has fully implemented the requirements
    of the Honest Leadership Open Government Act. It requires
    quarterly and semi-annual filings from registrants and
    lobbyists, and almost 135,000 lobbying reports and
    registrations were filed last year. Although the volume of
    reports increased by over 50 percent, I am proud that we
    handled the additional responsibilities without adding staff.
    This year, the office has focused on compliance and has
    referred close to 4,400 cases to the Department of Justice for
    possible noncompliance.
        This past year, my office oversaw the closing of Senator
    Edward Kennedy's office, as required by S. Res. 458, as
    amended, as well as the handling of Senator Norm Coleman's
    office closing per S. Res. 14. While this is never an easy
    task, I am grateful for the support of the Rules Committee and
    the professionalism of Senator Kennedy's and Senator Coleman's
    staff during a very difficult time for their offices.
        Finally, when I was elected Secretary 3 years ago, I must
    admit I was a little intimidated to be considered Senate
    Historian Dick Baker's boss. I speak for others in the
    Secretary's Office when I say we were proud to be Dick's
    colleagues. We are grateful to Leader Reid, Leader McConnell,
    the Sergeant at Arms, Capitol Police, and the Rules Committee
    for implementing Dick's retirement wish, that the Senate
    galleries be reopened to the public during Senate recesses,
    like the pre-September 11 days.
        I am also grateful to another public servant, Pam Gavin,
    who for more than 24 years shepherded and safeguarded the
    filings of thousands of Senate public documents. She will
    always have my appreciation and pride for her efforts to
    implement the wide-ranging requirements of the Honest
    Leadership Open Government Act in roughly 11 weeks.

                               prepared statement

        This institution is a better place because of their service
    and their commitment and pride in public service is shared by
    the great staff I have the privilege of leading. Thank you for
    support of our efforts to serve the Senate community.
        [The statement follows:]
                      Prepared Statement of Nancy Erickson
        Mister Chairman, Senator Murkowski, 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 2011.
        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 each department of the office,
    their recent achievements, and their plans for the upcoming fiscal
    year.
        My statement includes: Presenting the fiscal year 2011 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 2011 budget request
        I am requesting a total fiscal year 2011 budget of $60,231,000. The
    request includes $26,231,000 in salary costs and $34,000,000 for the
    operating budget of the Office of the Secretary. The salary budget
    represents an increase of $441,000 over the fiscal year 2010 budget as
    a result of the costs associated with the annual cost of living
    adjustment. The operating budget increased by $32,000,000 solely as a
    result of this office's assuming the administration of the Senate
    Information Services Program (SIS) from the Sergeant at Arms.
        The net effect of my total budget request for 2011 is an increase
    of $32,441,000. The single multiyear funds requested for the SIS
    program will provide for the continued operation of the current program
    within the Senate while also providing the flexibility to review
    existing services and provide updates as requested by the Senate
    community. The balance of our request is consistent with the amounts
    requested and received in recent years through the Legislative Branch
    Appropriations process.

                                     OFFICE OF THE SECRETARY APPORTIONMENT SCHEDULE
    ----------------------------------------------------------------------------------------------------------------
                                                                          Amount
                                                                         available        Budget
                                  Items                                 fiscal year      estimates      Difference
                                                                       2010, Public     fiscal year
                                                                        Law 111-68         2011
    ----------------------------------------------------------------------------------------------------------------
    Departmental operating budget:
        Executive office............................................        $550,000        $550,000  ..............
        Administrative services.....................................       1,390,000      33,390,000  \1\ $32,000,00
                                                                                                                   0
        Legislative services........................................          60,000          60,000  ..............
                                                                     -----------------------------------------------
          Total operating budget....................................       2,000,000      34,000,000      32,000,000
    ----------------------------------------------------------------------------------------------------------------
    \1\ This difference represents the costs associated with the assumption of the administration of the Senate
      Information Services (SIS) Program.

                         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 2009 and the beginning of fiscal year 2010,
    specific progress made on the FMIS project included:
      --Web FMIS was upgraded three times this year: in March 2009, August
            2009 and January 2010. This system is used by office managers
            and committee clerks, staff in the Sergeant at Arms Office
            (SAA) and the Secretary's office 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. Additionally, it is used by staff who incur official
            expenses, primarily staff who travel, to prepare their expense
            summary reports (ESRs). The releases provided both technical
            and functional changes. The March release brought Web FMIS
            reports rewritten in a report-writer that enables additional
            features, an improved document search feature, a revamped the
            ESR with new fields for providing additional information, and
            real-time e-mail notifications to the staffers. The August
            release focused on implementing new functionality for
            Disbursing staff such as integrated contract tracking
            functionality, ADPICS document viewers that enable Disbursing
            staff to see, via Web FMIS, documents created in ADPICS, and
            integrated checkwriter software. The integration of the first
            and last of these into Web FMIS are especially important in our
            ability to fully function in the event of displacement from the
            physical Disbursing Office. The January release was the first
            of three planned releases for WebPICS. The WebPICS project
            enables SAA users to access ADPICS functionality through a web-
            based front end and provides robust search function. This first
            release focused on the needs of requisitioners and requisition
            approvers. The second release will focus on the SAA accounts
            payable process and the third release will focus on purchase
            order creation and approval.
      --The computing infrastructure for FMIS is provided by the SAA. Each
            year the SAA staff upgrades the infrastructure hardware and
            software. During 2009 the SAA implemented two major upgrades to
            the FMIS infrastructure by upgrading WebSphere software to
            version 7 and upgrading the database software, DB2. After the
            DB2 upgrade, the Web reporting tables were partitioned to
            improve system efficiency. The SAA made several micro-code
            updates, operating system ``maintenance'' releases and
            maintenance for the Virtual Tape Library. For each activity,
            Disbursing staff tested the changes in the FMIS testing
            environment and then validated the changes in the production
            environment.
      --A primary goal of the FMIS project is to process vouchers without
            paper supporting documentation and ``wet'' signatures. During
            2008, Disbursing staff conducted a prototype imaging system in
            which paper vouchers and supporting documentation were imaged
            by the staff and routed electronically. The hands-on experience
            of this prototype was especially useful in refining our imaging
            system requirements. During 2009 and 2010 Disbursing
            participated in selecting software for the image database and
            image viewer, and finalized imaging and electronic signature
            requirements. During the remainder of 2010, this information
            will be used in planning necessary software purchases and
            coordinating with a separate SAA smart card ID project. The
            smart cards will be used for electronic signatures.
        During the remainder of fiscal year 2010 the following FMIS
    activities are anticipated:
      --Implementing WebPICS releases for phase II and III which will focus
            on SAA accounts payable process and on purchase order creation
            and approval, respectively;
      --Coordinating with SAA the timeframes for the implementation of the
            smart card ID project for electronic signatures, and finalizing
            with the Committee on Rules and Administration any changes to
            existing rules and regulations as well as any changes to
            statutes pertaining to delegation of authority;
      --Implementing online distribution of monthly ledger reports;
      --Implementing automated clearing house payment for the 21 remaining
            state tax jurisdictions;
      --Implementing a pilot of the image database software, likely for the
            SAA finance staff as part of WebPICS;
      --Participating in the yearly disaster recovery test; and
      --Finalizing the selection of the PeopleSoft payroll system
            integrator and start with the new system implementation.
        During fiscal year 2011 the following FMIS activities are
    anticipated:
      --Conducting a pilot of the technology for paperless payment--both
            document imaging and electronic signatures. This assumes
            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 implantation of online financial reports;
      --Continue with the new payroll system implementation and start
            parallel testing; and
      --Review existing systems and develop a long term modification and
            replacement plan for key systems.
        A more detailed report on FMIS is included in the departmental
    report of the Disbursing Office.
                              legislative offices
        The Legislative Department provides support essential to Senators
    in carrying out their daily chamber activities as well as the
    constitutional responsibilities of the Senate. The Legislative Clerk
    sits at the Secretary's desk in the Senate Chamber and reads aloud
    bills, amendments, the Senate Journal, Presidential messages, and other
    such materials when so directed by the Presiding Officer of the Senate.
    The Legislative Clerk calls the roll of members to establish the
    presence of a quorum and to record and tally all yea and nay votes. The
    office staff prepares the Senate Calendar of Business, published each
    day that the Senate is in session, and prepares additional publications
    relating to Senate class membership and committee and subcommittee
    assignments. The Legislative Clerk maintains the official copy of all
    measures pending before the Senate and must incorporate into those
    measures any amendments that are agreed to. This office retains custody
    of official messages received from the House of Representatives and
    conference reports awaiting action by the Senate. The office staff is
    responsible for verifying the accuracy of information entered into the
    LIS system by the various offices of the Secretary.
        Additionally, the Legislative Clerk acts as supervisor for the
    Legislative Department, providing a single line of communication to the
    Secretary and Assistant Secretary and is responsible for overall
    coordination, supervision, scheduling, and cross-training. 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.
    Summary of Activity
        The Senate completed its legislative business and adjourned sine
    die on December 24, 2009. During 2009, the Senate was in session 191
    days and conducted 397 roll call votes. There were 199 measures
    reported from committees and 24 special reports submitted to the
    Senate. There were 478 total measures passed. In addition, there were
    3,892 amendments submitted to the desk.
    Cross-Training and Continuity of Operations (COOP) Planning
        Recognizing the importance of planning for the continuity of Senate
    business, under both normal and possibly extenuating circumstances,
    cross-training continues to be strongly emphasized among the
    Secretary's legislative staff. To ensure additional staff are trained
    to perform the basic floor responsibilities of the Legislative Clerk,
    as well as the various other floor-related responsibilities of the
    Secretary, approximately half of the legislative staff are currently
    involved or have recently been involved in cross-training.
        Each office and staff person within the Legislative Department
    participated in numerous ongoing COOP discussions and exercises
    throughout the past year. These discussions and exercises are a joint
    effort involving the Office of the Secretary and the Office of the
    Sergeant at Arms.
    Succession Planning
        The average number of years of Senate service among the Secretary's
    Legislative Department supervisors is 19 years. It is critical that the
    Secretary's Legislative Department attract and keep talented employees,
    especially the second tier of employees just behind the current
    supervisors because of the unique nature of the Senate as a legislative
    institution. The arcane practices and voluminous precedents of the
    Senate make institutional experience and knowledge extremely valuable.
                                   bill clerk
        The Office of the Bill Clerk collects and records data on the
    legislative activity of the Senate, which becomes the historical record
    of official Senate business. The Bill Clerk's staff 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. 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. The Bill Clerk's office is generally
    regarded as the most timely and most accurate source of legislative
    information because all the information received in this office comes
    directly from the Senate floor in written form within moments of the
    action involved.
    Legislative Activity
        The Bill Clerk's staff processed 773 fewer legislative items into
    the database than in the previous Congress' first session, an overall
    decrease of slightly more than 9 percent. Only three legislative
    categories (Senate Bills introduced, House Bills received, and House
    Messages) saw increases in activity during this legislative period. For
    comparative purposes, below is a summary of the first sessions of the
    110th and 111th congresses:

    ----------------------------------------------------------------------------------------------------------------
                                                                           110th           111th
                                                                       Congress, 1st   Congress, 1st    Percentage
                                                                          Session         Session         Change
    ----------------------------------------------------------------------------------------------------------------
    Senate Bills....................................................           2,524           2,920          +15.69
    Senate Joint Resolutions........................................              27              25           -7.41
    Senate Concurrent Resolutions...................................              64              48          -25.00
    Senate Resolutions..............................................             418             387           -7.42
    Amendments Submitted............................................           3,892           3,298          -15.26
    House Bills.....................................................             513             382          -25.54
    House Joint Resolutions.........................................               9              10          +11.11
    House Concurrent Resolutions....................................              93              67          -27.96
    Measures Reported...............................................             428             199          -53.50
    Written Reports.................................................             254             113          -55.51
                                                                     -----------------------------------------------
          Total Legislation.........................................           8,222           7,449           -9.40
                                                                     ===============================================
    Roll Call Votes.................................................             442             397          -10.18
    House Messages \1\..............................................             263             292          +11.03
    Cosponsor Requests..............................................           8,859           7,205          -18.67
    ----------------------------------------------------------------------------------------------------------------
    \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.

    Assistance from the Government Printing Office (GPO)
        The Bill Clerk's staff maintains an exceptionally good working
    relationship with the Government Printing Office 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 60 measures for floor
    consideration by the Senate during the first session of the 111th
    Congress.
                              captioning services
        The Office of Captioning Services (OCS) provides real-time
    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. For the 16th 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 real-time, 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 for the Senate
    community. In particular, legislative staff continue to depend upon its
    availability, reliability and content to aid in the performance of
    their duties. Additionally, the Senate Recording Studio introduced a
    complementary video component in 2009 called Video Vault, which now
    adds searchable video to the audio and text.
    Continuity of Operations (COOP)
        Continuity of operations (COOP) planning and preparation continues
    to be a top priority and was brought to the forefront this year by
    additional pandemic planning with regard to the H1N1 virus. Regular
    testing and review of COOP procedures as well as the additional
    component of pandemic planning ensures that the staff are prepared and
    confident about the ability to relocate and successfully function from
    a remote location and/or reduced personnel in the event of an emergency
    or pandemic. The OCS also participates with the Senate Recording Studio
    in an off-site location exercise at least once a year.
                                  daily digest
        The Office of the Senate Daily Digest is pleased to transmit its
    annual report on Senate activities during the first session of the
    111th Congress. First, a brief summary of a compilation of Senate
    statistics:
    Chamber Activity
        The Senate was in session a total of 191 days, for a total of 1,420
    hours and 39 minutes. There were 3 quorum calls and 397 record votes.
    (See Attachment for 20-Year Comparison of Senate Legislative Activity).

                                                                            20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              1990          1991          1992          1993          1994          1995          1996          1997          1998          1999
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    Senate Convened.....................................          1/23           1/3           1/3           1/5          1/25           1/4           1/3           1/3          1/27           1/6
    Senate Adjourned....................................         10/28        1/3/92          10/9         11/26         12/01        1/3/96          10/4         11/13         10/21         11/19
    Days in Session.....................................           138           158           129           153           138           211           132           153           143           162
    Hours in Session....................................      1,25014"      1,20044"      1,09109"      1,26941"      1,24333"      1,83910"      1,03645"      1,09307"      1,09505"      1,18357"
    Average Hours per Day...............................           9.1           7.6           8.5           8.3           9.0           8.7           7.8           7.1           7.7           7.3
    Total Measures Passed...............................           716           626           651           473           465           346           476           386           506           549
    Roll Call Votes.....................................           326           280           270           395           329           613           306           298           314           374
    Quorum Calls........................................             3             3             5             2             6             3             2             6             4             7
    Public Laws.........................................           410           243           347           210           255            88           245           153           241           170
    Treaties Ratified...................................            15            15            32            20             8            10            28            15            53            13
    Nominations Confirmed...............................        42,493        45,369        30,619        38,676        37,446        40,535        33,176        25,576        20,302        22,468
    Average Voting Attendance...........................         97.47         97.16          95.4          97.6         97.02         98.07         98.22         98.68         97.47         98.02
    Sessions Convened Before 12 Noon....................           116           126           112           128           120           184           113           115           109           118
    Sessions Convened at 12 Noon........................             4             9             6             6             9             2            15            12            31            17
    Sessions Convened after 12 Noon.....................            17            23            10            15            17            12             7             7             2            19
    Sessions Continued after 6 p.m......................           100           102            91           100           100           158            88            96            93           113
    Sessions Continued after 12 Midnight................             6             4             9             7             3             1  ............  ............  ............  ............
    Saturday Sessions...................................             3             2             2             2             3             5             1             1             1             3
    Sunday Sessions.....................................             2  ............  ............  ............  ............             3  ............             1  ............  ............
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

                                                                      20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY--Continued
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              2000          2001          2002          2003          2004          2005          2006          2007          2008          2009
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    Senate Convened.....................................          1/24           1/3          1/23           1/7          1/20           1/4           1/3           1/4           1/3           1/6
    Senate Adjourned....................................         12/15         12/20         11/20          12/9          12/8         12/22          12/9         12/31           1/2         12/24
    Days in Session.....................................           141           173           149           167           133           159           138           189           184           191
    Hours in Session....................................      1,01751"      1,23615"      1,04323"      1,45405"      1,03131"      1,22226"      1,02748"      1,37554"        98831"      1,42039"
    Average Hours per Day...............................           7.2           7.1           7.0           8.7           7.7           7.7           7.4           7.2          5.37          7.44
    Total Measures Passed...............................           696           425           523           590           663           624           635           621           589           478
    Roll Call Votes.....................................           298           380           253           459           216           366           279           442           215           397
    Quorum Calls........................................             6             3             2             3             1             3             1             6             3             3
    Public Laws.........................................           410           136           241           198           300           169           313           180           280           125
    Treaties Ratified...................................            39             3            17            11            15             6            14             8            30             1
    Nominations Confirmed...............................        22,512        25,091        23,633        21,580        24,420        25,942        29,603        22,892        21,785        23,051
    Average Voting Attendance...........................         96.99         98.29         96.36         96.07         95.54         97.41         97.13         94.99         94.36         96.99
    Sessions Convened Before 12 Noon....................           107           140           119           133           104           121           110           156           147           148
    Sessions Convened at 12 Noon........................            25            10            12             4             9             1             4             4             4             2
    Sessions Convened after 12 Noon.....................            24            21            23            23            21            36            24            32            33            41
    Sessions Continued after 6 p.m......................            94           108           103           134           129           120           129           144           110           152
    Sessions Continued after 12 Midnight................             2             3             8             2             3             3             4             4             2             2
    Saturday Sessions...................................             1             3  ............             1             2             2             2             1             3             5
    Sunday Sessions.....................................             1  ............  ............             1             1             2  ............             1             1             4
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    Prepared by the Senate Daily Digest--Office of the Secretary.

    Committee Activity
        Senate committees held a total of 1,138 meetings during the first
    session, as contrasted with 823 meetings during the second session of
    the 110th Congress.
        All hearings and business meetings, including joint meetings and
    conferences, are scheduled through the Office of the Senate Daily
    Digest and are published on its Web site on the Webster intranet, in
    the Congressional Record, and entered in the Web-based Legislative
    Information System (LIS). Meeting outcomes are also published by the
    Daily Digest in the Congressional Record each day and continuously
    updated on the website.
    Computer Activities
        The Digest staff continue to work closely with Senate computer
    staff to refine the LIS/DMS system, including further enhancements to
    the Senate Committee Scheduling application which will improve the data
    entry process.
        The Digest office staff continues to electronically transmit the
    publication at the end of each day to the Government Printing Office
    (GPO). The Digest staff continues the practice of sending a disc along
    with a duplicate hard copy to GPO, even though GPO receives the Digest
    copy by electronic transfer long before hand delivery is completed
    adding to the timeliness of publishing the Congressional Record. The
    Digest office staff continue 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.
    Government Printing Office
        The Daily Digest staff work closely with the GPO on printing issues
    and are pleased to report that with the onset of electronic transfer of
    the Digest copy, occurrences of editing corrections or transcript
    errors are infrequent.
                                enrolling clerk
        The Enrolling Clerk prepares, proofreads, and prints all
    legislation passed by the Senate prior to its transmittal to the House
    of Representatives, the White House, the National Archives, the
    Secretary of State, and the United States Claims Court.
        During the first session of the 111th Congress the Enrolling
    Clerk's office prepared the enrollment of 34 bills (transmitted to the
    President), 4 enrolled joint resolutions (transmitted to the
    President), 10 concurrent resolutions (transmitted to the National
    Archives) and 94 appointments (transmitted to the House of
    Representatives). In addition, approximately 94 House of
    Representatives bills (including 12 Appropriations bills, the Budget
    Concurrent Resolution, 33 House Concurrent Resolutions and 7 House
    Joint Resolutions) were either amended or acted on in the Senate
    requiring action on the part of the staff of the Enrolling Clerk's
    office.
        A total of 478 pieces of legislation were passed or agreed to
    during the first session of the 111th Congress. Many other Senate bills
    were placed in the calendar, all of which were processed in the
    Enrolling Clerk's office including 66 engrossed Senate bills, 5 Joint
    Resolutions, 22 Concurrent Resolutions and 249 Senate Resolutions.
        During the First Session of the 111th Congress, the Enrolling Clerk
    delivered 78 messages to the House Chamber and 55 messages to the House
    Clerk's office, along with 94 appointments prepared and transmitted to
    the House of Representatives, informing the House of Senate actions on
    legislation passed or amended.
        The Senate Enrolling Clerk is also responsible for electronically
    transmitting the files of engrossed and enrolled legislation to the
    Government Printing Office for overnight printing. The office also
    follows up on all specific requests and special orders for printing
    from the Senate floor.
    Continuity of Operations (COOP)
        In addition to updating the office's COOP plan, the Enrolling Clerk
    has begun training additional staff from GPO in the office's operations
    to provide backup in the event the office is displaced.
                                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 Executive Clerk's staff processes all executive
    communications, presidential messages and petitions and memorials.
    Nominations
        During the first session of the 111th Congress, there were 1,341
    nomination messages sent to the Senate by the President, transmitting
    24,951 nominations to positions requiring Senate confirmation and 15
    messages withdrawing nominations sent to the Senate. Of the total
    nominations transmitted, there were 2,526 nominees in the following
    ``civilian list'' categories: Foreign Service, Coast Guard, National
    Oceanic and Atmospheric Administration, and Public Health Service. An
    additional 696 were for other civilian positions. Military nominations
    received this session totaled 21,729 (7,870 Air Force; 7,223 Army;
    4,442 Navy and 2,194 Marine Corps). The Senate confirmed 23,050
    nominations this session. Pursuant to the provisions of paragraph six
    of Senate Rule XXXI, 8 nominations were returned to the President
    during the first session of the 111th Congress.
    Treaties
        There were 4 treaties transmitted to the Senate by the President
    during the first session of the 111th Congress for its advice and
    consent to ratification, which were ordered printed as treaty documents
    for the use of the Senate (Treaty Doc. 111-1 through 111-4). The Senate
    gave its advice and consent to one treaty with one condition, and one
    declaration to the resolution of advice and consent to ratification.
    Executive Reports and Roll Call Votes
        There was one executive report relating to a treaty ordered printed
    for the use of the Senate during the first session of the 111th
    Congress (Executive Report 111-1). The Senate conducted 38 rollcall
    votes in executive session, all on or in relation to nominations.
    Executive Communications
        For the first session of the 111th Congress, 7,072 executive
    communications, 84 petitions and memorials and 39 Presidential messages
    were received and processed.
    Environmental Impact
        In an effort to save money and eliminate unnecessary paper, the
    Executive Clerk reduced the copies of nominations printed for the
    committees by 95 percent. All but one committee allows the paperwork to
    be transmitted by e-mail, decreasing the need for duplicate paper
    copies.
    LIS Update (Projects)
        The staff consulted with the Senate Computer Center during the year
    concerning ongoing improvements to the LIS pertaining to the processing
    of nominations, treaties, executive communications, presidential
    messages and petitions and memorials.
                                 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 content of the Senate Journal is governed by Senate
    Rule IV. The Senate Journal is published each calendar year, and in
    2009, the Journal Clerk completed the production of the 964 page 2008
    volume. It is anticipated that work on the 2009 volume will conclude in
    June 2010.
        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 rollcall votes taken), (v)
    amendments submitted and proposed for consideration, (vi) bills and
    joint resolutions introduced, and (vii) concurrent and Senate
    resolutions as submitted. These notes of the proceedings are then
    compiled in electronic form for eventual publication of the Senate
    Journal at the end of each calendar year. Compilation is efficiently
    accomplished through utilization of the LIS Senate Journal Authoring
    System. The Senate Journal is published each calendar year.
    Continuity of Operations (COOP)
        In 2009, in continuing to support the Office of the Secretary's
    commitment to continuity of operations programs, the Journal Clerk
    required the daily Minute Book pages to be scanned into a secure
    directory. Additionally, the files are copied onto a flash drive
    storage device weekly and transported off-site each night. Although the
    actual Minute Books for each session of a Congress are sent to the
    National Archives the year following the end of a Congress, having
    easily-accessible files, both on a remote server and on portable
    storage device, will ensure timely reconstitution of the Minute Book
    data in the event of damage to, or destruction of, the physical Minute
    Book.
        Preparations undertaken by the Office of the Journal Clerk in
    support of continuity of Chamber operations in anticipation of H1N1
    pandemic helped to strengthen overall COOP procedures. Such
    preparations included successful testing and exercise of remote work
    capabilities using Senate-provided equipment and accessing servers
    through public computers of those functions not requiring physical
    attendance in the Chamber.
                         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 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 the Senate is in session roughly 90 percent of the
    transcript of Senate floor proceedings and Morning Business is sent to
    GPO electronically, permitting the Congressional Record to be viewed on
    the Internet at approximately 7 a.m. every day.
        The Official Reporters of Debate have placed continued emphasis on
    cross training of personnel.
                                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,
    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 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 Vice President of the United States and the staff
    of the Vice President 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 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 time on the
    floor of the Senate when time is limited or controlled under the
    provisions of time agreements, statutes or standing orders. 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 3,298
    amendments during 2009 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 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 2009, the
    Parliamentarian and his assistants referred 3,482 measures and 7,193
    communications to the appropriate Senate committees. The office staff
    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. In 2009, as in the past, the parliamentarians conducted
    several briefings on Senate procedure to various groups of Senate
    staff, on a non-partisan basis.
        During 2009, as has been the case in the past, the staff of the
    Parliamentarian's Office was frequently called on to analyze and advise
    Senators on a great number of issues arising under the Congressional
    Budget Act of 1974, the Trade Act of 1974, the Congressional Review
    Act, and many other provisions of law that authorize special procedural
    consideration of measures.
        During all of 2009, the parliamentarians were deeply involved in
    interpreting the ethics reform proposals adopted in 2007, especially
    the language dealing with earmark accountability and scope of
    conference.
        Since the election in 2008, all of the parliamentarians have
    participated in orientation sessions for the newly elected and
    appointed Senators, and have assisted each of them in their initial
    hours as Presiding Officers. The parliamentarians also participated in
    an orientation session on the Senate floor for Senate staff.
        Throughout 2009, as is the case following each general election,
    the parliamentarians received all of the certificates of election of
    Senators elected or re-elected to the Senate as well as those Senators
    appointed to fill vacancies, and reviewed them for sufficiency and
    accuracy, returning those that were defective and reviewing their
    replacements.
        The parliamentarians have each been trained on and successfully
    remotely accessed to the office's computers facilitating
    communications, research, and other work after hours, enabling them to
    have the office function during possible emergencies. The
    Parliamentarian's Office continues to participate extensively in
    emergency preparedness training for the Senate Chamber and has been
    heavily involved with the Sergeant at Arms Office of Police Operations,
    Security and Emergency Preparedness for years in the planning phases of
    the Senate's evacuation and shelter-in-place procedures.
                              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, 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;
      --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 the Committee on Rules and Administration.
        After finalizing procedures and requirements to stand up the
    Congressional Oversight Panel established by the Emergency Economic
    Stabilization Act of 2008, Public Law 110-343, Disbursing continues
    reporting to the U.S. Department of the Treasury the amounts incurred
    by the panel on a monthly basis. Disbursing continues to work with the
    Committee on Rules and Administration, the House of Representatives,
    and the U. S. Treasury on funding of the panel.
        As in previous years, the Financial Clerk and the Assistant
    Financial Clerk continue to attend Legislative Branch Financial
    Managers Council (LBFMC) meetings to share issues that affect other
    Congressional managers. In addition, the Financial Clerk and the
    Assistant Financial Clerk, along with key Disbursing Office staff and
    the Sergeant at Arms (SAA) technical support staff, completed the
    requirements and participated in vendor demonstrations for the
    procurement of a new payroll system. The new payroll system has been
    selected, and Disbursing and the SAA are now in the process of
    selecting a payroll system integrator through an open competition. The
    selection is anticipated to be made by the end of March with the
    expectation to begin implementation early this summer.
        Disbursing, in coordination with the Committee on Rules and
    Administration, worked on the collection of excess mileage
    reimbursements for privately owned vehicles (POV) paid to staff between
    January and April 2009. The office prepared letters to all affected
    staff and notified them of the excess mileage and the options they had
    to pay it back, processing all the checks received and making the
    deposit to each office account. For those that did not pay it back by
    the stipulated date, adjustments were made to their W-2s for calendar
    year 2009.
        In addition to the regular work derived by a new election cycle at
    the beginning of each session of Congress, additional letters for
    displaced staff were necessitated for Senate staff working for Senators
    filling several cabinet positions. Towards the end of the fiscal year,
    Disbursing handled matters related to the resignation of Senator Mel
    Martinez and the death of Senator Edward M. Kennedy.
        Under the Legislative Branch Appropriations Act for 2010, Public
    Law 111-68, an administrative provision to change the distribution
    method for the Report of the Secretary of the Senate was approved. The
    provision requires the Report be published and publicly posted online
    by the end of the 112th Congress. Meetings and discussions have started
    with the Office of the Secretary of the Senate, the Committee on Rules
    and Administration and the Government Printing Office (GPO). During the
    next few months, a project plan and timeline will be developed to meet
    the mandated deadline.
    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. The deputy also coordinates the
    interaction between the Front Office, Employee Benefits, and Payroll
    Sections, and is responsible for the planning and project management of
    new computer systems and programs. The deputy 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 and information for use in all
    three sections.
                General Activities
        The staff worked to assist incoming and outgoing members and staff
    personally. There was need for extensive research relating to various
    administrative situations (e.g. contested elections, resignations to
    accept cabinet posts, transition of Senators to vice president and
    president, chairmanship changes, etc.).
        After the year-end processing of payroll for calendar year 2008 was
    completed, the Disbursing Office issued W-2 forms promptly and made
    them immediately available to Disbursing Office staff on the document
    imaging system (DIS). During March and April, the delayed cost of
    living adjustment (COLA) was administered and processed over two cycles
    to accommodate the ``retroactive'' portion of that COLA. Throughout the
    year, other minor changes were made to the Human Resources Management
    System (HRMS) as a result of changes in regulations, policies and
    needs.
        The Disbursing Office, in tandem with SAA Technical Support,
    continued research and procurement of a new payroll system. Staff
    diligently assessed current system requirements and parameters as well
    as requirements and parameters for a new system. The staff continued to
    work with the SAA Technical Support group and the contractors to draft,
    edit and modify current and future system requirements. Staff drafted
    specific and technical scripts for two series of vendor demonstrations
    as well as methods for ranking results. Staff attended several day-long
    demos and interacted with vendors to determine system capabilities.
    Specific attention was paid to how the vendors would accommodate the
    Senate's unique requirements, laws and regulations governing the
    services and programs administered by the payroll system. After
    extensive coordination, feedback and assessment, a software selection
    was made. During the early part of 2010, the Disbursing Office and SAA
    will begin the process of selecting a new system integrator through an
    open competition.
        As part of continuing efforts to achieve full continuity of
    operations compliance, the office requested an upgrade to the DIS.
    Needed and desired programming modifications were identified,
    documented, developed and tested during 2009. Final implementation took
    place late in 2009. The system now has increased functionality and
    provides greater flexibility of use. Post system implementation follow-
    up and trouble-shooting are currently in process. Procedures to take
    advantage of the increased functionality will be developed and
    implemented in 2010.
        Several pieces of legislation passed in 2009 required action and
    administration by the Disbursing Office. The Economic Stimulus package
    provided for Federal Employees Health Benefits Program (FEHB) Premium
    Assistance for Federal employees who were displaced from their jobs.
    Staff worked to draft guidance and information for affected employees
    and implement procedures within the office and with Office of Personnel
    Management (OPM) and the National Finance Center for administration of
    this new provision. Also passed was a provision to supplement the pay
    of Federal employee reservists who were placed in leave without pay
    (LWOP) due to a call to active duty. Although OPM and Department of
    Defense (DOD) guidance on implementation of this provision was slow in
    coming, staff worked extensively with OPM and the affected employees to
    ensure that we were prepared for implementation as soon as practicable.
    Also passed, was a provision for credit of Federal Employees Retirement
    System (FERS) sick leave upon retirement. The legislation was assessed
    and guidance was issued by this office within the parameters of
    established policies and procedures. Additionally, legislation which
    allowed for Thrift Savings Plan (TSP) agency contributions to begin
    immediately upon hire took effect during the summer. Staff worked with
    the SAA Technical Support group and determined system requirements and
    made programming modifications to accommodate this change.
    Informational guidance was drafted and distributed to affected staff.
    Front Office--Administrative and Financial Services
        The Front Office is the main service area for all general Senate
    business and financial activity. The Front Office staff maintains the
    Senate's internal accountability of funds used in daily operations. The
    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 is 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. After the processing of
    certified expenses is complete, cash travel advances are repaid.
    Numerous inquiries are handled daily, ranging from pay, benefits, taxes
    and voucher processing, to 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. The Front Office maintains the Official Office
    Information Authorization Forms that authorize individuals to conduct
    various types of business with the Disbursing Office.
                General Activities
        Processed approximately 1,000 cash advances, totaling approximately
    $700,000 and initialized 1,200 check/direct deposit advances, totaling
    approximately $900,000;
        Received and processed more than 23,600 checks, totaling over
    $1,700,000;
        Administered oath and personnel affidavits to more than 2,800 new
    Senate staff and advised them of their benefits;
        Maintained brochures for 14 Federal health insurance carriers and
    distributed approximately 4,000 brochures to new and existing staff
    during the annual Federal Benefits Open Season; and
        Provided 32 training sessions to new administrative managers.
        The Front Office continues its daily reconciliation of operations
    and strengthening of internal office controls. Security devices were
    tested and some were replaced with more modern equipment. Training and
    guidance to new administrative managers and business contacts continued
    and was enhanced by the revamping of training materials that were
    provided to newly authorized personnel. A large number of committee
    leadership changes prompted a major increase in the number of S. Res. 9
    certifications. This required additional processing of documentation
    necessary to execute the continuance of compensation to certified
    employees. The Front Office successfully processed over 1,400 such
    payments.
        Due to the reimbursement of mileage for POV over the Internal
    Revenue Service (IRS) maximum allowable rate, the Front Office received
    and documented over 550 cash returns related to the overpayment of
    previously processed POV vouchers. Front Office staff received many
    positive comments regarding the use of the DIS, which immediately
    reproduces W-2 forms and other documents for employees who request
    duplicates. As more information was imaged into the DIS, more inquiries
    were able to be processed immediately. Several pieces of legislation
    were passed during 2009 that affected Senate employee's deductions and
    benefits. The adoption of these new regulations created many inquiries
    from Senate staff. Front Office staff continued assisting employees in
    maximizing their 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,
    committees 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 is
    responsible for the administration of the Senate Student Loan Repayment
    Program (SLP) and for the audit and reconciliation of the Flexible
    Spending Accounts (FSAs) and Federal Employees Dental and Vision
    Insurance Program (FEDVIP) bill files received each pay period. 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
    electronically to all Senate offices twice a month. The Payroll Section
    issues the proper withholding and agency contribution reports to the
    Accounting Department and transmits the proper TSP information to the
    National Finance Center. In addition, the Payroll Section maintains
    earnings records, which are distributed to the Social Security
    Administration and employees' taxable earnings records, which are used
    for W-2 statements. This section is also responsible for the payroll
    expenditure data portion of the Report of the Secretary of the Senate
    and calculates, reconciles and bills the Senate Employees Child Care
    Center 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 January 2009, the Payroll Section conducted all year-end
    processing and reconciliation of pay records and produced W-2 forms for
    employees and state tax agencies, which are also maintained in the DIS.
    The Payroll Section maintained the normal schedule of processing TSP
    election forms.
        In March 2009, an employee COLA of 4.78 percent was authorized and
    administered. Because the language afforded a retroactive COLA, the
    salary changes were administered over both March and April. Statutory
    rates and program caps were updated in HRMS.
        The Payroll staff participated extensively in the selection of a
    new payroll system. They provided job and task summaries, records of
    reports and system output, and attended numerous strategy sessions to
    determine current system requirements as well as future system
    requirements. Staff attended and reviewed numerous vendor
    demonstrations and participated in the drafting of demo scripts.
        The Payroll Section administers the SLP, which includes initiation,
    tracking and transmission of the payments, determination of eligibility
    and coordination and reconciliation with office administrators and
    program participants. The program is very popular and participation
    remains high. The SLP Administrator continues to improve processes for
    administration of the program and document procedures.
        In 2009 Senate travelers were allowed to repay the excess amount of
    POV mileage reimbursement that exceeded the IRS maximum. For those that
    did not repay, the overpayments needed to be reported as taxable
    income. The Payroll Section staff was required to research and
    implement processes and program modifications to accommodate the
    reporting of several hundred mileage overpayments on the 2009 W-2s.
        As a result of the 2008 elections, the Payroll Section provided
    assistance and guidance to the offices of numerous incoming and
    outgoing Senators, as well as the President and Vice President-elects.
    The payroll group also assisted Senator Edward M. Kennedy's staff upon
    his death. In addition, the Disbursing Office staff looked into the
    specifics of applicable Senate resolutions to determine their impact,
    if any, on outgoing and potentially outgoing staff in order to ensure
    that current procedures allowed for the proper administration of the
    resolutions and provided guidance to staff on those resolutions.
    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 Long
    Term Care (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 to perform
    military service. EBS participates fully in the Centralized Enrollment
    Clearinghouse System (CLER) Program sponsored by OPM to reconcile all
    FEHB enrollments with carriers through the National Finance Center. EBS
    is responsible for its own 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 (FBI), OPM, and DOD, among others.
    Unemployment claim forms are completed, and employees are counseled on
    their eligibility. Department of Labor billings for unemployment
    compensation paid to Senate employees are reviewed in EBS and submitted
    by voucher to the Accounting Section for payment, 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 many retirement cases associated with 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.
        After the 2008 elections, EBS met with all new Senators to go over
    benefit choices available to them. New members appointed numerous
    employees from the House and the Executive Branch, and many other
    employees left with their outgoing members, many of whom were appointed
    to positions in the Executive Branch. This resulted in a significant
    increase in the number of 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,
    CSRS, FERS and TSP enrollments, and the associated requests for backup
    verification. Also EBS counseled many employees who were affected by
    these employment changes. In addition, transcripts of service for the
    110 Capitol Guide Service employees transferred to the payroll of the
    Architect of the Capitol were prepared and forwarded in early 2009.
        Many employees changed health plans during the annual Benefits 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 an Open
    Season Benefits Fair, which was informational and well attended. The
    Benefits Fair included representatives from local and national FEHB
    plans, as well as representatives from LTC, FSA and FEDVIP.
        The year saw many benefits and retirement changes due to changes in
    laws and regulations. EBS interpreted the legislation as it applied to
    their administration, determined policies and procedures and provided
    guidance or informational material where needed. Public Law 111-5
    provided for ``premium assistance'' for the continuation of health
    insurance for employees who lost their jobs. Public Law 111-8 provided
    for the non-reduction in pay for Reservists and National Guard members
    who were called to active duty. Public Law 111-31 enhanced the TSP to
    immediately eliminate the waiting period for new employees to receive
    agency matching contributions. Public Law 111-84 allowed for several
    retirement changes, of greatest impact was the availability of credit
    for unused sick leave under FERS, the repayment of refunds under FERS,
    and the expansion of the class of retirees eligible for the actuarially
    reduced annuity under CSRS. The LTC program offered extensive program
    and premium changes, which required many enrollees to make an
    alternative coverage decision, which required assistance from EBS.
        EBS conducted agency-wide seminars on CSRS and FERS and attended
    interagency meetings as a result of the many ongoing changes to the TSP
    Program. EBS participated in a number of meetings and presentations
    with potential payroll system contractors to try and determine the best
    fit for our needs.
    Disbursing Office Financial Management
        Headed by the Deputy for Financial Management, the mission of this
    group is to coordinate all central financial policies, procedures, and
    activities; to process and pay expense vouchers within reasonable
    timeframes; 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, and 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
    two functional departments: Accounting and Accounts Payable. The
    Accounts Payable Department is subdivided into three sections: Vendor
    (formerly Senate Automated Vendor Inquiry, also known as SAVI),
    Disbursements and Audit. The Accounting Department is subdivided into
    two sections: Budget and Accounting. The Deputy coordinates the
    activities of the functional departments, establishes central financial
    policies and procedures, and carries out the directives of the
    Financial Clerk and the Secretary of the Senate.
        As part of its continuity of operations (COOP) plans, the
    management visited the Alternate Computing Facility (ACF) on several
    occasions during the year to make sure the location was operational and
    adequately stocked. Additionally, the Deputy was able to log in
    remotely to accomplish a few predetermined tasks, and to assess the
    viability of performing more sensitive and complicated tasks in the
    future.
    Accounting Department
        During 2009, the Accounting Department approved 53,537 expense
    reimbursement vouchers (an increase of 2,322 vouchers, or 5 percent,
    over the previous year) and 26,972 certification and vendor uploads,
    processed 2,170 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 (an increase of 820
    deposits, or 61 percent, over the previous year). Of the increase of
    820 deposits, 559 (or 41 percent) are attributed to the POV
    reimbursement, which resulted from the overpayment of POV rates.
    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, including two Web FMIS
    releases. The Accounting Department requested that some of its manual
    prepared reports be made into Web FMIS reports. One of the reports, the
    General Ledger Account Relationship Reconciliation, and a Status of
    Committee Funding report were developed for the fall 2009 release and
    made it into production in January 2010.
        During January 2009, the Accounting Department completed the fiscal
    year 2008 year-end process to close and reset revenue, expense, and
    budgetary general ledger accounts to zero. Currently, Accounting is in
    the process of testing the closing of fiscal year 2009 accounts which
    is expected to be done in the production environment the second week-
    end in February.
        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 of 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 10 months' worth
    of 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. In November, the Accounting Department was set up in the
    IRS Electronic Federal Tax Payment System, or EFTPS, and made the
    November and December Federal withholding tax payments electronically
    through this system. EFTPS will also be used to transmit the 2009
    fourth quarter 941 report to the IRS. 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 installed in 2008 that allow automated
    clearing house (ACH) payment of quarterly state taxes has resulted in a
    50 percent participation rate by taxing jurisdictions. Numerically, 21
    of 42 tax jurisdictions are receiving their quarterly state tax
    payments via ACH. The remaining 21 tax jurisdictions require a one-time
    ``Pre-Note'' to be transmitted prior to making ACH payments. The
    Accounting Department is working to get the remaining 21 tax
    jurisdictions set-up for ACH. 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 is working with the IT Department and SAA
    Technical Support Staff to research the feasibility of electronically
    distributing these reports.
        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 2008 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''.
    Work to finalize the implementation of the fixed asset system
    continues. Statements and other issues and priorities are 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. Because of a continuing
    resolution and a change in Administration in fiscal year 2009, the
    budget justification worksheets for fiscal year 2010 were mailed to the
    Senate accounting locations and processed in February and March 2009.
    The budget baseline estimates for fiscal year 2010 were reported to OMB
    by mid-March. The budget analyst is also responsible for the
    preparation of 1099 forms and the prompt submission of forms to the IRS
    before the end of the January.
    Accounts Payable: Vendor Administration (formerly Senate Automated
            Vendor Inquiry Section)
        The Vendor Administration 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, which was
    previously known as SAVI. SAVI was decommissioned, and the vendor
    tracking system was incorporated into Web FMIS. This section also
    assists the Information Technology (IT) department by performing
    periodic testing and by monitoring the performance of the vendor
    system, including the conversion from SAVI to Staffer Functionality in
    Web FMIS. Currently, more than 17,300 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 receipt. Besides updating
    mailing addresses, the section facilitates the use of ACH by switching
    the mode of vendor payment from paper check to electronic deposit.
    Whenever a new remittance address is added to the vendor file, a
    standard letter is mailed to the vendor requesting tax and banking
    information, as well as contact and e-mail information. If a vendor
    responds indicating they would like to receive ACH payments in the
    future, the method of payment is changed.
        The conversion from SAVI to Staffer Functionality was done in 2008,
    but SAVI was not decommissioned until 2009 as some offices still had
    records in the old system. All Web FMIS users are using the Staffer
    Functionality exclusively, and new offices are automatically
    established with it. 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
    for system user identification and passwords and for the reactivation
    of accounts. Employees may also request an alternative expense payment
    method. Employees can choose to have their payroll set up for direct
    deposit or paper check, but can have their expenses reimbursed by a
    method that differs from their salary payment disposition.
        The Vendor section works closely with the A/P Disbursements group
    to resolve returned ACH payments. ACH payments are returned
    periodically for a variety of reasons, including incorrect account
    numbers, incorrect routing numbers, and, in rare instances, a
    nonparticipating financial institution.
        During 2009, the Vendor section processed over 2,600 vendor file
    additions, completed more than 4,370 service requests, mailed
    approximately 2,000 vendor information letters, and converted more than
    650 vendors from check payment to electronic payment. The increased
    activity in service requests stemmed from an unusually large number of
    14 new offices. The Vendor section electronically scans and stores all
    supporting documentation of existing vendor records and new vendor file
    requests. When this section receives replies asking for ACH
    participation, the vendors are asked if they wish to be notified by e-
    mail when payments are sent. Currently, over 2,600 of the 3,200 ACH
    participants also receive e-mail notification of payment. Scanning and
    e-mail reduce the need for paper and envelopes.
        The Vendor section sent out 530 Web FMIS information e-mails to
    assist the IT department with the Staffer Functionality conversion. A
    mass mailing was sent to our 88 landlords, and 30 of them were
    converted to ACH payment as a result.
    Accounts Payable: Disbursements Department
        The Disbursements Department is the entry and exit point for
    voucher payments. The department physically and electronically receives
    all vouchers submitted for payment. It also pays all of these vouchers,
    as well as the items submitted by upload and the various certifications
    and adjustments that are submitted periodically. The department
    received 153,000 vouchers and paid an additional 26,000 uploaded
    expenses. All of these items were paid by the department via Treasury
    check or ACH. Multiple payments to the same payee are often combined.
    As a result, 22,600 checks were issued, while 62,780 ACH payments were
    required. The decreased check volume and increased ACH volume is a
    desired result as the department continues its efforts to substantially
    reduce reliance on paper checks.
        The checkwriter system was upgraded and is now incorporated into
    Web FMIS. The new functionality allows greater ease of access to
    payment schedules for COOP purposes, but still maintains the security
    necessary to prevent unauthorized use of the system. Payment schedules
    may be retrieved, but payments cannot be made without proper
    authorization.
        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. Files are maintained in-house for the current period and two
    prior periods, as space is limited. Older documents are stored in 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 conducted, and the department
    continues to work closely with warehouse personnel. Approximately 3,000
    vouchers involving POV travel needed to be retrieved to validate POV
    overpayments. Additionally several trips to the SSF were necessary to
    pull documents to meet the request of offices.
        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. The department maintains a spreadsheet that
    tracks cases of non-receipt of salary checks, including stop payment
    requests and re-issuances.
        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.
        The department also prepares the stop payments forms as required by
    the Department of the Treasury. Stop payments are requested by
    employees who have not received salary or expense reimbursements, and
    vendors claiming non-receipt of expense checks. This year, the PACER
    system was replaced by the Treasury Check Information System (TCIS).
    TCIS allows the department 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 2009, over 500
    requests were received for check copies. TCIS saves the Disbursing
    Office a $7.50 processing fee for each request, is Web-based, and is
    accessible from multiple workstations in Disbursing.
    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. Travel advances must be repaid within 30 days of
    trip completion, and petty cash advances must be repaid whenever new
    funding authority is established. Web FMIS accommodates the issuance,
    tracking, and repayment of advances. It also facilitates the entry and
    editing of election dates and vouchers for Senators-elect to ensure
    compliance of Senate Rules. In addition to other functionality, an
    advance type of petty cash was created and is in use. Regular petty
    cash audits are performed by the section and all petty cash accounts
    were successfully audited in 2009.
        The Accounts Payable Audit Section processed more than 152,600
    expense vouchers in 2009, as well as 26,400 uploaded items. Audit
    sanctioned more than 83,000 vouchers under authority delegated by the
    Senate Committee on Rules and Administration. This translates to
    roughly 13,800 vouchers processed per auditor, and 27,600 vouchers
    posted per authorized sanctioner. 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 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 are expected to be paid
    within 8 to 10 business days. In 2009, the average for Committee on
    Rules and Administration sanctioned items was 6 days and the average
    for Disbursing sanctioned items was 4 days.
        Uploaded items are of two varieties: certified expenses and vendor
    payments. Certified expenses have been around since the 1980's, and
    include items such as stationery, telecommunications, postage, and
    equipment. Currently, the certifications include 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 and state office rentals, and refund security deposits
    for the Senate Page School. The methodology is roughly the same as that
    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, which is consistent with the general policy of paying
    rent in advance.
        The Disbursing Office has sanctioning authority for vouchers of
    $100 or less, subject to post-payment audit by the Committee on Rules
    and Administration. These vouchers comprised approximately 54 percent
    of all vouchers processed and are usually paid within 5 business days.
    As in the previous year, Disbursing passed two post-payment audits
    performed by the Senate Committee on Rules and Administration, and no
    exceptions were found.
        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 expenses; and participated in seminars sponsored
    by the Secretary of the Senate, the SAA, and the Library of Congress.
    The section trained eight new administrative managers and chief clerks
    and conducted four 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 2009-1 and 2009-2
    were implemented, testing continued for a voucher imaging prototype,
    testing began for electronic invoicing, and all employee numbers have
    now been completely converted to a non-Social Security Number format.
        Web FMIS 2009-1 concerned the addition of certification language on
    vouchers, and field additions to the expense summary report, all of
    which save time for voucher preparers and auditors. This will also be
    helpful for the imaging and digital signature functionalities. Now that
    initial testing for imaging and electronic invoicing has been
    completed, discussions have begun in 2010 to revisit these initiatives.
    Digital signature functionality is essential for imaging to proceed.
    Information regarding laws and current and past practices has been
    gathered, so the next phase is to hold meetings with all concerned
    parties.
        One of the major benefits of electronic invoicing is a reduction of
    paperwork and postage, as the need for separate mailings of individual
    bills is not necessary. It also fits well into imaging. Major benefits
    of imaging are a reduction in paperwork as well as the elimination of
    physically receiving paper documents.
        The major functionality for Audit in Web FMIS 2009-2 was the
    creation of a Web-based contract tracking module to replace an existing
    legacy system. In addition to incorporating the data into the new
    system, additional functionality was established so that all AP Audit
    staff can access the system from their own workstations. Contracts can
    now be monitored and linked to their respective purchase orders and
    funding periods.
    Disbursing Office Information Technology
                Financial Management Information System
        The Disbursing Office Information Technology (IT) department
    provides both functional and technical assistance for all Senate
    financial management activities. Activities revolve around support of
    Web FMIS which is used by staff in 140 Senate accounting locations
    (i.e., 100 Senate personal 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). The group consists of six full time staff.
        Responsibilities of the department include:
      --supporting current systems;
      --testing infrastructure changes;
      --maintaining contact with system users to ensure their needs are
            met;
      --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 utilizes the support of a contractor, along with the SAA who
    are responsible for operational support and application development.
    The three organizations work cooperatively.
        Highlights of the year include:
      --implemented three releases of FMIS, including the first release of
            WebPICS, which provides a Web-based front end to ADPICS plus
            additional functionality that is being used by the SAA staff;
      --tested infrastructure changes that included upgrades to the
            mainframe operating system (Z/OS), the database (DB2), and Web
            Sphere;
      --supported the Senate Committee on Rules and Administration's post
            payment audit of a statistically valid sample of vouchers of
            $100 or less;
      --upgraded PC software throughout the Disbursing Office; and
      --conducted monthly classes and seminars on Web FMIS.
                Supporting Current Systems
        IT supports Web FMIS users in all 140 accounting locations, the
    departments in the Disbursing Office (e.g., Accounts Payable (A/P),
    Accounting, Disbursements, Vendor Administration 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 such as those 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 are
            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
            Committee on Rules and Administration audit staff selects a
            statistically valid sample of vouchers for $100 or less. In
            this way, the Committee on Rules and Administration audit staff
            review vouchers sanctioned under authority delegated to the
            Financial Clerk; and
      --Training--provide functional training to all Senate FMIS users.
                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. Activities for changes to the
    infrastructure include testing of all functionality prior to
    implementation and validating critical functionality post
    implementation. During 2009, the SAA implemented two major upgrades to
    the FMIS infrastructure. In addition, the SAA made regular micro-code
    updates, operating system ``maintenance'' releases, and maintenance for
    the virtual tape library.
                Maintaining Contact With System Users to Ensure Their Needs
                        are Met
        Communicating with our large user base is critical to providing the
    service that we provide. IT meets on a regularly scheduled basis with
    representatives from Accounting, A/P, and the SAA. In addition, IT
    meets with user groups as it gathers requirements for new
    functionality. Meetings are advertised, and users self-select to
    participate. This year, IT met with the administrative managers, chief
    clerks and their staff who prepare expense summary reports (ESRs) to
    discuss changes to the data entry for the ESRs; and SAA users who
    prepare requisitions, or who approve requisitions to discuss the
    functionality to be addressed in the first phase of ``WebPICS'', a Web-
    based front end to ADPICS with additional functionality developed to
    address SAA user needs.
        The administrative manager, chief clerk and ESR users pointed out
    the need for an ``itinerary wizard'' that would assist travelers enter
    an itinerary correctly. As a result, IT will develop a new ESR
    interface that enables travelers to enter expenses by date and have the
    system rearrange them into the four expense categories required by the
    Committee on Rules and Administration. This strategy will also build
    the itinerary based on the information provided. The functionality will
    be developed during 2010 and is scheduled to be implemented on a pilot
    basis in the FMIS 2010-2 release in the summer of 2010.
        WebPICS functionality for the SAA requisition and approver users
    was developed during 2009, and delivered in FMIS 2010-1, which was
    implemented in January 2010.
                Managing and Testing New System Development
        During 2009, IT supervised development, performed extensive
    integration system testing, and implemented changes to FMIS subsystems.
    The implementation and production verification activities were
    completed over a weekend in order to minimize system downtime to users.
    Since 2006, multiple sub-system upgrades have been consolidated into
    two or three 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
    2009, Disbursing implemented the following three major releases:
      --FMIS r2009-1, implemented in March 2009;
      --FMIS r2009-2, implemented in August 2009; and
      --FMIS r2010-1, implemented in January 2010.
        In addition, IT worked on functionality that will be included in
    future releases, of which one, the FMIS Imaging Product Analysis is
    especially important.
                    FMIS 2009-1
        FMIS 2009-1 was implemented in March 2009. The major new
    functionality delivered in this release related to the following four
    things:
      --Web FMIS reports, including the document print;
      --Improved document search features;
      --Real-time e-mail notification; and
      --Changes to the Expense Summary Report (ESR).
        The Web FMIS reports were re-written to provide such functionality
    such as drill downs from the summary level report to voucher detail
    level reports and to retire obsolete hardware and software. Additional
    report changes with this release included (1) adding a new unallocated
    subtotal at the end of the summary reports, so that the unbudgeted
    figure would be more clearly visible, and (2) defining the commuting/
    mass transit expense category codes as non-payroll expenses.
        The improved document search feature enabled searching on more
    criteria (e.g., a range of dates) and enabled printing documents from
    the search criteria. Using the search function to print documents
    created today with a single button click on ``today's documents'' was
    especially well received by the user community.
        The release included real-time e-mail for two functions: e-mail
    notification to a staffer that an ESR had been returned and e-mail
    notification to Disbursing requesting that a User ID be established for
    a staffer. Prior to this release the notification was done as part of
    the overnight batch process. Bringing these into real time solved two
    different problems. For the ESR return, it eliminated confusion for the
    staff getting an e-mail notice in the morning that an ESR had been
    returned when s/he may have already resolved the issue with the ESR the
    afternoon before. For the User ID request, it enabled Disbursing to
    respond more quickly to requests for establishing staff User IDs.
        The changes to the ESR were originally requested by the SAA Finance
    staff, but were applicable to all offices and include fields for
    providing additional information, such as the dollar amount of a travel
    advance, any charges that were paid on the office credit card, and a
    field for the signature of an office-level approver. It also corrected
    a problem with the calculation of POV mileage by requiring the entry of
    mileage in whole miles only.
                    FMIS 2009-2
        FMIS 2009-2 was implemented in August 2009. This release included a
    small number of enhancements for WebFMIS users, but was focused on
    implementing new functionality for the Disbursing staff, including:
      --Contract tracking--this functionality brings information previously
            tracked in a database into WebFMIS, with the added bonus that
            staff at the Committee on Rules and Administration can view the
            same information;
      --ADPICS document viewers--this functionality enables Disbursing
            staff to see, via Web FMIS, information on documents created in
            ADPICS, including requisitions, purchase orders and invoices.
            For the Disbursing A/P staff, these documents can be supporting
            documentation to a voucher;
      --The advance-related Web FMIS reports used by Disbursing were
            rewritten in new software;
      --Changes to the checkwriter software--these changes enabled us to
            integrate the checkwriter functionality into WebFMIS; and
      --Refresh several security pages used by the WebFMIS system
            administrators.
        Three items composed the major new functionality for Senate offices
    delivered in this release, including:
      --display of an additional category (``unallocated'') on the budget
            summary shown on users' home page, which matched the changes to
            the subtotals on the summary reports implemented in the prior
            release;
      --implementation of four new queries that are available as of prior
            months in the Reports/Reconciliation function, and as of now in
            the Reports/Main List function:
        --Certifications (Total):
        --Payroll (Total);
        --Documents Posted to FAMIS (DO Total);
        --Documents Posted to FAMIS (Office Total); and
      --implementation of eight new reports, the first four of which were
            especially appreciated by administrative managers:
        --Traveler Summary by Month;
        --Cross fiscal year Summary by Location;
        --Cross fiscal year Summary by Month;
        --Cross fiscal year Historical Projections;
        --Payroll and Non-Payroll Summary by DC vs. State Office;
        --Committee--Payroll and Non-Payroll Summary by Party and Location;
        --Committee--Payroll and Non-Payroll Summary by Location and Party;
                and
        --Leadership--Cross fiscal year Summary by Appropriation.
                    FMIS 2010-1
        FMIS 2010-1 was originally scheduled for implementation in December
    2009, but was moved to January 2010 in order to provide more testing
    time for the WebPICS functionality. This release included a small
    number of enhancements for WebFMIS users, but was focused on
    implementing the first of three planned releases for WebPICS. The
    WebPICS project enables SAA users to access ADPICS functionality
    through a web-based front end, and provides additional functionality,
    such as a robust search function. The SAA follows a structured
    procurement process that includes creating requisitions, creating
    purchase orders from requisitions, receiving goods, entering invoices,
    and creating vouchers from purchase orders. For many years, the SAA has
    used ADPICS, a mainframe system, to perform these activities. This was
    especially difficult for occasional users. Using a variety of
    technologies, the WebPICS project replaces use of ADPICS with access to
    user-friendly web pages. This release focused on the needs of
    requisitioners and requisition approvers, who are occasional users, and
    included:
      --a robust requisition search function, through which a user can find
            a requisition, its related purchase order, any change orders,
            and the document's history, by entering minimal information,
            such as the create date, the commodity code used, by whom it
            was created or the department for whom it was created;
      --links to purchase orders via a viewer that formats mainframe data
            into web pages;
      --a streamlined requisition create function that displays data from
            multiple ADPICS screens on three tabs--basic information on the
            header tab; what is being requested and who will pay for it
            (i.e., commodity information, commodity specifications, and the
            accounting information) on the items tab; and additional
            information for the vendor on the terms tab;
      --a streamlined requisition change order function that shows, on the
            same page, the old information and the new information;
      --look-up tables for selecting, rather than entering, information
            such as commodity codes and accounting codes when searching for
            and creating requisitions; and
      --use of the existing Web FMIS inbox to identify, check out, view,
            and approve or reject requisitions.
        A pilot of SAA requisitioners and requisition approvers began using
    WebPICS in early January. Based on feedback from users involved in the
    acceptance testing as well as a few others who have seen the new
    application, the SAA staff is excited about using WebPICS. Additional
    users will be trained beginning in February; all requisitioners should
    be using the new functionality by the summer of 2010. The second
    release will focus on the SAA Accounts Payable process (e.g., receipt
    of goods, invoice processing and approval, voucher creation, and
    approval). The third release will focus on purchase order creation and
    approval.
        The functions in the 2010-2 release for WebFMIS users included:
      --an automated password reset feature available for all users--by
            selecting and answering security questions users who forget
            their passwords will be able to reset their passwords and
            receive the temporary password via e-mail;
      --online travel expense summary report (ESR) and the 60-day
            moratorium rule for ESR users--the online travel ESR will warn
            staffers when their travel expenses violate the 60-day
            moratorium;
      --graphs on summary reports for administrative manager and chief
            clerk users--four of the summary reports now display two pie
            charts of information; the first shows payroll vs. non-payroll
            expenditures; the second pie chart shows six pieces of non-
            payroll expenditures: the top five non-payroll expense
            categories and one with all other expense categories combined;
            and
      --electronic invoicing for credit card charges for use by
            administrative manager and chief clerk users--with this release
            we have begun a pilot of making credit card invoices received
            electronically from the Senate's credit card vendor available
            via Web FMIS for use in easily creating vouchers. This
            functionality is similar to the ESR ``import'' functionality
            and users are able to select some or all charges and create a
            voucher with minimal typing.
                FMIS Imaging Product Analysis
        During 2008, Disbursing implemented a prototype imaging system in
    which paper vouchers and supporting documentation were imaged by
    Disbursing staff and routed electronically. The hands-on experience of
    this prototype was especially useful in refining system requirements.
    The work begun in 2009 and to be completed in 2010 revolved around
    selecting software for the image database and image viewer, and to
    finalize imaging and electronic signature requirements. During 2010
    this information will be used in planning necessary software purchases
    and coordinating with a separate SAA smart card ID project. The smart
    cards will be used for electronic signatures.
                Planning
        The Disbursing IT department performs two main planning activities:
      --Schedule coordination--planning and coordinating a rolling 18-month
            schedule; and
      --Strategic planning--setting the priorities for further system
            enhancements.
                    Schedule Coordination
        In 2009, this department continued to hold two types of meetings
    between Disbursing and the SAA 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 meetings--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
    18-month timeframe of the technical meeting schedule. It is designed to
    set the direction and priorities for further enhancements. In 2002 a
    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, this will implement new technology, including imaging
            and electronic signatures, in order to reduce the Senate's
            dependence on paper vouchers. This will enable the 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.
        We have almost completed these objectives and during 2009 held
    meetings to ``envision the future.'' The implementation of a new
    payroll system will require substantial changes to current systems,
    including the interface from payroll into the General Ledger (FAMIS) of
    payroll expenditures and projections, the interface from the payroll
    system into the master vendor file (in FAMIS), and the payroll reports
    provided to the offices via Web FMIS. Additionally, Disbursing is
    beginning to investigate the issues around replacing the Senate's
    General Ledger and procurement systems (FAMIS and ADPICS) with software
    that runs on a server instead of a mainframe.
                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 2009, the following two new task orders were
    executed:
      --Service Year 2010 extended operational support, which covers
            activities from September 2009 to August 2010; and
      --FMIS Imaging Product Analysis, which will help Disbursing determine
            what software will be used for paperless voucher processing,
            including managing images, viewing images, annotating images
            and reading smart cards, which will have a component of the
            electronic signature.
        In addition, work continued under three task orders executed in
    prior years:
      --Imaging and signature design and electronic invoicing enhancement
            continuation;
      --Web FMIS reporting enhancements; and
      --Service year 2009 extended operational support (covered activities
            from September 2008 to August 2009).
                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 used by the rest of the
    Secretary's Office. It is used by over 50 staff. Upkeep of the LAN
    infrastructure, including performing routine daily tasks and replacing
    equipment regularly, is critical to providing services. During 2009,
    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:
      --upgrading PC software on Disbursing Office desktop and laptop
            computers;
      --installing a client/server version of Reveal, software used to view
            mainframe reports;
      --installing new laptops for COOP users; and
      --managing seven blackberry devices.
                    Installing Specialized Software
        During 2009, the IT staff transitioned its processes to Senate-
    supplied software, which improved efficiency and improved communication
    with the SAA technical staff. The improved processes include:
      --Problem Reporting.--Began using new software to report problems
            with FMIS, improving the IT staff's efficiency; the SAA staff
            testing WebPICS were able to enter their own problem reports.
      --Migration Management.--We began to use an electronic review/
            approval function in SharePoint for management of documents
            relating to migration of software (e.g., the DO approval for
            software to be migrated from acceptance to production). This
            required establishing a one-way trust to the SAA domain for
            access to a server available to the SAA, our support vendor,
            and now the DO staff.
                    Maintaining Projects for Payroll and Employee Benefits
                        Sections
        Disbursing continued to support the Payroll/Benefits imaging system
    developed by SAA staff. This system electronically captures and indexes
    payroll documents submitted at the front counter, and is critical for
    the Payroll and Employee Benefits sections. During 2009, a new version
    of this software was installed. In addition, IT worked with the SAA
    Network Operations staff to establish point-to-point security for
    access to CLER, a benefits validation service.
                Coordinating the Disbursing Office's Disaster Recovery
                        Activities
        In prior years, the Disbursing Office and the SAA have conducted a
    FMIS-only disaster recovery test during the year. As in previous years,
    the 2009 test was scheduled to include fail-over of our systems to the
    ACF, activity at the ACF, and a new activity, fail-back of the changed
    production data. This testing did not occur during 2009, but Disbursing
    anticipates testing will occur in August 2010.
                             administrative offices
                          chief counsel for employment
        The Office of the Senate Chief Counsel for Employment (SCCE) is a
    non-partisan office established in 1993 at the direction of the Joint
    Leadership 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), as amended, Senate
    offices became subject to the requirements, responsibilities and
    obligations of twelve employment laws. The CAA also established the
    Office of Compliance (OC). Among other things, the OC accepts and
    processes legislative employees' complaints that their employer has
    violated the CAA.
        The SCCE is charged with the legal defense of Senate offices in all
    employment law cases at both the administrative and court levels. Also,
    on a daily 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 at
            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) compliance;
      --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; Alternative Dispute Resolutions
        The SCCE defends each of the Senate employing offices 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.
    Compliance with the OSHA and the ADA
        The CAA mandates that, at least once each Congress, the OC shall
    inspect each Senate office to determine whether each office is in
    compliance with the OSHA and the public accommodation portion of the
    ADA. The CAA authorizes the OC to issue a public citation to any office
    that is not in compliance.
        The SCCE provides legal assistance and advice to each Senate office
    to ensure that it is complying with the OSHA and the ADA. The SCCE also
    represents each Senate office during the OC inspections and advises and
    represents each Senate office when a complaint of an OSHA or ADA
    violation is filed against the office or when a citation is issued.
        In 2009, the SCCE pre-inspected 4,976 Senate rooms to ensure that
    Senate offices are complying with the ADA and the OSHA. Inspections
    included all member offices in the Hart, Dirksen and Russell buildings,
    and offices and work spaces of other buildings used by the Office of
    the Sergeant At Arms and the Office of the Secretary of the Senate.
        The SCCE is very proud of the safety record in the Senate offices.
    During 2009, the enthusiasm and participation of Senate offices in
    SCCE's safety pre-inspection program resulted in 64 Senators receiving
    Safe Office Awards for perfect safety records. Other Senate offices had
    no significant OSHA or ADA problems.
    Management Training Regarding Legal Responsibilities
        The SCCE regularly conducts legal seminars for the managers of
    Senate offices to assist them in complying with employment laws,
    thereby reducing their liability.
        In 2009, the SCCE gave 90 legal seminars to Senate offices,
    including, among others:
      --The Congressional Accountability Act of 1995: Management's Rights
            and Obligations;
      --Laws You Must Follow When Setting Up and Managing Your Office;
      --Understanding Sexual Harassment in the Workplace;
      --Dealing with Harassment Complaints and Avoiding a Hostile Work
            Environment;
      --A Manager's Guide to Complying with the Family and Medical Leave
            Act;
      --Hiring the Right Employee: Advertising and Interviewing;
      --Avoiding Legal Landmines in Your Office 2009; and
      --Military Service Academies Interview Training.
        The SCCE also conducted a series of monthly seminars covering all
    major employment laws that govern Senate offices. The SCCE just
    completed its second year of this widely-attended seminar series. The
    purpose of the seminars is to educate all Senate management staff about
    their responsibility to ensure that their respective offices comply
    with the CAA. The series is open to all chiefs of staff, staff
    directors, administrative directors, chief clerks and office managers.
    Individuals who complete the series receive a certificate of completion
    signed by the Secretary of the Senate. The following topics were
    covered:
      --An Overview of the Congressional Accountability Act;
      --$1,000 Fine Per Employee: Is Your Office Meeting Its Legal
            Obligations Under the I-9 & E-Verify Laws?;
      --Overtime Pay: Who is Owed It, and How is It Calculated?;
      --Diversity in the Workplace: Lessons Learned from Dunder Mifflin;
      --He Interviewed So Well . . . And Then We Saw His Facebook Page: How
            to Interview and Check the Backgrounds of Job Applicants;
      --The Family and Medical Leave Act: When Do Employees Get FMLA Leave,
            and How Much Do They Get?;
      --Evaluating, Disciplining, and Firing Employees without Violating
            the Law;
      --The Americans with Disabilities Act: What Managers Must Know about
            Complying with the Law;
      --You Can't Act that Way in Our Office: Dealing with Harassment
            Complaints and Avoiding a Hostile Work Environment; and
      --Common Employment Law Mistakes Managers Make.
        The SCCE, working with Chiefs of Staff and Administrative Directors
    of member offices, created and added new content to its Web site
    targeted exclusively to chiefs of staff, staff directors,
    administrative directors and chief clerks of incoming members to
    facilitate the opening of the new members' offices in compliance with
    employment laws. The Web site was used extensively.
    Legal Advice
        The SCCE meets daily with members, chiefs of staff, administrative
    directors, office managers, staff directors, chief clerks and counsel
    at their request to provide legal advice. For example, on a daily
    basis, the SCCE advises Senate offices 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 the OSHA;
    and management's obligation to give leave to employees for military. In
    2009, the SCCE had over 3,428 client legal advice meetings.
        Also, the SCCE provides legal assistance to Senate offices to
    ensure that their office policies, job descriptions, interviewing
    guidelines and performance evaluation forms comply with the law. In
    2009, the SCCE prepared or significantly revised 154 policy manuals for
    member offices.
    Union Drives, Negotiations and Unfair Labor Practice Charges
        In 2009, the SCCE provided guidance to managers and supervisors
    regarding their legal and contractual obligations under union
    contracts.
    Environmental, Cost and Space Savings
        In 2001, the SCCE became the first Senate office to convert to a
    ``paperless'' office, which has greatly reduced paper usage by
    minimizing the need for copying documents and storing hard copies. In
    2009, the SCCE undertook a new project to further benefit the
    environment, cut costs, and clear office space. This project involved
    eliminating 50 percent of the office's hard copy legal books and
    reference documents through a combination of scanning and converting to
    electronic books. In addition to benefiting the environment, this
    project resulted in a cost savings of over $6,000 annually and freed
    129 square feet of valuable office space.
                         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.
        For the past 26 years the Office of Conservation and Preservation
    has bound a copy of Washington's Farewell Address for the annual
    Washington's Farewell Address ceremony. In 2009 a volume was bound and
    read by Senator Mike Johanns.
    Senate Library
        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. Conservation of a
    7,000 volume collection of House hearings start that same year, and in
    2009 conservation treatments were completed for 70 volumes of the
    collection. Specifically, treatment involved recasing each volume as
    required, using alkaline end sheets, replacing acidic tab sheets with
    alkaline paper, cleaning the cloth cases, and replacing black spine
    title labels of each volume as necessary. The Office of Conservation
    and Preservation staff will continue preservation of the remaining
    3,583 volumes.
        The Office of Conservation and Preservation staff assists the
    Senate Library with technical issues involving books being sent and
    returned from the Government Printing Office's (GPO) Library Binding
    section. The Senate Library sent 468 books to the Library Binding
    section for binding. The GPO has been returning books to the Senate
    Library on schedule.
        Conservation and Preservation assisted the Senate Library with one
    exhibit located in the Senate Russell building basement corridor. In
    addition, the staff assisted the Curator's Office with preparing for
    the installation of Henry Clay in the U.S. Senate in the East Brumidi
    Stairway.
    Preservation
        The Office of Conservation and Preservation staff completed 173
    volumes of House and Senate hearings and Congressional Records for the
    Senate Library. These books were rebound with new end sheets and new
    covers using the old spines when possible.
    Objectives for 2010
        Continue with the preservation work on the approximately 3,600
    remaining volumes of the of House committee hearings collection in the
    Senate Library. Monitor the temperature and humidity in the Senate
    Library storage areas and other Senate collection storage areas.
        Continue training six Senate Library staff members for repairing
    Senate Library materials at the warehouse. The six Senate Library staff
    are showing progress in book repair.
        Begin work on fifteen old books in the Office of the Senate Curator
    collection that require phased box conservation for storage.
        Continue training the Assistant Conservator in conservation
    techniques of books and paper. The Assistant Conservator is steadily
    progressing in learning these conservation techniques.
        Continue to update aging equipment in the office.
                                    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 Trent Lott by artist Steven Polson was
    unveiled in the Old Senate Chamber on September 16, 2009, as part of
    the Senate Leadership Portrait Collection. A portrait of Senator Bill
    Frist is underway and will be unveiled in 2010.
        One hundred and four objects were accessioned this year into the
    Senate collection, including four Senate Chamber gallery passes; 69
    artifacts from the 2009 Presidential Inauguration; 15 examples of pins
    from the Secretary of the Senate's Service Award program; tickets from
    various Joint Sessions of Congress held during the 1st session of the
    111th Congress; an envelope franked by Senator Charles Sumner; two
    stereo views of the Supreme Court Chamber (when the Court met in what
    is now the Old Senate Chamber); tickets from the Senate Nomination
    Hearing for Sonia Sotomayor as Associate Justice of the Supreme Court
    of the United States; and an historic porcelain shaving mug once used
    by Senator Frederick George Payne of Maine in the Senate's barber shop.
        Forty-one new foreign gifts were reported in 2009 to the Select
    Committee on Ethics and deposited with the Curator on behalf of the
    Secretary of the Senate. The Office maintains 240 foreign gifts, which
    are catalogued and maintained by the office in accordance with the
    Foreign Gifts and Decorations Act. Appropriate disposition of 38
    foreign gifts was completed following established procedures.
        Implementation of a plan to provide expert care for the Senate's
    collection of historic clocks began in 2009. A clock expert conducted
    on-site maintenance for the clocks, starting with those in greatest
    need of care. By December 2009, all of the working clocks had received
    general maintenance, except for two that received complete
    conservation, and two others scheduled for conservation in 2010.
        In 2008 the office conducted a comprehensive survey of original
    Russell Senate Office Building furniture located in Senate spaces of
    the Capitol and Senate office buildings. The survey resulted in the
    identification and location of 1,133 furnishings made for the Senate's
    first office building. Of particular interest to Senators and staff are
    the flat-top desks, 60 of which are still in use today. In 2009 the
    office launched a yearly desk survey program to document the occupant
    of each desk. Results are recorded in a database and can be easily
    queried for interested Senators and staff. In addition, the search for
    Russell furniture located in private collections, museums, and
    libraries continued: a total of 56 furnishings (18 more than last year)
    were identified.
        Following conservation treatment, nine Senate collection objects,
    eight historic Russell furniture pieces, and the painting, Henry Clay
    in the U.S. Senate, by Phineas Staunton, were professionally
    photographed for documentation, disaster preparedness, use on
    Senate.gov, and publications promoting the Senate's collections.
        The last phase of an environmental monitoring program in the two
    Curator storage rooms of the Capitol Visitor Center (CVC) was completed
    with the addition of electronic monitors. The monitors record
    temperature and relative humidity in the rooms and send alarms when the
    environment exceeds the desired temperature and humidity ranges.
    Environmental monitors are already present in the Curator spaces in the
    Capitol and the Senate Support Facility. Unlike the old paper system of
    recording temperature and humidity, these new monitors gather data
    remotely and more frequently. In addition, the monitors send out alarms
    to staff who can then immediately address the conditions or problems.
    The environmental monitors are critical in protecting and preserving
    the Senate's collections and maintaining proper storage environments.
        The Curator's Office continued to work with CVC project staff and
    Architect of the Capitol (AOC) representatives to resolve problems in
    the new CVC storage spaces. In June, the AOC determined that the HVAC
    equipment installed in the storage rooms was not capable of meeting
    environmental requirements and needed replaced. The design for new
    equipment is underway, and installation is expected to be completed by
    summer 2010.
        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 Senate Committee on Rules and Administration. The inventories,
    which are submitted every 6 months, are compiled by the Curator's
    Office with assistance from the Senate Sergeant at Arms (SAA) and AOC's
    Senate Superintendent.
        The office focused attention on the protection of the Senate's
    historic mirror collection. A plinth program was instituted, so now all
    mantel mirrors de-installed for conservation are outfitted with a
    protective plinth. By raising the mirrors from the mantels and creating
    a larger footprint, the plinths shield the mirror frames from spills,
    damage from objects displayed on the mantels, and routine dusting. To
    date, 10 mirrors have been furnished with plinths that meet the new
    design standard. The office also outlined display guidelines to better
    protect the mirrors, and cleaned four mirrors.
        The Curator's staff created a first-of-its-kind Senate fragment
    collection. Examples of such objects being considered for the
    collection include various carpet and curtain samples, fireplace
    inserts and removed state seals from the Leadership suites, This new
    collection preserves original, unique, significant, and informative
    objects that are removed from the Capitol. The collection will serve as
    a resource for future research, enhance knowledge of the Senate, and
    heighten understanding of the architecture, ornamentation, and
    decoration of the Capitol.
    Conservation and Restoration
        The complex conservation treatment required to restore the
    monumental painting, Henry Clay in the U.S. Senate, by Phineas
    Staunton, was completed in May 2009. The painting and frame were then
    reassembled in the conservation studio for the first time in more than
    50 years. Created in 1865 for a competition it did not win, the
    portrait is one of three known paintings showing the Senate meeting in
    the Old Senate Chamber. It subsequently fell into obscurity until 2006
    when it was rediscovered in a New York historical society storage area
    scheduled for renovation and then donated to the Senate. In order to
    access the Capitol, the frame was disassembled and carried up the East
    Front steps separately from the canvas. Final assembly took place on a
    scaffold-supported platform in the East Brumidi stairwell, where the
    painting is now prominently displayed. As part of the project, custom
    lights were fabricated and installed in the stairwell to create optimum
    viewing of the painting from the second floor landing.
        In addition to the regular maintenance required to keep the
    Senate's historic clocks working properly, conservation treatment is
    occasionally necessary to thoroughly clean all working parts and
    replace material that has worn away. A condition assessment completed
    in 2008 identified those clocks in greatest need of treatment to
    prevent serious damage from occurring. Two clocks, the Simon Willard
    gallery clock purchased for the Supreme Court in 1837, and the mahogany
    floor clock purchased for the President's Room in 1887, were conserved
    in 2009. The Willard clock is particularly historic, and research into
    the lore surrounding the clock's significance as a timepiece for the
    justices is ongoing in the Curator's Office, to support its
    interpretation for the public.
        Continuing to address the most critical conditions in the 94
    mirrors that compose the Senate's mirror collection, the office
    completed conservation treatment of four mirrors. The frames required
    comprehensive conservation: structural issues were repaired;
    inappropriate previous work was removed; losses were filled; and the
    gesso, a plasterlike substance used to prepare surfaces for coatings,
    was cleaned, repaired, and gilded. In order to minimize the impact to
    offices caused by sending mirrors out for conservation, the Curator's
    Office acquired two suitable contemporary reproduction mirrors to fill
    the voids. Senate offices appreciated this solution and it has helped
    conservation scheduling.
    Historic Preservation
        The Senate's historic preservation program, established 10 years
    ago, seeks to formulate a solid preservation policy reflective of the
    Senate's interests and the need to preserve the Capitol's historic
    fabric and historical artistic intent. Through various initiatives, the
    preservation program has positioned itself as a valuable resource for
    the Senate, ensuring that all projects are carefully considered and
    weighed in light of sound preservation practices.
        The Curator's Office continued to work closely with the AOC and the
    SAA to review, comment, plan, and document Senate side construction
    projects (many of which are long-term initiatives) that involve or
    affect historic resources. Construction and conservation efforts that
    required considerable review and assistance included: the Brumidi
    corridor mural conservation and scagliola conservation. Through this
    work, the Curator's Office was able to ensure that the highest
    preservation standards possible were applied to all Capitol projects.
        The staff also originated several building projects in order to
    repair existing damage and minimize future loss. On the second floor,
    the office worked with AOC craftsmen to repair areas of the historic
    mosaic floor tile that were missing. The holes created by the missing
    tiles resulted in a situation where tiles continued to become dislodged
    by carts and other foot traffic at an alarming rate. The in-kind
    replacement restored the aesthetic of the floor and stopped the loss of
    significant building fabric. Similarly, the Curator's Office worked
    with the AOC shops to construct a picture rail in the Strom Thurmond
    Room in order to protect the Senate's last remaining example of a 1900
    wall canvas. Prior to the installation of the picture rail, which was
    custom designed to be minimally intrusive, the wall canvas was
    routinely damaged by picture nails.
        In response to longstanding concerns about the appearance of and
    wear to public spaces and reception areas, Curator's Office formed a
    working group to identify the causes of incidental damage and devise
    workable solutions. The group is using the Lyndon B. Johnson Room as a
    pilot space. The group is also looking at various utilitarian items in
    public spaces in an attempt to refine the aesthetic of the building.
        The challenging Senate Reception Room restoration and
    rehabilitation project, developed by the Senate Curator and the AOC
    Curator, has successfully moved forward. Following paint analysis,
    large exposures of the original trompe l'oeil and Greek key patterns
    were revealed in an effort to determine the extent of remaining
    original paint, its condition, and the ability to remove the overpaint.
    The Senate Reception Room Advisory Board met in July to consider the
    issues and offer recommendations. During testing performed on the gold
    elements in the room, the staff discovered that the decorative
    plasterwork was originally gilded with brilliant, shiny gold leaf. The
    gilded surfaces are undergoing treatment testing to determine the best
    course of action. Aside from looking at the wall decoration, the
    Curator considered the state of the Reception Room furniture. A
    condition assessment of the eight historic benches purchased in 1899
    for the room was completed, and the desk and cabinetry in the adjacent
    stair landing are being redesigned to improve functionality and
    appearance.
        At the 2009 meeting of the Senate Curatorial Advisory Board, the
    staff presented the panel with several restoration issues related to
    the Old Senate Chamber. Board members responded with invaluable advice
    on the historic nature of the room, and its importance as an historic
    restoration and as a cultural icon for the American people and the U.S.
    Senate. This feedback will provide a sound basis for the Curator to
    develop long-term strategies and policies for the future
    interpretation, preservation, and management of this historic space.
    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. The office staff worked closely with the U.S.
    Capitol Police to continue procedures developed to record the after-
    hours access to the historic chambers by current members of Congress.
    Fifty-eight requests were received from current members of Congress for
    after-hours access to the Old Senate and Old Supreme Court Chambers.
        By order of the U.S. Capitol Police, the Old Senate Chamber was
    closed to visitors after September 11, 2001. However, in February 2009,
    the Senate Leadership (as Leaders of the Senate Commission on Art)
    approved the opening of the room to Capitol Guide and staff-led tours
    during week days. For the last 7 years the Old Senate Chamber was only
    open to the public when the Senate was in recess for a week or more.
        The re-enactment swearing-in ceremonies for Senators elected during
    the 111th Congress were of special significance in the Old Senate
    Chamber. In addition, various filming occurred in the historic chambers
    throughout the year for educational projects. Of particular interest
    was the filming in the Old Supreme Court of certain scenes for the
    Seventh Circuit Bar Association in Chicago, Illinois, for a symposium
    titled Abraham Lincoln--His Legal Career and His Vision for America.
    Chief Justice John Roberts provided the narration of the Supreme Court
    case Lewis v. Lewis, which was argued in the room by Abraham Lincoln in
    1849.
    Loans To and From the Collection
        A total of 57 historic objects and paintings are currently on loan
    to the Curator's Office on behalf of Senate leadership and offices in
    the Senate wing of the Capitol. The staff returned four loans,
    coordinated 13 new loans, and renewed loan agreements for 37 other
    objects. 19 loans are projected to be renewed next year.
        For the 2009 Inaugural Luncheon, the Curator's office facilitated
    the loan of the New-York Historical Society's painting by Thomas Hill,
    entitled View of Yosemite Valley, to the Joint Congressional Committee
    on Inaugural Ceremonies. The Curator's staff was also responsible for
    coordinating the loan of the Lincoln Table from the Massachusetts
    Historical Society, the Eagle Podium from the Daughters of the American
    Revolution, and the Lincoln Bible from the Library of Congress for the
    Inaugural Luncheon.
        The official Senate chinaware was inventoried and used at 23
    receptions for distinguished guests, both foreign and domestic. The
    Secretary's china was inventoried and used at seven receptions. It was
    used for the Inaugural luncheon.
    Publications and Exhibitions
        In March of 2009, offices of the Secretary of the Senate and AOC
    came together to celebrate the 100th anniversary of the Richard B.
    Russell Senate Office Building. Several initiatives planned for the
    event were unveiled, including: the installation of informational
    panels at locations throughout the building highlighting the social and
    architectural history of various spaces; a publication and poster on
    the historic furnishings; an exhibition in the Russell basement rotunda
    showcasing nine restored original furnishings; various merchandise
    available at the Senate Gift Shop; as well as lectures and tours. The
    office also published an extensive exhibit on Senate.gov featuring
    hundreds of historic images of the Russell building and its
    construction from the collections of the AOC, Library of Congress, and
    Senate Historical Office. The exhibit traces the construction progress
    as documented by official photographers, and presents various aspects
    of life in the building during its early years.
        A second major Web exhibit educates the Senate community and the
    public about the history, rediscovery, and conservation of the
    monumental painting Henry Clay in the U.S. Senate by Phineas Staunton.
    The Web site details the history of this significant portrait, and
    contains interactive links to lead the viewer through the ``before''
    and ``after'' phases of restoration as well as a thorough comparison of
    ``then'' and ``now'' images of the historic Old Senate Chamber, the
    setting for the painting. The site also features a 20-minute video
    documentary about the painting and its restoration, produced by the
    Curator's Office in conjunction with the Senate Recording Studio and
    Senate Photographic Studio.
        The Curator's staff updated the Senate Chamber Desk Web site with
    the new map for the first session of the 111th Congress, as well as
    posting maps for all recently appointed Senators. In addition, 261
    historic chamber seating maps (26th Congress to 106th Congress) from
    the Congressional Directory were added to the site with the assistance
    of the Senate Library; and two new stories were developed: A Record-
    Setting Filibuster by Strom Thurmond, and Thomas Constantine,
    Cabinetmaker.
        Unveiling and artifact pages were created for the paintings of
    Senators Daschle and Lott; an online exhibition was posted highlighting
    the Senate's collection of 72 Senate Chamber gallery passes dating back
    to 1890; a feature exhibit was completed on the Senate Leadership
    Portrait Collection; and staff contributed to the Joint Congressional
    Committee on Inaugural Ceremonies Web site by providing information on
    the painting borrowed for the 2009 Inaugural Luncheon also on
    Senate.gov.
        The office staff worked with the Government Printing Office (GPO)
    to develop a comprehensive series of exhibit signs for the Hart
    Building atrium to interpret Alexander Calder's Mountains and Clouds.
    The signs will be fabricated and installed in 2010.
        Five brochures were updated and reprinted during 2009: The U.S.
    Senate Appropriations Committee; The U.S. Senate Foreign Relations
    Committee; The Old Senate Chamber, 1810-1859; The U.S. Senate
    Republican Leader's Suite; and The Vice Presidential Bust Collection.
    As part of an ongoing program to provide more information about the
    Capitol and its spaces, GPO created digital files of the new
    publications and added them to the Senate's Web site.
        At the direction of the Committee on Rules and Administration, the
    Curator's staff supervised the fabrication and installation of a bronze
    plaque outside Room 713 of the Hart Senate Office Building, the former
    office of Senator Barack Obama, commemorating his Senate service. This
    plaque is similar to five other plaques previously placed in the
    Russell Senate Office Building to identify the offices of Senators who
    later became President. Also at the request of the Rules Committee, and
    pursuant to S. Res. 53, the office commissioned a bronze plaque
    honoring the work of African-American slaves in building the U.S.
    Capitol. The plaque will be installed in the third floor east front
    connecting corridor of the Senate wing, where a portion of the
    Capitol's original 1800 exterior wall can be seen.
    Collaborations, Educational Programs, and Events
        The Curator's staff assisted the National Archives again this year
    with two exhibits for display in the vault at the Center for
    Legislative Archives. Several objects from past Presidential Inaugural
    Luncheons were installed, and in July, objects related to the Senate
    Chamber went on display in honor of the room's 150th anniversary.
        The Curator and staff assisted with numerous CVC-related projects
    throughout the year. The Curator, Associate Curator, and Administrator
    provided support for the Congressional Historical Interpretation
    Program (CHIP), attending planning meetings and presenting lectures to
    congressional staff at the 1-day and 2-day programs; assisted with
    brief question and answer sessions to the Capitol Guides to better
    inform them on Senate art and history; contributed to the development
    of the new e-learning program; and at the request of the CVC oversight
    for the Senate, the Senate Committee on Rules and Administration,
    continued to work closely with the House Curator and AOC Curator to
    review products and publications for the CVC gift shop.
        Other joint congressional projects included planning and review for
    the Rosa Parks statue and participating in the Slave Labor Task Force
    Working Group assigned to develop solutions to Congress' recommendation
    to honor slave labor in the Capitol.
        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 with the Secretary's Senate staff lecture and
    tour series and were regular contributors to Unum, the Secretary's
    newsletter.
    Office Administration and Automation
        In the area of file management, the Curator's staff continued work
    on the electronic files by applying a new file matrix organization and
    file naming protocols. This standardization and consistent records
    collation will greatly improve the usability of the office resources,
    streamline office record keeping, and enhance research efforts. The
    office reviewed the video media collection and developed a disposition
    plan to convert essential footage to standard preservation medium.
    Additionally, the collection database was reviewed and assessed by an
    outside contractor which resulted in a reconfiguration of the artist
    database, updates to loans and inscriptions, and the creation of an
    object maintenance table. This work will allow more efficient searching
    capabilities, a stable database, and an easier way of transferring
    information into reports.
        In the area of continuity of operations (COOP) planning, all new
    loan agreements were digitized in PDF format for easy retrieval off-
    site, and a map noting the current location of loaned objects was
    created to allow quick identification of loans that may be affected in
    an emergency situation. The Curator's Office also greatly increased its
    COOP-readiness through the assignment of remote desktop access for all
    staff members. The office also participated in the Secretary's pilot
    pandemic response tests in preparation for the full implementation of
    the plan. In conjunction with this and COOP preparedness, the office
    conducted several table top and work-at-home exercises to test
    readiness.
        The Curator's Office, in conjunction with the Office of Web
    Technology, posted the newly redesigned Senate Art Web site. Visitors
    to the site may now explore the Senate's art and historical
    collections, online exhibits, and publications using an interface that
    is more intuitive and that allows better access to Senate art
    resources. In addition to being more user-friendly, the new site's
    information architecture has been reconfigured to enable easier updates
    and expansion, permitting the addition of more categories and enhancing
    the ability to feature specific subject-related aspects of the
    collections. For the first time, the more than 1,000 graphic art images
    in the Senate collection are now available online.
        Staff from the Office of Police Operations, Security and Emergency
    Preparedness provided the Curator's Office with nine personalized
    emergency training classes this year. The training enhanced staff
    emergency preparedness skills, awareness, and readiness. The office
    emergency action plan was updated and processed into the new format
    required by the SAA, and new emergency action plans were created for
    the office's two collection storage rooms in the CVC.
        The 111th Congress Senate Curatorial Advisory Board was empanelled.
    Two new and 11 returning members were welcomed at the first meeting
    held in November. Composed of respected scholars and curators, this 13-
    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.
    Objectives for 2010
        The Curator's staff will continue to confer 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 bulk of the
    office's project management will involve advancing the restoration and
    rehabilitation of the Senate Reception Room. Specific efforts to be
    addressed in 2010 include updating the Senate Reception Room Advisory
    Board and the Senate community on the wall decoration and gilding
    treatment studies; working with the AOC to outline and implement a
    treatment approach and schedule for the walls (paint and gilding);
    conserving eight historic benches; and testing the functionality of
    different furnishings. The Curator's staff will also work with the AOC
    to devise a restoration treatment plan and schedule for the murals and
    historic wall canvas in the Strom Thurmond Room. The office has
    monitored this highly significant space for many years and now has the
    opportunity to study the materials and outline a thoughtful course of
    action to restore this lone remaining example of artist Elmer Garnsey's
    1900 work in the Capitol.
        Regarding the historic chambers, the Curator's Office will
    undertake a review of the 1970s restoration efforts in the Old Senate
    and Old Supreme Court chambers, looking at the decisions made, the
    research conducted, and the restoration justifications. The
    investigative findings will be placed within the context of 1970s
    preservation philosophy but will be critiqued by current preservation
    standards. This research project will greatly expand the staff's
    knowledge of the historic chambers and will highlight areas for further
    study. In addition, it will provide the basis for much needed paint,
    plaster, and drapery repairs, tentatively scheduled for 2011, and will
    help determine if there are opportunities for improving the
    interpretation of the room.
        The conservation and preservation of the Senate's collection
    continue to be a top priority, and several projects are planned for
    2010. Two of the Senate's most historic clocks are scheduled for
    conservation treatment. Both the case and the clock mechanism of the
    ``Ohio'' tall case clock, purchased by the Senate in 1816, have
    significant condition problems that will be addressed by a furniture
    conservator and a clock expert. The 1846 architectural shelf clock
    located over the door in the Old Senate Chamber is also scheduled to
    receive treatment to ensure its continued operation.
        Plans are underway to professionally conserve the recent additions
    to the Senate Leadership Portrait Collection. Within a year or so of
    completion, each portrait is carefully examined and cleaned of surface
    dust, then given a final protective coating of varnish. Additionally,
    the office will address critical frame (mirror and painting)
    conservation priorities, focusing on on-site treatments. Staff also
    will review the mirror files and bring them in line with established
    collection recordkeeping standards.
        The office will move forward with conservation treatment for the
    inkwells and sanders in each of the 100 Senate Chamber desks. These
    delicate artifacts date to about 1930 and are starting to show their
    age--hinges are loose or broken, glass is cracked, and metal parts have
    varying states of patina. Staff also will work with the SAA Cabinet
    Shop to survey the writing tops of the Chamber desks and develop a
    comprehensive plan for their repair and ongoing maintenance.
        In 2011 conservation is planned for two of the Senate's most iconic
    works of art in the Old Senate Chamber: the Eagle and Shield sculpture
    and the portrait George Washington (Patriae Pater), by Rembrandt Peale.
    In preparation, a detailed review of past treatments and analyses will
    be undertaken in 2010. The Curator's Office will assemble a panel of
    experts to guide the development of treatment goals for the painting
    and sculpture, based upon findings from analyses conducted in 1998 and
    2004, and conditions noted during previous conservation treatments.
        With regard to future preservation, the office will work toward
    developing and instituting procedures and policies for the refinishing
    and protection of the historic Russell Office Building furnishings.
    Preservation priorities will be based on findings identified by the
    conservator during the 2008 Russell furnishings survey. The office will
    work closely with the Committee on Rules and Administration, the AOC,
    and the SAA on this initiative.
        The Curator will continue efforts to locate and recover objects
    associated with the Senate, specifically Senate Chamber gallery passes,
    tickets to past inaugural events, and historic furnishings. In
    addition, staff will continue efforts to identify Russell flat-top
    desks outside the Senate, and where possible, return the desks to the
    Senate. New works of art for 2010 will include the portrait of Senator
    Bill Frist for the Senate Leadership Portrait Collection.
        In the area of collections management, the office will review
    photographs in the collections database to ascertain that each object
    has a documentation photograph and that it meets required size
    parameters. Standardizing image sizes is important to ensure the
    functionality of the database.
        Several publications and exhibitions are scheduled for 2010.
    According to its enabling legislation, the Senate Commission on Art is
    required ``at least every 10 years'' to publish as a Senate document a
    list of all works of art, historical objects, and exhibits currently
    within the Senate wing of the Capitol and the Senate Office Buildings.
    The Curator's staff will work with GPO to publish this document.
    Encompassing over 4,000 works of art and artifacts, the inventory
    records the growth of the Senate collection over the last 10 years;
    demonstrates the office's concerted effort to acquire objects that
    enhance the collection; and provides a list of the entire collection.
        The Curator's staff will begin work on a supplement to the United
    States Senate Catalogue of Fine Art, highlighting the art collected by
    the Senate since the catalogue was published in 2002. Also, with the
    upcoming Gold Medal ceremony in honor of Constantino Brumidi, the staff
    will work closely with other offices to develop exhibits, publications,
    oral histories, and various lectures and tours.
        Several other exhibitions are also planned. A new exhibit will
    feature the 150th anniversary of the Civil War and replace the
    inaugural exhibit in the Senate wing's first floor connecting corridor.
    The exhibit will highlight items from the Senate's collections
    illustrating the war and its impact on the Senate and the Capitol. In
    conjunction with the Senate Library and Senate Historical Office, staff
    will complete two exhibits outside the newly remodeled Dirksen G-50
    hearing room, as requested by the Committee on Rules and
    Administration. The exhibits will be placed in the showcases built into
    the walls of the room's vestibule. One case will highlight Senator
    Everett Dirksen, for whom the building was named; the other case will
    feature the building--its origins, construction, and architectural
    details.
        Educational efforts also will focus on Senate.gov. Staff will
    develop a decorative art section. Decorative art slated for inclusion
    in this pilot project include gilded mirrors, historic clocks, and
    Russell Building furniture. In addition, an online exhibition featuring
    artifacts related to funerals held in the Senate Chamber will be
    posted, along with an online exhibit dispelling myths and rumors often
    heard about Senate art. A new Web section titled, ``Curator's Picks''
    will feature the Curator's favorite works in the Senate collection.
    Additionally, staff will design and outline an historic spaces section
    for the Web site. This section will guide visitors through such
    treasures as the Old Senate and Old Supreme Court Chambers, the
    President's Room, and other significant historic spaces.
        The office will continue to prepare for emergency situations that
    may affect the collection by identifying local disaster recovery
    companies to assist in the recovery of collection objects, as well as
    finalizing a binder with disaster recovery procedures. In the area of
    COOP preparedness, the office will conduct its annual table top
    exercise and will train staff to use remote desktop access through a
    series of work-from-home exercises.
                             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: Technical Training, Professional Training, and Health
    Promotion. 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. 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 provides courses for all Senate staff in areas including:
    management and leadership development, human resources issues and staff
    benefits, legislative and staff information, new staff and intern
    information. The Health Promotion branch provides seminars, classes and
    screenings on health and wellness issues. This branch also coordinates
    an annual Health Fair for all Senate employees and plans blood drives
    every year.
    Training Classes
        The Joint Office of Education and Training offered 1,225 classes
    and events in 2009, drawing 13,178 participants. The registration desk
    handled over 25,000 e-mail and phone requests for training and
    documentation.
        In the Technical Training area 300 classes were held with a total
    attendance of 1,077 students. An additional 425 staff received coaching
    in 273 sessions on various software packages and other computer-related
    issues. In the Professional Development area 302 classes were held with
    a total attendance of 3,738 students. The staff managed or assisted the
    Employee Assistance Program; Police Operations, Security and Emergency
    Preparedness; Disbursing; and Committee on Ethics with 110 training
    classes for 1,369 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 2009, Professional Development met over 160
    requests for special training and team building for 1,038 staff.
        In the Health Promotion area, 2,535 staff participated in 53 Health
    Promotion activities throughout the year. These activities included:
    lung function and kidney screenings, eight blood drives, the Health and
    Fitness Day and seminars on health related topics and the Annual Senate
    Health Fair.
        The Office of Education and Training provides an annual Senate
    Service Expo for Senate office staff. This year 35 presenters from the
    offices of the Secretary of the Senate, the Sergeant at Arms, the
    Architect of the Capitol, the U.S. Capitol Police and the Library of
    Congress provided an overview of their services to 230 staff.
        Working with Leadership, the Senate Committee on Rules and
    Administration and the Executive Offices of the Sergeant at Arms and
    Secretary of the Senate, the Office of Education and Training assisted
    in coordinating orientation sessions for the new Senators and their
    staff.
    State Training
        Since most of the classes that are offered are only practical for
    D.C.-based staff, the Office of Education and Training continues to
    offer the ``State Training Fair'' which began in March 2000. In 2009,
    three sessions of this program were attended by 171 state staff. Fifty-
    eight state administrative managers and directors attended the State
    Directors Forum, while 55 state staff attended a Constituent Services
    Forum.
        In addition to classroom based learning, the ``Virtual Classroom,''
    which is an Internet-based training library of 3,000+ courses, is
    available to Senate staff. To date, 350 state office and Washington, DC
    staff have registered and accessed a total of 1,142 different lessons
    and publications using this training option. Additionally, the office
    offered 24 video teleconferencing classes, which were attended by over
    624 state staff. Education and Training also provides 51 Senate-
    specific self-paced lessons that have been accessed by an estimated
    1,000 staff.
                                   gift shop
        Since its establishment in 1992 (2 U.S.C. 121d), the Senate Gift
    Shop has continued to provide outstanding service and products that
    maintain the integrity of the Senate while increasing the public's
    awareness of its mission and 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.
    Facilities
        In addition to three physical locations, the Gift Shop has an
    online presence on Webster, the Senate's Intranet. The Web site
    currently offers an increasing selection of products that can be
    purchased by phone, e-mail, or by printing and faxing the order form
    provided on the site. Along with offering over-the-counter sales, walk-
    in sales and limited intranet services, the Gift Shop Administrative
    Office provides mail order service via phone or fax and special order
    and catalogue sales via in person visit, e-mail, phone or fax.
        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 warehouse. While the Senate Sergeant at Arms (SAA) is in charge
    of the overall management of the SSF, 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. The Hart warehouse accommodates the Gift Shop's
    receiving, shipping, and engraving departments, and also supplies the
    inventory sold through the administrative and special order office.
    Sales Activities
        Sales recorded for fiscal year 2009 were $1,694,967.39. Cost of
    goods sold during this same period was $1,278,890.29, accounting for a
    gross profit on sales of $416,077.10.
        In addition to tracking gross profit from sales, the Senate Gift
    Shop maintains a revolving fund and a record of inventory purchased for
    resale. As of October 1, 2009, the balance in the revolving fund was
    $2,782,416.14. The inventory purchased for resale was valued at
    $2,904,681.69.
    Additional Activity
        The Gift Shop participated in the 2009 U. S. Senate Environmental
    and Energy Fair sponsored by the Architect of the Capitol (AOC).
    Environmentally friendly products that were displayed included wooden
    flag and desk boxes, wooden pens, custom designed wrapping paper
    produced from recycled paper, biodegradable travel mugs and a travel
    mug produced from 100 percent U.S. natural corn products.
        In addition, the AOC installed energy efficient lighting in the
    Dirksen store. The lights in both the ceiling fixtures and product
    showcases were switched over to ``LED'' style bulbs.
    Select Accomplishments in Fiscal Year 2009
                Official Congressional Holiday Ornaments
        This year marked the 16th 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 2009 holiday ornament exceeded 29,000 ornaments, of
    which more than 5,606 were personalized with engravings designed,
    proofed, and etched by Gift Shop staff. This highly successful effort
    was made possible by the combined efforts of our administrative,
    engraving, and store staff members.
                Webster Intranet Site
        The Gift Shop Web site was completely redesigned this year to
    improve readability and to provide a more intuitive shopping
    experience. The Web site continues to expand with the addition of new
    merchandise which is professionally photographed by the Senate
    Photography Studio. Product descriptions are written inhouse.
        The Gift Shop staff contributes an article to each issue of the
    Secretary's UNUM newsletter highlighting Gift Shop products. In turn,
    the Web site links to the electronic version of the UNUM. This practice
    has increased traffic to the site and may be responsible for an
    increase in the use of the Gift Shop services by state offices.
    Projects Recently Produced and New Initiatives for 2010
                Bookmarks
        Bookmarks depicting the art and architecture of the Old Senate
    Chamber, Old Supreme Court Chamber and Ohio Clock were introduced in
    2009. These historically significant bookmarks are fabricated in gold
    plated metal and are embellished in enameled colors closely resembling
    the authentic elements of each featured subject. The individual
    packaging contains text highlighting the significant, historical and
    architectural features of each bookmark.
                Capitol Visitor Center
        The Gift Shop provided the Capitol Visitor Center gift shops with a
    wide variety of inventory, offered service when needed, and guided the
    stores' management through the purchase order and invoice process. The
    Gift Shops plans to continue providing the CVC with products that have
    proven to be popular with their clientele.
                Congressional Plate Series
        The release of the 111th Congressional Plate in 2009 completes the
    most recent four-plate Congressional series. Plans and specific designs
    for a new 8 year, four-plate series of the 112th, 113th, 114th and
    115th Congress are well under way. This new series will once again be
    designed and produced by Tiffany and Company. The designs for the new
    series will depict art and architecture from four of the most
    historically significant rooms in the Capitol. The spaces include the
    Senate Appropriations Room, Old Senate Chamber, Old Supreme Court
    Chamber and President's Room.
                Wilton Armetale
        As a complement to the original metal service pieces created with
    Wilton Armetale Company of Columbia, Pennsylvania, the Gift Shop has
    added a new four compartment tray. This piece, as well as the rest of
    the set, is decorated with the ``Brumidi Rinceau'' pattern replicating
    the borders of a series of vignettes decorating the ceiling of the
    Capitol's North Brumidi Corridor.
                Russell Building ``Centennial'' Product
        In conjunction with the Centennial Commemoration of the Russell
    Senate Office Building, several new products with unique designs were
    introduced. Ties depicting architectural shapes found in the lattice
    and rosette patterns throughout the building, as well as a scarf
    depicting the elegance of the sophisticated Beaux-arts style designs
    have been introduced. The ties and scarf, both of which are 100 percent
    silk, are exclusive to the United States Senate. In addition to the
    ties and scarf, a series of small magnets and photo note cards were
    produced, both containing images highlighting some of the more unique
    interior and exterior design elements of the building.
                President's Room Oblong Scarf and LBJ Room Square Scarf
        Working with Echo Design Company of New Jersey, two new scarves
    depicting art of the President's Room and LBJ Room were completed and
    delivered. The President's Room scarf is an oblong shape and is adorned
    with a fresco image detailing one of the many paneled walls of the
    room. The LBJ scarf is square and depicts the entire ceiling fresco as
    well as the unique architectural shape of the curved ceiling.
                Senate Donkey and Elephant Ties
        New Senate ties depicting whimsical donkey and elephant images were
    designed and produced just in time for the 2009 holiday sales season.
    The packaging includes a brief brochure which provides information
    regarding the origins of the political donkey and elephant images.
                Musical Jewel Box
        The Gift Shop worked with the Splendid Music Box Company of New
    York in 2009 to create a beautiful Senate music box depicting a highly
    detailed image of the Capitol West Laylight. The laylight, designed by
    the Philadelphia architect Thomas U. Walter, is located in the ceiling
    of the grand staircase in the Senate wing of the Capitol. Designs for a
    second, smaller box are in developmental stages and should be completed
    sometime in 2010. The smaller box will depict a historical cutaway
    architectural drawing of the Capitol.
                Stemware
        New designs of stemware etched with the were incorporated into our
    crystal line in 2009. The three styles of glasses are unique and
    environmentally friendly, as they are produced lead free and have
    shatter-resistant properties.
                Hand Towels
        Working with Creative Arts Company of Idaho, the staff produced
    high quality paper hand towels depicting images from the Brumidi art in
    the Capitol. The towels are packaged in quantities of sixteen and
    depict six panels of beautifully reproduced butterfly or bird frescos
    that are part of the Brumidi corridors on the Senate side of the
    Capitol.
                Additional Products and Projects
        Additional products that were either worked on or delivered in 2009
    include new porcelain trays, night lights with Brumidi fresco designed
    shades, table linens and napkins with Capitol art, two styles of Minton
    tile boarder mirrors, children's activity books, puzzles for children
    depicting images from the frieze of the Capitol, two new Tiffany
    scarves, and a pocket map of the Capitol complex.
                               historical office
        Serving as the Senate's institutional memory, the Historical Office
    collects and provides information on important events, precedents,
    dates, statistics, and historical comparisons of current and past
    Senate activities for use by members and staff, the media, scholars,
    and the general public. The Office 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 more
    than 1,900 former and current Senators. The staff edits for publication
    historically significant transcripts and minutes of selected Senate
    committees and party organizations, and conducts oral history
    interviews with key Senate staff. The photo historian maintains a
    collection of approximately 40,000 still pictures that includes
    photographs and illustrations of Senate committees and nearly all
    former Senators. The Office staff develops and maintains all historical
    material on the Senate Web site, Senate.gov.
    Editorial Projects
                Revised Senate Chamber Brochure
        The Historical Office staff revised and redesigned the guide that
    is given to visitors to the Senate Chamber. Previously, the booklet was
    published each Congress and included the seating chart and committee
    rosters, which increasingly resulted in publication delays. The seating
    chart and committee rosters were removed, making the 16-page brochure a
    timeless publication that can be distributed throughout each Congress.
    The text has been updated, with new images added, including a labeled
    photograph of the Senate floor that identifies the floor leaders,
    officers, and staff at the dais. This effort will result in significant
    savings, since print runs can be larger, at a lower price per copy, and
    copies will no longer need to be discarded at the end of each Congress.
                ``Documentary Histories of the U.S. Senate''
        In 2009, the Historical Office developed a new online documentary
    history series that would include case studies and primary-source
    documentation for all contested Senate elections, censure and expulsion
    cases, impeachment trials, and major investigations. Intended for use
    within the Senate and by the general public, these documentary
    histories will be particularly valuable for teachers who seek to
    include primary-source documents in their lesson plans. This project
    also allows the Historical Office to update case studies of past
    events, and to add new case studies as needed, eliminating the need for
    new print editions of past publications, reducing costs and paper use.
    Three parts of this five-stage project have been completed.
                ``States in the Senate''
        In this collaborative project, staff historians have created
    timelines and compiled selected illustrative images for each of the
    fifty states. The ``States in the Senate'' will highlight persons and
    events in the state's history that relate to the U.S. Senate to be
    featured on Senate.gov, which informs senators, staff, and constituents
    alike. A Web design for the project has been created that will provide
    an interactive timeline for each state, with links to relevant
    documentary and visual material.
                Joint Congressional Committee on Inaugural Ceremonies
        The Historical Office staff assisted the Joint Congressional
    Committee on Inaugural Ceremonies (JCCIC) in preparation of printed
    materials, including the platform program, luncheon program, and the
    commemorative edition of Inaugural Addresses of the Presidents of the
    United States, for the presidential inauguration on January 20, 2009.
    Historical Office staff researched precedents and compiled historical
    data on previous inaugurations in response to queries by the JCCIC, the
    media, and the public.
                Administrative History of the Senate
        The associate historian continued to prepare a historical account
    of the Senate's administrative evolution since 1789. This study traces
    the development of the offices of the Secretary of the Senate and
    Sergeant at Arms, considers 19th- and 20th-century reforms that
    resulted in reorganization and professionalization of Senate staff, and
    looks at how the Senate's administrative structure has grown and
    diversified.
                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. The Senate's historian emeritus has continued work on this
    project, which will contain eight narrative chapters outlining key
    debates and reasons for significant changes. Appendices will include
    the original text of all standing rules and, for the first time in one
    publication, all changes adopted between each codification.
                Biographical Directory of the U.S. Congress, 1774-present
        Since publication of the 2005 print edition of The Biographical
    Directory of the United States Congress, the Historical Office has
    added new biographical sketches and bibliographical citations that
    incorporate recent scholarship to the online database (http://
    bioguide.congress.gov). The associate historian and historical writer
    continue to work closely with the staff of the House of Representatives
    Office of History and Preservation to maintain accuracy and consistency
    in this joint Senate-House database, and to promote this valuable
    resource among historians, teachers, students and the public. Senate
    and House historians and technical staff for the House of
    Representatives have cooperated in an ongoing effort to update the
    online site in appearance and functionality. Over the past year, the
    Historical Office also began selecting printed obituaries for 19th-
    century Senators for inclusion in their online profile.
                Party Conference Minutes, 1965-1977
        In 1998 and 1999 the Historical Office staff edited, indexed, and
    published the Minutes of the Senate Democratic and Republican
    Conferences covering the years prior to 1964. The Historical Office is
    currently preparing a similar volume for the Democratic Conference
    including its minutes from 1965 to 1977. After January 1973, verbatim
    transcripts were prepared for each Conference meeting, considerably
    enlarging the documentation. This project has involved scanning and
    editing 2,869 pages of transcripts for 102 meetings of the Conference
    and inclusion of explanatory annotations. With the approval of the
    Conference, the minutes will be published, and a similar editorial
    project will be proposed for the Republican Conference minutes for this
    time period.
                Everett Dirksen and the Dirksen Senate Office Building
                        Exhibits
        The remodeling of the auditorium in the Dirksen Senate Office
    Building into a hearing room also created two large exhibit cases at
    its entrance. Working with the staff of the Senate Curator and the
    Senate Library, the Historical Office has been preparing exhibits on
    the life and career of Senator Everett M. Dirksen, Senate Republican
    leader from 1959 to 1969, and on the design and functioning of the
    office building named in his memory.
    Oral History Program
        The Historical Office staff conducts a series of oral history
    interviews to record personal recollections of various Senate careers.
    Interviews were conducted with former Senator Charles McCurdy ``Mac''
    Mathias (R-Maryland); Charles Ferris, former director of the Senate
    Democratic Policy Committee; two former Democratic secretaries, Martin
    Parone and Robert G. Baker; and W. Lee Rawls, the former staff director
    to Senators Pete Domenici and Bill Frist. The office has also continued
    to seek and conduct interviews with current and former Senate spouses,
    and expanded on its collection of interviews highlighting the role of
    women on Capitol Hill. The complete transcripts of 30 interviews
    conducted since the 1970s have been posted on Senate.gov. Each month,
    that site features a different oral history interview series, including
    digital audio-clips along with the interview transcripts. The
    Historical Office has worked with the National Archives to digitize
    past oral history interviews, which had been archived on magnetic tape,
    for preservation purposes. Digitization also allows for inclusion of
    short audio segments on Senate.gov. For Unum, the Secretary of the
    Senate's newsletter, the staff has created a regular series entitled
    ``Senate Voices,'' which includes excerpts from the oral histories with
    a contextual introduction.
    Member Services
                Educational Outreach: ``Senate Historical Minutes''
        The historian and associate historian deliver a series of ``Senate
    Historical Minutes'' at the weekly Democratic and Republican Conference
    luncheons. These ``minutes'' highlight significant events and
    personalities associated with the Senate's institutional development.
    Many of them are now included on Senate.gov as ``Historical Minute
    Essays.''
                Members' Records Management and Disposition Assistance
        The Senate archivist assisted members' offices with planning for
    the preservation of their permanently valuable records, stressing the
    importance of managing electronic records and eventually transferring
    valuable records to a home-state repository with a digital asset
    management system. Special attention was devoted to ensuring the
    preservation of the entire collections of Senators Barack Obama and
    Joseph Biden and overseeing the completion of comprehensive inventories
    because the collections were being stored at the National Archives
    Center for Legislative Archives. The archivist also worked closely with
    the National Archives and the Sergeant at Arms to ensure complete
    archiving of Vice President Richard Cheney's office.
        Senator Edward M. Kennedy's death brought challenges for ensuring
    that his personal office records and committee records were archived in
    the proper places. The archivist revised the Handbook for Closing a
    Senator's Office and met with personal office and committee staff to
    meet these needs. As a result of particularly close work with the
    Biden, Cheney, Clinton, and Obama offices, the archivist perceived a
    need for enhanced education of all office staff with regard to managing
    and archiving their electronic records. To meet this need, the office
    staff developed archiving ``Quick Cards'' that are available on the
    Secretary's Webster site. The three basic cards include ``Is it a
    Historical Record?'' (a series of questions that train staff on how to
    recognize a historical record) and two related cards, ``Archiving
    Electronic Records'' and ``Archiving Paper Records.'' These cards
    promote best practices at all staff levels.
        To meet the electronic records management challenges as offices
    transition to all electronic recordkeeping, the archivist worked with
    the Sergeant at Arms staff to have ``V'' drives established in all new
    Senate offices and made available on request for older offices. These
    drives are for placement of electronic records that have been tagged
    for the archives.
        Brown-bag lunch discussions continued with one focusing on the
    topic: ``What Can an Archivist Do for You?'' Material gathered for this
    session was used to create a PowerPoint presentation aimed at
    persuading offices to either hire an archivist or train a staffer to
    perform the duties of an archivist. Archivists increase Senate office
    efficiency and ensure that staff members have the information they need
    when they need it, and are key to preserving electronic records since
    they are able to arrange, describe and document electronic records for
    the long term.
        The Archivists Listserv has been used effectively for training and
    information updates about matters of records management and historical
    interest. A video seminar, first created in 2008, was re-worked and
    made available to members' state offices. The Senate archivist
    continued to work with staff from all repositories receiving senatorial
    collections to ensure the adequacy of documentation and the transfer of
    appropriate records with adequate finding aids. The archivist created a
    special in-depth records management seminar for Senate offices for the
    Modern Archives Institute, which is now available for Senate staff on
    demand.
                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 surveyed all committee chief clerks and systems
    administrators to ascertain the status of their electronic archiving,
    and discovered that many committees have voluminous electronic record
    backlogs requiring review for archiving. These backlogs fall into three
    categories: files of committee staff who have departed the committee;
    files of share drives, some going back for many years; and
    accumulations of e-mail. She distributed information on best practices
    for managing electronic records and encouraged committee chief clerks,
    systems administrators, staff directors, and chief counsels to consider
    hiring archivists to focus on electronic archiving. As a result, three
    committees each hired an archivist. The Senate archivist oversaw the
    transfer to the Archives of 691 accessions of Senate records totaling
    3,350.5 cubic feet of textual records and 7.2 terabytes of electronic
    records. The archivist has noticed a growing gap between the
    documentary quality of records being archived from committees with
    archivists and those without archivists.
        To further assist committee clerks with their responsibilities for
    maintaining committee records, the archivist devised three basic Quick
    Cards similar to those for members' staff. These cards supplement the
    Guidelines for Committee Staff pamphlet that is updated annually. The
    cards went to all staff directors, chief clerks, and systems
    administrators, with a request that they be distributed to all staff. A
    records-preservation PowerPoint briefing was also distributed to all
    staff directors and chief clerks and is available on the Secretary's
    Webster site. While this material has helped communicate the importance
    of record keeping to committee staff, it does not replace the
    effectiveness of a trained archivist being added to the staff to focus
    on archiving electronic records and adequacy of documentation for
    significant legislation. Training sessions were conducted for those
    Senate interns tasked with archiving committee records. The archivist
    and deputy archivist responded to 214 requests for loans of records
    back to committees, totaling nearly 1,544 boxes.
        A project is underway to scan committee record transfer sheets to
    the National Archives, dating from 1982 through 2004, into the OnBase
    document management system supported by the Sergeant at Arms. To date,
    records of the Committees on Agriculture, Appropriations, Armed
    Services, Banking, Budget, Energy, Environment and Public Works,
    Finance, Foreign Relations, HELP, Homeland Security, and Judiciary have
    been processed. The Center for Legislative Archives has received this
    information on CD-ROM both as a security measure and to enhance future
    researcher access to the records as they become open for research. The
    archivist and deputy archivist have participated in the task force
    established by the Advisory Committee on the Records of Congress to
    develop criteria to improve the finding aids for the Senate's archival
    records. They have commenced work on improving the level of description
    of records that committees send to the archives and devising an
    electronic form to help standardize this data.
    Advisory Committee on the Records of Congress
        This eleven-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
    chaired the panel during the 110th Congress; the Senate historian; and
    appointees of the secretary and the majority and minority leaders. The
    Historical Office furnishes support services for the advisory
    committee's regular meetings.
    Educational Outreach
        The Historical Office's correspondence with the general public has
    increasingly taken place through Senate.gov. The historians maintain
    and frequently update the Web site with timely reference and historical
    information, and each month select related material to be featured on
    the site. In 2009, the Office responded to more than 1,200 inquiries
    from the public, the news media, students, family genealogists,
    congressional staffers, and academics, through the public e-mail
    address listed on Senate.gov. The diverse nature of their questions
    reflected varying levels of interest in Senate operations,
    institutional history, and former members. Research assistance from the
    Historical Office was enhanced by the comprehensive scanning of the
    Office subject files into the OnBase document management system,
    allowing staff to search the full text of these files electronically.
        Working with the Web team, the historians have added to Senate.gov
    such items as fourteen featured biographies; four front-page features
    on the Constitution, Photographs of Senate Life, the Russell Building
    Centennial, and the 150th Anniversary of the Senate Chamber; a special
    feature commemorating the 40th anniversary of the first moon walk; and
    added transcripts of four oral history interviews and digital audio
    clips for six interviews.
        The historians also met with the Senate webmaster to plan a new
    feature for Senate.gov, ``Learn about the Senate.'' This feature is
    specifically being designed to serve the educational needs of teachers
    and students at various grade levels. A reference page has been
    developed, using a list of frequently-asked questions to guide visitors
    to relevant information already available on the site.
        Staff presented 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 members'
    office retreats, and conducted dozens of briefings for specially
    scheduled groups. The associate historian participated in the Dirksen
    Congressional Center's annual ``Congress in the Classroom'' conference,
    where she presented the ``Ten Top Questions to Ask Students about the
    Senate,'' and collaborated with secondary school teachers from nearly
    every state in coordinating classroom activities to promote a better
    understanding of Congress.
    Photographic Collections
        The Senate photo historian continued to ensure history-focused
    photographic coverage of the contemporary Senate by photographing
    Senate committees, collecting formal photo portraits of new Senators,
    and capturing significant Senate events in cooperation with the Senate
    Photographic Studio. She continued to provide timely photographic
    reference service by phone and e-mail, while cataloging, digitizing,
    relocating, and expanding the Office's 40,000-item image collection. As
    a member of the Russell Building Centennial committee, the photo
    historian was actively involved in the events surrounding the
    centennial of the building in March, working with the Government
    Printing Office to design and print tent cards and bookmarks for the
    centennial. She collaborated with the historical editor to redesign and
    publish the new Senate Chamber brochure. The photo historian oversaw
    the move of the entire photograph collection to a larger space mid-
    year. In conjunction with this move, she performed increased collection
    maintenance, including creating an inventory of the image collection.
    She completed cataloging the images of hundreds of Senators, collected
    in the early 1900s by John Pappas, which were donated to the Senate,
    and which have now been transferred to the National Archives. She
    assisted more than a dozen Senate offices in creating collages of all
    the Senators who previously served in that seat. She worked with
    Conservation and Preservation and the Senate Curator to replace the
    images in the Arthur Scott photographic exhibit on the third floor of
    the Capitol, provided poster-size enlargements of more than thirty
    historical prints from the collection to the Senate Recording Studio
    for the walls of their new office, and worked with the Senate Press
    Gallery to select images for their walls. The photo historian also
    assisted the Capitol Police in arranging their photographic negatives
    for eventual transfer to the National Archives.
    Continuity of Operations (COOP)
        As the Historical Office's COOP Action Officer and Emergency
    Coordinator, the photo historian completed the transfer of the Office's
    COOP plan into the LDRPS system. She created an extensive pandemic plan
    for the Office to ensure the ability of staff to maintain essential
    functions in the event of a pandemic situation and made back-ups of the
    office's vital electronic records to store off-site. She trained new
    staff members in the Office's emergency evacuation procedures.
    Capitol Visitor Center
        The historians continued to supply information and guidance to the
    staff of the Capitol Visitor Center (CVC) related to the educational
    component of the exhibition gallery. They have participated in the
    training program for staff-led tours, and provided text and images for
    a new Web-based training program for staff and tour guides. They made
    regular presentations on the history of the Senate in training seminars
    for Senate staff and interns, and gave morning ``briefings'' to the
    Capitol Guide Service. They contributed to the training of visitor
    assistants who guide visitors through the exhibition gallery, worked
    with exhibit staff to plan rotations of documents and images, and
    advised the CVC staff on its educational outreach programs.
                                human resources
        The Office of Human Resources was established in June 1995 by the
    Secretary 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 fulfill the legal requirements of the workplace and 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, FMLA program, parking allocations, and
    the summer intern program that offers college and other post-graduate
    students the opportunity to gain valuable skills and experience in a
    variety of Senate support offices. Human Resources staff has completed
    migration of eligible commuters to the Smart Benefits Program, which is
    operated by the Washington Metropolitan Area Transit Authority.
    Recruitment and Retention of Staff
        Human Resources staff have the ongoing task of advertising new
    vacancies or positions, screening applicants, interviewing candidates,
    and assisting with all phases of the hiring process. Human Resources
    staff coordinate 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. In an effort to reach a larger and more
    diverse applicant pool, the department uses multiple posting forums to
    reach potential applicants for employment. As a result, the Human
    Resources Department processed more than 4,000 applications for
    vacancies in the Secretary's Office, including review of applications,
    coordinating scheduling of candidates for interview, sending out
    notices to both successful and unsuccessful candidates, and finalizing
    new hire paperwork. All new hires also receive orientation from the
    Human Resources staff when they come on board.
    Training
        In conjunction with the Senate Chief Counsel for Employment, staff
    continue 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. Human Resources staff also works with
    different department employees on topics specific to their group in
    outreach efforts to enhance teamwork in the workplace.
    Interns and Fellows
        Human Resources staff manage the Secretary's internship program.
    From posting vacancies, conducting needs analyses, communicating,
    screening, placing and following up with all interns, the staff 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 again taken an active role in the Combined Federal
    Campaign (CFC) for the Senate community at-large. The office staff
    serve as co-directors of the program. The staff participates in kick-
    off meetings, identifies key workers in each office, and disseminates
    and collects necessary information and paperwork.
                          interparliamentary services
        The Office of Interparliamentary Services (IPS) has completed its
    28th year of operation as a department of the Secretary of the Senate.
    IPS staff is responsible for administrative, financial, and protocol
    functions for all interparliamentary conferences in which the Senate
    participates by statute, for interparliamentary conferences in which
    the Senate participates on an ad hoc basis, and for special delegations
    authorized by the Majority and/or Minority Leaders. The office also
    provides appropriate assistance as requested by other Senate
    delegations.
        The statutory interparliamentary conferences are:
      --NATO Parliamentary Assembly;
      --Mexico-United States Interparliamentary Group;
      --Canada-United States Interparliamentary Group;
      --British-American Interparliamentary Group;
      --United States-Russia Interparliamentary Group;
      --United States-China Interparliamentary Group; and
      --United States-Japan Interparliamentary Group.
        In May, the 50th Annual Meeting of the Canada-U.S.
    Interparliamentary Group was held in Canada. In June, the 48th Annual
    Meeting of the Mexico-U.S. Interparliamentary Group was held in
    Seattle, Washington. In September, the British-American Parliamentary
    Group was held in the United Kingdom. The U.S.-China Interparliamentary
    Group also met in China. IPS staff handled arrangements for these
    events.
        As in previous years, all foreign travel authorized by the Majority
    and Minority Leaders is arranged by the IPS staff. In addition to
    delegation trips, IPS provided assistance to individual Senators and
    staff traveling overseas. Senators and staff authorized by committees
    for foreign travel continue to call upon this office for assistance
    with passports, visas, travel arrangements, and reporting requirements.
        IPS receives and prepares for printing the quarterly financial
    reports for foreign travel from all committees in the Senate. In
    addition to preparing the quarterly reports for the Majority Leader and
    the Minority Leader, IPS assists staff members of Senators and
    committees in filling out 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 Senators' staffs on a broad range of protocol
    questions. Occasionally state officials or the general public contact
    IPS 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.
                Continuity of Operations (COOP) Planning
        The Office of Interparliamentary Services created a Pandemic
    Preparedness Plan this year and continues to fine tune its continuity
    of operations plan each year.
                  legislative information system (lis) project
        The Legislative Information System (LIS) is a mandated system
    (Section 8 of the 1997 Legislative Branch Appropriations Act, 2 U.S.C.
    123e) that provides desktop access to the content and status of
    legislative information and supporting documents. The 1997 Legislative
    Branch Appropriations Act (2 U.S.C. 181) also established a program for
    providing the widest possible exchange of information among legislative
    branch agencies. The long-range goal of the LIS Project is to provide a
    ``comprehensive Senate Legislative Information System'' to capture,
    store, manage, and distribute Senate documents. Several components of
    the LIS have been implemented, and the project is currently focused on
    a Senate-wide implementation and transition to a standard system for
    the authoring and exchange of legislative documents that will greatly
    enhance the availability and re-use of legislative documents within the
    Senate and with other legislative branch agencies. The LIS Project
    Office manages the project.
    Background: LISAP
        An April 1997 joint Senate and House report recommended
    establishment of a data standards program, and in December 2000, the
    Senate Committee on Rules and Administration and the Committee on House
    Administration jointly accepted the Extensible Markup Language (XML) as
    the primary data standard to be used for the exchange of legislative
    documents and information. Following the implementation of the
    Legislative Information System (LIS) in January 2000, the LIS Project
    Office shifted its focus to the data standards program and established
    the LIS Augmentation Project (LISAP). The over-arching goal of the
    LISAP is to provide a Senate-wide implementation and transition to XML
    for the authoring and exchange of legislative documents.
        The current focus for the LISAP is the continued development and
    implementation of the XML authoring system for legislative documents
    produced by the Office of the Senate Legislative Counsel (SLC), the
    Office of the Enrolling Clerk, the Committee on Appropriations, and the
    Government Printing Office (GPO). 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 tags
    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 Office has worked very
    closely with the SLC, the Enrolling Clerk, and the editorial and
    printing staff of the Committee on Appropriations to create an
    application that meets the needs for legislative drafting.
    LISAP: 2009
        In early 2009, LIS staff trained the editorial and printing staff
    of the Appropriations Committee on using LEXA to produce appropriations
    bills in XML. The two groups also worked with House and GPO staff to
    convert prior year appropriation bills and text from the Budget
    Appendix to XML to be used as the basis for the 2010 fiscal year bills.
    The Committee staff provided feedback on their production requirements,
    and the LIS staff added or altered features in LEXA to make the
    drafting process faster, more efficient, and more consistent. By the
    end of the year, all thirteen Senate Appropriations bills, amendments,
    and conference report documents had been prepared in XML.
        The LIS staff also worked with staff from GPO and the Committee on
    Armed Services to prepare and include military data and information in
    XML tables in the National Defense Authorization bill. The data was
    prepared in Excel spreadsheets by the Committee, and GPO staff imported
    the data into LEXA into XML table structures so that the tables could
    be printed as part of the introduced and engrossed versions of the
    Senate bill. The House Committee was able to use many of the tables and
    the same processes to produce the tables in the enrolled bill.
        The LIS Project Office continued to provide support to the Senate
    Enrolling Clerks and the Senate Legislative Counsel in their use of
    LEXA for drafting. Several new features and fixes were added in LEXA
    releases to improve the process, including upgrading the underlying
    software, Xmetal, for the customized LEXA application. Xmetal 5.5 is a
    Vista-compatible version of the software, and the upgrade project
    required extensive testing of LEXA on both an XP platform and a Vista
    platform. GPO testers assisted with the testing.
        The XML versions of Senate measures were made available on LIS and
    Thomas starting with the 111th Congress. The HTML version produced from
    the XML data more closely resembles the printed document. This improved
    HTML format will eventually replace the HTML version currently
    available on the Web.
        LIS staff also worked on internal projects to make the office more
    efficient. These included implementing new defect tracking software
    called OnTime. This software provides a means to collect defects and
    new feature requests, record help call incidents, and manage releases.
    The staff also worked on developing a Sharepoint repository to organize
    documentation, requirements documents, test cases, and test documents.
    LISAP: 2010
        The LIS Project Office staff will continue to work with and support
    all the offices now using LEXA to produce legislative documents.
    Enhancements to LEXA make the process more efficient and consistent so
    that most all of the legislative measures produced by those offices
    will be created as XML documents.
        The LIS Project Office 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. The
    staff will work with the SLC and their House counterpart office to
    implement new functionality for maintaining and printing the
    compilations of existing law in XML. A Windows 7 version of Xmetal will
    be available in the second quarter, and the LIS Project Office will
    build and test all LEXA functions on this platform in anticipation of
    offices moving to a Windows 7 operating system in the future.
        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 Office 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.
                                    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; a popular collection of audio books;
    and a wide array of online resources. The Library also authors content
    for three Web sites--LIS.gov; Senate.gov, the Senate's public Web site;
    and Webster, the Senate's intranet.
        Management transition of the Senate Information Services program
    from the Senate Sergeant at Arms (SAA) to the Library continued as the
    Library designed and conducted an online survey of the Senate user
    community in November 2009. The survey of Senators' state and
    Washington, DC offices, Senate committees, and support offices
    requested feedback about current program offerings and training, and
    sought suggestions for change. Analysis of the results will form the
    basis for further program content review.
        The Library's creation of new Web-based content, advanced and fine-
    tuned online resources, expanded outreach and training opportunities,
    and use of technology to support alternative means for information
    delivery continue to meet the Senate's increasing demand for
    information.
    Notable Achievements
        The Senate Library increased its service statistics in 2009,
    serving every member and committee office. Including Web-based
    inquiries, there was an 8 percent increase from 2008.
        Two new tables were added to the Library's Virtual Reference Desk
    on Senate.gov, Senate Action on Cloture Motions and Summary of Bills
    Vetoed, 1789-present. This table is also published on Webster.
        All printed House hearings in the Library's collection are
    completely searchable in the Library catalog. This retrospective
    project has taken 26 years to complete and is a testament to the hard
    work and dedication of Senate Library catalogers.
        Four informational display cases, a special issue of Unum,
    bookmarks, and restaurant table cards were created to mark the Russell
    Senate Office Building centennial in March.
        Design and implementation of a new online book request form in the
    Library catalog and increased exposure of online book lists resulted in
    a 47 percent increase in online book requests over 2008 levels.
        Focus on new and more frequent Library instructional classes
    resulted in a 48 percent increase in Library instructional offerings in
    2009.
        An emphasis on careful negotiation or renegotiation of vendor
    contracts and purchases has already saved over $55,831 in database
    expenses over the next 4 years.
    Senate Library Inquiries and Online Book Requests
        The rise in electronic requests for materials, the availability of
    new and enhanced electronic database offerings, and the expanded
    availability of resources on the Web combined with efficient content
    management have dramatically increased the demand for Library
    resources. Inquiries for 2009 increased 8 percent from 2008.

                                                SENATE LIBRARY INQUIRIES
    ----------------------------------------------------------------------------------------------------------------
                                                                Web Page Visits                          Change From
                                                    ---------------------------------------               Prior Year
                   Year                 Traditional                                            Total         (in
                                                       Webster        LIS       Senate.gov                 percent)
    ----------------------------------------------------------------------------------------------------------------
    2009..............................       27,318       70,461       21,092    2,612,897    2,731,768           +8
    2008..............................       27,283       51,048       29,468    2,429,380    2,537,179          +67
    2007..............................       26,309       65,793       32,121    1,392,947    1,517,170          -10
    2006..............................       31,032       80,375       20,156    1,561,138    1,692,701          +88
    2005..............................       33,080       57,608       26,775      782,588      900,051          +42
    2004..............................       33,750      ( \1\ )       20,749      581,487      635,986          +61
    2003..............................       46,234      ( \1\ )       18,871      329,327      394,432     \2\ +751
    2002..............................       40,359      ( \1\ )        6,009      ( \1\ )       46,368      ( \3\ )
    ----------------------------------------------------------------------------------------------------------------
    \1\ Not available.
    \2\ Web inquiry statistics, first available in 2003, increased the total from the previous year by 751 percent.
    \3\ Baseline.

        A 47 percent increase in online book requests for 2009 can be
    attributed not only to the continued popularity of audio books, but
    also because the Library links the online bibliographies for audio
    books, new books, and travel books to the catalog and the online
    request form.
    Senate Library Content Creation
        Two new tables were added in July to the Virtual Reference Desk on
    Senate.gov. Summary of Bills Vetoed, 1789-present lists the President,
    coinciding Congresses, type of veto, the total number of vetoes, and
    whether a veto was overridden by Congress. The table is also published
    on Webster. Senate Action on Cloture Motions lists the Congress,
    coinciding years, motions filed, votes on cloture, and the number of
    times cloture was invoked for all cloture motions since the 66th
    Congress (1919-1920).
    Senate Knowledge Base
        Projects to publish authoritative, standardized Senate data sources
    for multipurpose use continue to be a Library priority, ensuring
    accurate and timely dissemination of Senate information. The Senate
    knowledge base is an institutional repository for data to support these
    projects: the newly modernized Webster site, the Senate Library Webster
    site, and a senator biography database.
                Webster Modernization
        A greatly enhanced version of Webster was launched in September.
    The launch was a culmination of a multi-year collaborative effort of
    Webster's four stakeholders: the Secretary of the Senate, the SAA, the
    Senate Chaplain, and the Committee on Rules and Administration. The
    Senate Library and the Web Technology department represent the
    Secretary on the Webster Advisory Group (WAG), which oversees site
    management.
        Since its debut in 1995, Webster has been the most-visited site for
    Senate staff seeking information about internal operations, support
    services, and employee benefits. The large-scale redesign initiative,
    launched by the WAG last fall, was intended to help staff easily
    navigate the ever-expanding volume of online information and to locate
    the resources staff need to do their jobs.
        The improved Webster enterprise-level search functionality is
    popular with staff: there were 123,339 searches in 2009. Librarians
    improve search results by analyzing monthly statistics and matching
    popular search terms with topically relevant pages or search engine
    ``key matches.'' During 2009, 346 ``key matches'' were established. To
    date, 969 document records and 1,393 term records in the Senate
    knowledge base are supporting the Webster search and taxonomy projects.
        Web page visits for the five taxonomy-based indexes totaled 10,499
    since their deployment in October 2008 as part of the Webster
    modernization project.

                     WEBSTER TAXONOMY USAGE STATISTICS, 2009
    ------------------------------------------------------------------------
                            Taxonomy                            Page Visits
    ------------------------------------------------------------------------
    Services................................................           1,875
    Leadership..............................................             681
    Legislative.............................................           1,357
    News & Research.........................................             835
    About the Senate........................................           1,380
                                                             ---------------
          Total Taxonomy Usage..............................           6,128
    ------------------------------------------------------------------------

                Senate Library Webster Site
        All existing Web files and images that supported both the Library
    Webster site and the catalog were moved to a content management system
    (CMS) in December with the assistance of the Office of Web Technology.
    The move enhanced the portability of the content and facilitated the
    upgrade of the CMS. CMS-published data is repurposed for Senate.gov,
    further economizing staff time and labor. The Senate Library Webster
    site is a research service and information portal for Senate staff. An
    intra-departmental team has continued to revise and update both the
    design and functionality of the site, improving the computer intern
    account registration pages and the ``Library Class and Seminars'' page.
    New interactive features were added to allow scheduling of online book
    pickups and fillable PDF registration forms for Library computer
    accounts. Work on the site will continue into 2010.
    Instruction and Professional Outreach
        The experienced and knowledgeable reference team from Information
    Services also teaches. A renamed class, ``Research Tools on Your
    Desktop,'' joined the Library's instructional offerings, thus targeting
    need. Increasing the number of sessions taught allowed the Librarians
    to teach to smaller groups, increasing interaction and retention.

                          SENATE LIBRARY CLASSES, 2009
    ------------------------------------------------------------------------
                          Subject                        Students   Classes
    ------------------------------------------------------------------------
    Insider's Guide to Webster........................         25          8
    LIS Savvy.........................................        228         39
    Research Tips and Tricks..........................         34          8
    Research Tools on Your Desktop....................        108         29
    Services of the Senate Library and Got Questions          259         33
     Tours............................................
                                                       ---------------------
          Totals......................................        654        117
    ------------------------------------------------------------------------

        The number of classes taught and the number of sessions taught
    increased by 48 percent in 2009. However, attendance at those classes
    decreased 16 percent, resulting in fewer Senate staff trained in 2009.
    Because the Senate schedule and staff workload affect staff
    availability for training, the Library plans to schedule classes during
    Senate recess periods as well.

                                         SENATE LIBRARY CLASSES BY CALENDAR YEAR
    ----------------------------------------------------------------------------------------------------------------
                                                                               Change from               Change from
                                Year                               Attendees    Prior Year    Classes     Prior Year
                                                                     Total      (percent)      Total      (percent)
    ----------------------------------------------------------------------------------------------------------------
    2009........................................................          654          -16          117          +48
    2008........................................................          782           +2           79          +23
    2007........................................................          770          +49           64           +7
    2006........................................................          518          +25           60         +114
    2005........................................................          416      ( \1\ )           28      ( \1\ )
    ----------------------------------------------------------------------------------------------------------------
    \1\ Baseline.

        The Library also gave tours to Senate groups and to outside library
    professionals. These tours ranged from an introduction to each
    semester's Senate Page School class to hosting librarians from the
    National Library of China and the Law Library Association of Maryland.
    The Library also participated in the Senate Services Fair and in giving
    tours for National Library Week. The Library continued its
    participation in the Federal Library Institute, which introduces
    interested library school graduate students to Federal libraries,
    resources, and career opportunities.
    Collection Development
                Audio Books Program
        The Library acquired 44 new audio book titles in 2009. Designed to
    assist users with diverse needs, including those who may be visually
    challenged, as well as to draw patrons into the Library, the program
    remains popular with patrons whose 606 loans were equivalent to
    circulating each item in the collection six times over. An online
    bibliography highlights the collection with links to the catalog and
    the online book request form.
                New Digital Resources
        The Library provides a number of digital resources to the Senate.
    New in 2009, and acquired with negotiation to reduce purchase and
    subscription costs, are the Hein Online Congressional Documents
    Library, the Gale Encyclopedia of Governmental Advisory Organizations,
    and A-Z Maps Online from World Trade Press. The Encyclopedia of
    Governmental Advisory Organizations and A-Z Maps Online are available
    to the Senate community through links on Webster.
        The Library maintains an A-Z journal title index on Webster that
    lists electronic full-text journal titles available to the Senate. The
    Library has continued efforts to customize and refine the database
    content lists and to allow easier access to LexisNexis content, which
    has increased usage by 167 percent from 2008.
                Expansion of Special Collections
        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 9,683 government publications in 2009. In response
    to the trend of issuing government documents in electronic format,
    2,962 links were added to the Library catalog, bringing the total to
    more than 28,938. The links provide Senate staff desktop access to the
    full text of each document.

                               ACQUISITIONS, 2009
    ------------------------------------------------------------------------
                            Category                               Total
    ------------------------------------------------------------------------
    Congressional Documents.................................           7,566
    Executive Branch Publications...........................           2,117
    Books (including Audio and E-books).....................             832
    Electronic Links........................................           2,962
                                                             ---------------
          Total Acquisitions................................          13,477
    ------------------------------------------------------------------------

    Legislative Validation
        The Library's Legislative Validation Clerk verifies and edits the
    accuracy and consistency of data and legislative information published
    by Secretary of the Senate staff via the Legislative Information System
    (LIS), the Document Management System (DMS), the Congressional Record,
    Senate.gov, and Webster. The clerk's work also requires the
    verification of selected Congressional Record Index entries (print and
    electronic), and includes comparing electronic entries made by
    legislative staff or data entry clerks from various agencies with the
    printed Congressional Record Index and notifying the offices of
    discrepancies.
        Between January and December 2009, the Legislative Validation Clerk
    submitted 290 corrections.
    Cataloging
        The Library's productive cataloging staff draws on years of
    experience to produce and maintain a catalog of more than 208,000
    bibliographic items. During 2009, 6,791 new titles were added to the
    catalog. The catalog is updated nightly to ensure that Senate staff
    will retrieve accurate and current information on Library holdings. The
    addition of nearly 300 book jacket images for the new titles enhanced
    visual appeal and utility.
        All printed House hearings in the Library's collection can now be
    found in the Library catalog. This project, completed in August 2009,
    has taken 26 years to complete and is a testament to the hard work and
    dedication of many present and former staff.
        Catalogers created 816 bibliographic records for Senate hearings
    not yet printed from information in the Congressional Record Daily
    Digest and the combined hearings schedule on Webster. This includes
    field hearings that are not listed in the Daily Digest. These records
    remain in the catalog until the printed hearing is received and
    cataloged.
        A new electronic resources page was added to the catalog home page
    in June with the goal of creating a comprehensive list of resources by
    category. Senate staff increasingly use the Library catalog as an
    information resource, accounting for 6,585 visits in 2009.

                     INFORMATION SERVICE SUPPORT ACTIVITIES
    ------------------------------------------------------------------------
                            Category                               Total
    ------------------------------------------------------------------------
    Circulation:
        Document Deliveries.................................           4,371
        Item Loans..........................................           3,118
    Pages Printed:
        Microform Pages Printed.............................           1,378
        Photocopies.........................................          71,756
                                                             ---------------
          Document Delivery Total...........................          80,623
    ------------------------------------------------------------------------

    Library Automation
        Library staff were provided with additional access to tools to
    facilitate remote access to their e-mail accounts and, where needed,
    secure access to the Senate network. Remote access was successfully
    tested on routine tasks to simulate a continuity of operations event
    and for pandemic flu planning.
        Self-paced online database training was provided to staff working
    on the Senate Knowledge Base through the Office of Education and
    Training. These modules provide an introduction to client software.
    Preservation, Binding, and Collection Maintenance
        Technical Services staff and summer interns completed the shifting
    necessary to yield 10 years of growth for book collection shelving
    space in the Russell Senate Office Building. Judicious collection
    management will help to ensure that the Library's collections are
    focused on the needs of the Senate community.
        Technical Services staff continued to participate in book repair
    training sessions led by the director of the Office of Conservation and
    Preservation. Trainees repaired 190 historic volumes, an increase of 24
    percent from 2008, making significant progress in the preservation of
    the Library's bound book collection.
        The Library worked with GPO to secure binding for rare and fragile
    materials. The first shipment of 11 volumes was completed in December
    with excellent results.
    Budget
        In addition to the substantial savings in purchasing new databases,
    budget savings from price reductions in 2009 subscriptions totaled
    $55,831 over the next 4 years; and, after 12 years of budget
    monitoring, savings total $136,908. 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.
    Special Projects
                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 news in the Office of
    the Secretary of the Senate. The newsletter is distributed throughout
    the Senate. Highlights from the 2009 Unum issues include a special
    issue on the Russell Senate Office Building centennial, covering the
    architecture and history of the building and special publications
    produced by Secretary offices; excerpts of Secretary Nancy Erickson's
    legislative branch appropriations testimony; an article on the 150th
    anniversary of the Senate Chamber that also featured a booklet issued
    by the Historical Office; an article on the Senate's role in the
    presidential inaugural ceremonies; features on the Trent Lott
    Leadership Portrait and the acquisition of a painting of Henry Clay;
    and the continuation of the ``Senate Voices'' series prepared by the
    Historical Office that contains excerpts of oral histories of former
    staffers.
                National Library Week
        The National Library Week events were well attended, with about 100
    people attending the Library's reception. The Library made a special
    effort to invite staff from offices of new Senators. The talk by
    Senator George S. McGovern on his book, Abraham Lincoln, drew a
    standing room only crowd of 85 attendees.
    Cooperative Projects
        Working in cooperation with the Senate Historical Office and the
    Curator's office, Library staff completed the digitization of available
    Senate seating charts. The charts are now available on Senate.gov to
    enhance historical information about the Senate Chamber. Work continues
    on a printed compilation of the charts.
        Library staff made significant contributions to the 2009 Russell
    Senate Office Building Centennial celebration. Four display cases were
    installed in March 2009 to highlight the Caucus Room, the Russell
    Building's architectural features, a historical chronology of events
    that have taken place in the building, and a look back at office life
    in the oldest Senate office building. A special Unum issue on the
    Russell Building's centennial was published. The Library worked with
    the Senate Historical Office, the Senate Curator, Printing and Document
    Services, and GPO to design a logo for use in all publications created
    for the event, and to create a set of table cards used in the Senate
    Restaurants as well as two versions of a commemorative bookmark. The
    bookmarks were a popular souvenir with staff.
        Hearing URL data from the Library catalog is exported weekly to
    provide LIS and THOMAS with full-text links to Senate hearings for the
    111th Congress. The Library contributed 702 new Senate hearing links to
    the LIS database during 2009.
        The Library's Cataloging Supervisor worked with Joint Committee on
    Taxation staff on a project to supply bibliographic records for a set
    of committee documents submitted for scanning at the Federal Scanning
    Center at the Library of Congress. The cataloging portion of the
    project began in July and has added 580 titles to the catalog and
    contributed an additional 1,000 records for documents to be scanned.
    The scanning center will extract the data needed to enhance retrieval
    of the scanned documents on its public digital archive site.
    Major Library Goals for 2010
        Complete the assumption of eco-direction of the Senate Information
    Services Program in preparation for transition to full direction at the
    end of 2010;
        Complete the analysis of the Senate Information Services survey
    results and seek additional user input regarding the program services;
        Begin work on enhancements to the Senate Knowledge Base to
    streamline maintenance of the Webster taxonomy and improve search
    results;
        Continue work on the redesign of the Library's Webster site;
        Establish an outreach program for Senate office staff; and
        Expand training opportunities to staff.

                                                       SENATE LIBRARY ACQUISITIONS FOR CALENDAR YEAR 2009
    --------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Books         Government Documents          Congressional Publications
                                                          ----------------------------------------------------------------------------------------
                                                                                                                                         Reports/    Total
                                                            Ordered    Received    Paper      Fiche     Hearings    Prints     Bylaw       Docs
    --------------------------------------------------------------------------------------------------------------------------------------------------------
    January..............................................         36         58        434         26        242          7        101        220      1,088
    February.............................................         23         52        110  .........        324         16         79        102        683
    March................................................         15         53         89         11        330         40        114        221        858
                                                          --------------------------------------------------------------------------------------------------
          1st Quarter....................................         74        163        633         37        896         63        294        543      2,629
                                                          ==================================================================================================
    April................................................         27         48        104         84        295         31        124        164        850
    May..................................................         16        106         35          6        193         16        113        227        696
    June.................................................         24         86        120         50        256         16         99        317        944
                                                          --------------------------------------------------------------------------------------------------
          2nd Quarter....................................         67        240        259        140        744         63        336        708      2,490
                                                          ==================================================================================================
    July.................................................         21         42        135         30        429         11        119        292      1,058
    August...............................................         21         58        140         92        334         12         30        188        854
    September............................................         73         82         85         24        359         15         82        114        761
                                                          --------------------------------------------------------------------------------------------------
          3rd Quarter....................................        115        182        360        146      1,122         38        231        594      2,673
                                                          ==================================================================================================
    October..............................................         17        136        106         67        386         16         99        243      1,053
    November.............................................         30         53         61         16        352         13         93        241        829
    December.............................................         11         57        234         58        160         11        109        211        840
                                                          --------------------------------------------------------------------------------------------------
          4th Quarter....................................         58        246        401        141        898         40        301        695      2,722
                                                          ==================================================================================================
    2009 Total...........................................        314        831      1,653        464      3,660        204      1,162      2,540     10,514
    2008 Total...........................................        331        901      2,200        797      3,631        129        829      3,645     12,132
    Percent Change.......................................      -5.14      -7.77     -24.86     -41.78      +0.80     +58.14     +40.17     -30.32     -13.34
    --------------------------------------------------------------------------------------------------------------------------------------------------------

                                                   SENATE LIBRARY CATALOGING STATISTICS FOR CALENDAR YEAR 2009
    --------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                      Bibliographic Records Cataloged
                                                   S.    -----------------------------------------------------------------------------------------
                                                Hearing           Books               Government Documents           Congressional Publications      Total
                                                Numbers  -----------------------------------------------------------------------------------------  Records
                                                Added to                                                                                  Docs./   Cataloged
                                                  LIS       Paper     Audio/E-    Paper      Fiche    Electronic   Hearings    Prints     Pubs./
                                                                       Books                                                             Reports
    --------------------------------------------------------------------------------------------------------------------------------------------------------
    January..................................          5        173          3         12  .........          18        222         55          1        484
    February.................................  .........        111          4          6         12          28        307         16          3        487
    March....................................         80         81          2         26          1          11        458         33         17        629
                                              --------------------------------------------------------------------------------------------------------------
          1st Quarter........................         85        365          9         44         13          57        987        104         21      1,600
                                              ==============================================================================================================
    April....................................         52         51          6          5  .........          45        461          6         25        599
    May......................................          7         19          9          8         13          10        635         26         21        741
    June.....................................         37         24          8          3  .........           6        342         92         13        488
                                              --------------------------------------------------------------------------------------------------------------
          2nd Quarter........................         96         94         23         16         13          61      1,438        124         59      1,828
                                              ==============================================================================================================
    July.....................................         83         15         14          5  .........           7        247        552         21        861
    August...................................         15         32         43          9         49           1        316        161          4        615
    September................................          8         46         49          7         95           7        302        141         34        681
                                              --------------------------------------------------------------------------------------------------------------
          3rd Quarter........................        106         93        106         21        144          15        865        854         59      2,157
                                              ==============================================================================================================
    October..................................         19         69         12          7         40           5        234         43         10        420
    November.................................         14         44          4          9         46           8        232         42         80        465
    December.................................         11         12          1         10         61           7        120         18         92        321
                                              --------------------------------------------------------------------------------------------------------------
          4th Quarter........................         44        125         17         26        147          20        586        103        182      1,206
                                              ==============================================================================================================
    2009 Total...............................        331        677        155        107        317         153      3,876      1,185        321      6,791
    2008 Total...............................        271        591         64        155         14         214      6,332         56        170      7,596
    Percent Change...........................      +22.1      +14.6     +142.2      -31.0    +2164.3       -28.5      -38.8    +2016.1      +88.8      -10.6
    --------------------------------------------------------------------------------------------------------------------------------------------------------

                                 SENATE LIBRARY DOCUMENT DELIVERY FOR CALENDAR YEAR 2009
    ----------------------------------------------------------------------------------------------------------------
                                                                                         Micrographics  Photocopiers
                                                       Volumes    Materials  Facsimiles   Center Pages      Pages
                                                       Loaned     Delivered                 Printed        Printed
    ----------------------------------------------------------------------------------------------------------------
    January........................................         330         298          18            26         5,543
    February.......................................         208         287          23            37         5,626
    March..........................................         234         308          14            21         5,042
                                                    ----------------------------------------------------------------
          1st Quarter..............................         772         893          55            84        16,211
                                                    ================================================================
    April..........................................         254         361          13            13         7,131
    May............................................         178         309          12            66         4,807
    June...........................................         276         359          24           395         6,821
                                                    ----------------------------------------------------------------
          2nd Quarter..............................         708       1,029          49           474        18,759
                                                    ================================================================
    July...........................................         379         424          22           207         7,346
    August.........................................         257         354          15           171         7,344
    September......................................         202         356          17            88        13,843
                                                    ----------------------------------------------------------------
          3rd Quarter..............................         838       1,134          54           466        28,533
                                                    ================================================================
    October........................................         263         338          23            72         4,137
    November.......................................         323         501          11           102         4,116
    December.......................................         214         264          20           180   ............
                                                    ----------------------------------------------------------------
          4th Quarter..............................         800       1,103          54           354         8,253
                                                    ================================================================
    2009 Total.....................................       3,118       4,159         212         1,378        71,756
    2008 Total.....................................       4,337       3,405         258         3,513       100,266
    Percent Change.................................      -28.11      +22.14      -17.83        -60.77        -28.43
    ----------------------------------------------------------------------------------------------------------------

                                  page school
        The United States Senate Page School exists to provide a smooth
    transition from and to the students' home schools, providing those
    students with as sound a program, both academically and experientially,
    as possible during their stay in the nation's capital, within the
    limits of the constraints imposed by the work situation.
    Summary of Accomplishments
        Accreditation by the Middle States Commission on Secondary Schools
    continues through April, 2013.
        Two page classes successfully completed their semester curriculum.
    Closing ceremonies were conducted on June 5, 2009, and January 22,
    2010, the last day of school for each semester.
        Orientation and course scheduling for the Spring 2009 and Fall 2009
    pages were successfully completed. Needs of incoming students
    determined the semester schedules.
        English usage pre- and post-tests were administered to students
    each semester, and the results were reviewed by faculty to determine
    what usage instruction or remediation was needed.
        Study skills sessions were provided to identified students in need
    of training.
        Faculty and staff provided extended educational experiences to
    pages, including 23 field trips, two guest speakers, opportunities to
    play musical instruments and vocalize, and foreign language study with
    the aid of tutors. Eight field trips to educational sites were provided
    for summer pages as an extension of the page experience.
        National tests were administered for qualification in scholarship
    programs. Seventeen pages took 28t Advanced Placement exams in nine
    subjects.
        The evacuation plan and COOP have been reviewed and updated. Pages
    and staff continue to practice evacuating to primary and secondary
    sites.
        Staff and pages participated in escape hood training, and staff
    continues certification in CPR/AED procedures.
        Staff attended continuing education seminars.
        Staff computers were upgraded by Computer Services to include
    Microsoft 2007.
        Tutors and the substitute teacher completed training in evacuation
    procedures.
        Communication among the Sergeant at Arms, Secretary of the Senate,
    party secretaries, the Page Program, and the Page School is ongoing.
    Summary of Plans
        Our goals include:
      --Teachers will continue to offer individualized small group
            instruction and tutoring on an as-needed basis, as well as
            optional academic support for students preparing to take AP
            tests.
      --Foreign language tutors will provide assistance to students, and a
            foreign language seminar on basic grammar terminology will be
            offered on a trial basis in the fall of 2010.
      --The focus of field trips will be sites of historic, political, and
            scientific importance which complement the curriculum.
      --English Usage pre- and post-tests will be administered to students
            each semester to assist faculty in determining needs of
            students for usage instruction.
      --Staff development options include attendance at seminars conducted
            by Joint Office of Education and Training and subject matter
            and/or educational issue conferences conducted by national
            organizations.
      --The community service project will continue.
                         printing and document services
        The Office of Printing and Document Services (OPDS) serves as
    liaison to the Government Printing Office (GPO) for the Senate's
    official printing, ensuring that all Senate printing is in compliance
    with Title 44, U.S. Code as it relates to Senate documents, hearings,
    committee prints and other official publications. The office staff
    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 staff 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 2009, OPDS prepared 4,395 requisitions
    authorizing GPO to print and bind the Senate's work, exclusive of
    legislation and the Congressional Record, an 11 percent increase over
    the previous year. Since the requisitioning done by OPDS is central to
    the Senate's printing, the office is responsible for reviewing invoices
    and bids for Senate print jobs.
        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, Legislative Clerk, and Senate
    Library, as well as the U.S. Botanic Garden, U.S. Capitol Police,
    Architect of the Capitol, and the U.S. Capitol Visitor Center. These
    tasks include providing guidance for design, paper selection, print
    specifications, monitoring print quality and distribution. Last year's
    major printing projects included:
      --Semi-Annual Report of the Secretary of the Senate;
      --Tributes to Retiring Senators;
      --U.S. Senate Leadership Portrait Collection brochure;
      --U.S. Senate Foreign Relations Committee brochure;
      --U.S. Senate Appropriations Committee brochure;
      --U.S. Senate Republican and Democratic Leader's Suite brochures;
      --2009 Senate Telephone Directory;
      --Senate gallery passes and visitor badges; and
      --Capitol Visitor Center tour tickets and informational brochures.
                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 greater billing accuracy and 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 2009,
    OPDS provided commercial reporting companies and corresponding Senate
    committees a total of 1,136 billing verifications of Senate hearings
    and business meetings, a 33 percent increase over the previous year.
    Over 83,000 transcribed pages were processed at a total billing cost of
    $652,412.
        The software program used to process the hearing verifications
    required by Senate Disbursing to pay vendors for transcription services
    was completely updated in 2008. OPDS worked with the Senate Committee
    on Rules and Administration to draft updated regulations governing the
    production and reimbursement of transcripts. In addition, input was
    solicited from vendors and committee clerks to ensure consideration of
    current transcription practices and costs. The new software program was
    fully tested by all current Senate transcription vendors and is now
    fully implemented.
        During 2009, the office continued processing all file transfers,
    and billing verifications, between committees and reporting companies
    electronically ensuring efficiency and accuracy.
                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. This allows committees to decrease, or eliminate,
    additional overtime costs associated with the preparation of hearings,
    improving the management of Congressional Printing and Binding funds.
    Additionally, the Service Center provides work for GPO detailees
    assigned to legislative offices during Senate recesses.
    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 10,875 distinct legislative items during the
    first Session of the 111th Congress, including Senate and House bills,
    resolutions, committee and conference reports, executive documents, and
    public laws.
        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 by other Web sites, such as LIS and Thomas, used by
    Congressional staff and the public.
                Customer Service
        The primary responsibility of OPDS is to provide services to the
    Senate. However, the responsibility and this office's dedication and
    assistance to the general public, the press, and other government
    agencies are virtually indistinguishable from the services provided to
    the Senate. During 2009, over 15,000 requests for legislative material
    were 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 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 and document requests. Orders received by recorded
    messages, fax, and e-mail are processed as they are received, as are
    mail requests.
                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 for the
    Senate floor, and other offices, in the event of GPO experiences a
    continuity of operations situation.
                Accomplishments & Future Goals
        Over the past year, OPDS has provided new services for customers
    and improving existing ones. Of particular note is the office's
    commitment to help ``green'' the Senate. During 2009 Senate offices
    ordered over 4.5 million sheets of 100 percent recycled paper, a 57
    percent increase over 2008.. The office works diligently to track
    document requirements, monitoring print quantities, and reducing waste
    and associated costs. Over 400 new and revised print jobs were routed
    electronically for customer approval, improving turnaround time and
    efficiency. Additionally, blank paper orders, now transmitted
    electronically to GPO as they are processed, save time and move toward
    the office's goal of paperless ordering.
        The office's future goals include working with GPO on their Federal
    Digital and Microcomp Replacement Systems to improve efficiency and
    help answer the evolving needs of the Senate. Focus on continuity of
    operations planning and the offices emergency preparedness will
    continue. The Office of Printing and Document Services continues to
    seek new ways to use technology to assist Members and staff with added
    services and improved access to information.
                                 public records
        The Office of Public Records receives, processes, and maintains
    records, reports, and other documents filed with the Secretary of the
    Senate that involve the Federal Election Campaign Act, as amended; the
    Lobbying Disclosure Act of 1995, as amended; 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 publication of
    these documents. From October 2008 through September 2009, the Public
    Records office staff assisted more than 2,000 individuals seeking
    information from reports filed with the office. This figure does not
    include assistance provided by telephone or e-mail, nor help given to
    lobbyists attempting to comply with the provisions of the Lobbying
    Disclosure Act of 1995, as amended (collectively, the ``LDA''). A total
    of 77,702 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 2009 Accomplishments
        The office continued to implement S. 1, the Honest Leadership and
    Open Government Act (HLOGA), which amended the LDA and the Senate Code
    of Conduct. The office posted two guidance updates and concentrated on
    compliance issues, referring close to 4,400 cases of potential non-
    compliance to the U.S. Attorney for the District of Columbia. The
    Senate Office of Public Records conducted a continuity of operations
    (COOP) exercise in August which required half of the staff to work from
    a remote location in preparation for a potential H1N1 pandemic.
    Plans for Fiscal Year 2011
        The Public Records office will assess the need to update the LDA
    guidance semiannually and will continue to concentrate on LDA
    compliance issues.
    Automation Activities
        During fiscal year 2009, the Senate Office of Public Records worked
    with the Sergeant at Arms to enhance the lobbying database performance
    in terms of public query programs for Senate.gov, and to create an
    internal compliance monitoring application.
    Federal Election Campaign Act, as Amended
        The Act requires Senate candidates to file quarterly and pre- and
    post-election reports. Filings totaled 4,298 documents containing
    292,496 pages.
    Lobbying Disclosure Act of 1995, as amended
        The LDA requires semi-annual financial and lobbying activity
    reports. As of September 30, 2009, there were 5,700 registrants
    representing 20,007 clients. The total number of individual lobbyists
    disclosed on 2009 registrations and reports was 14,847. The total
    number of lobbying registrations and reports processed was 134,925.
    Public Financial Disclosure
        The filing date for Public Financial Disclosure Reports was May 15,
    2009. The reports were made available to the public and press by June
    12, 2009. Public Records staff provided copies to the Select Committee
    on Ethics and the appropriate state officials. A total of 3,137 reports
    and amendments were filed containing 18,528 pages. There were 253
    requests to review or receive copies of the documents.
    Senate Rule 35 (Gift Rule)
        The Senate Office of Public Records received 214 reports during
    fiscal year 2009.
    Registration of Mass Mailing
        Senators are required to file mass mailings on a quarterly basis.
    The number of pages was 487.
                                stationery room
        The United States Senate Stationery Room is the provider of office
    and administrative supplies, personalized stationery and special order
    items for official government business. We serve all Members, support
    offices, and other authorized people and organizations.
        The Stationery Room fulfills its mission by:
      --Utilizing open market, competitive bid, statutorily required and/or
            GSA schedules for supply procurement.
      --Maintaining sufficient in-stock quantities of select merchandise in
            order to best meet the immediate needs of the Senate community.
      --Developing and maintaining productive business relationships with a
            wide variety of vendors to ensure sufficient breadth and
            availability of merchandise.
      --Maintaining expense accounts for all authorized customers and
            preparing monthly activity statements.
      --Managing all accounts receivable and accounts payable
            reimbursement.
      --Ensuring the integrity of all funds and other government assets
            under our control.

    ------------------------------------------------------------------------
                                          Fiscal Year 2009  Fiscal Year 2008
                                             Statistics        Statistics
    ------------------------------------------------------------------------
    Gross Sales.........................     $3,594,733.94     $4,547,289.64
    Sales Transactions..................            47,459            41,704
    Purchase Orders Issued..............             6,586             6,224
    Vouchers Processed..................             7,073             6,832
    Office Deliveries...................             5,661             6,985
    Number of Items Delivered...........           134,191           160,538
    Number of Items Sold................           439,042           503,238
    Full time Employees (FTE)...........                14  ................
    ------------------------------------------------------------------------

    Fiscal Year 2009 Overview
                Sales Comparison Analysis
        While sales for fiscal year 2009 appear to reflect a decrease of
    $952,555.70 when compared to fiscal year 2008, it should be noted that
    the Stationery Room discontinued sales of the Metro Transit Subsidy
    Media in September of 2008. When taking Metro sales out of the
    equation, fiscal year 2009 sales ($3,594,733.94) increased $811,828.01
    or approximately 29 percent, over fiscal year 2008 ($2,782,905.93). The
    Stationery Room experienced increases of 3 percent to 13 percent in
    such areas as total sales transactions, purchase orders issued, and
    vouchers processed.
                ``Suggestion Box''
        With the assistance of the Office of Web Technology, the Stationery
    Room introduced an electronic ``suggestion box'' accessible to Senate
    employees from various areas on Webster. Linked to a Stationery e-mail
    address, the ``suggestion box'' is intended to request ideas for
    products customers would like to see available for purchase with
    official funds. Suggestions are collected and evaluated for
    appropriateness and usefulness and acted upon accordingly.
                E-Commerce
        Also with the assistance of the Office of Web Technology,
    Stationery staff began work on an expanded electronic commerce site
    available to authorized customers within the framework of the Senate
    intranet. Still in the development phase, the site will allow customers
    the ability to purchase in-stock items from Stationery online, request
    delivery to the office and charge the transaction to their account.
    Some initial features include product thumbnails and a shopping cart.
    The new system is expected to launch in June.
                Electronic Document Delivery
        Stationery sends hardcopies of sales receipts and office account
    statements daily through inside mail. Often those mailings number in
    the hundreds. Because of the volume of consumption of paper supplies
    (envelopes, receipt paper) and the impact on staff time and resources,
    the Stationery Room began to e-mail the documents instead.
    Administrative personnel set up and maintain distribution lists for
    each office account, convert each paper document to digital and then e-
    mail it to those on the appropriate distribution list. The program has
    eased the workload for staff and helped to ensure more secure delivery
    of documents to the offices served. Additionally, through the
    implementation of this program, Stationery staff has been able to
    substantially reduce its use of paper and envelopes.
    Efforts to Green the Senate
        The Stationery Room carries a wide variety of environmentally
    friendly options: recycled copy paper and toner cartridges; binders,
    pencils and pens made with recycled components; and custom printed
    options on recycled stock with soy based inks. Additionally, Stationery
    has partnered with the Senate Superintendent as a repository for
    battery recycling and in 2009 helped the Senate recycle 2,300 pounds of
    alkaline and rechargeable batteries.
    Continuity of Operations (COOP)
        Opening an office after an emergency relocation is of paramount
    importance to the Senate Stationery Room. To allow for quicker response
    and decreased office down-time, Stationery has packed 200 COOP boxes
    with a selection of basic office supplies. Staged offsite, they are
    available for immediate distribution if the need arises.
                                 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;
      --the Secretary's internal Web site (Webster.senate.gov/secretary)--
            available to the Senate Staff;
      --the central portion of Senate Intranet (Webster.senate.gov)--
            available to all Senate Staff; and
      --the Senate Legislative Branch Web site (Legbranch.senate.gov)--
            available to the Senate, House of Representatives, Library of
            Congress (LOC), Architect of the Capitol (AOC), Government
            Accountability Office (GAO), Government Printing Office (GPO),
            Congressional Budget Office (CBO), and U.S. Capitol Police
            (USCP).
    The Senate Web Site--Senate.gov

        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. All content is
    controlled through the Secretary's Web Content Management System (CMS)
    managed by the Department of Web Technology.
                Major Additions to the Site in 2009
      --Roll Call Votes in XML http://www.senate.gov/legislative/LIS/
            roll_call_lists/vote_menu_111_2.xml
        --Published all roll call votes in XML back to the 1st Session of
                the 101st Congress and created a system to have future roll
                call votes automatically display in close to real time.
                Providing this data in a raw form enables greater access to
                this sought information. The project was realized through
                interactions with the Senate Committee on Rules and
                Administration and member offices. The posting of XML votes
                did not require any changes in the clerks' established work
                processes nor result in any system downtime.
      --Russell Senate Office Building Bicentennial standalone Web site
            http://www.senate.gov/RSOB/
        --Worked with the Historical Office, Curator's Office, and the GPO
                to design, create, implement, enhance, and maintain a
                photographic history of the Russell Senate Office Building,
                meeting firm deadlines and accessibility requirements.
                While the site looks entirely different than other portions
                of Senate.gov, it is fully implemented through the content
                management system to allow for further modifications and
                additions by content experts.
      --Henry Clay in the U.S. Senate standalone Web site http://
            www.senate.gov/Clay1851
        --Designed, built, enhanced, delivered and maintained a new
                standalone Web site that details the history and
                restoration of a portrait of Henry Clay hung in the East
                Brumidi Stairway during the spring of 2009. Many multimedia
                and interactive features exist in the site making for an
                interesting and educational visitor experience applicable
                to a wide range of audiences. Capitalizing on advances in
                the Senate's information technology infrastructure, such as
                streaming flash video, greatly enhances the user's
                experience.
      --Art Section Overhaul http://www.senate.gov/art
        --Completely revamped the art section of Senate.gov, exposing more
                content in a much more visually appealing, organized, and
                useful manner. Created and implemented multiple advanced
                slideshow applications and new layout concepts to
                compliment the sections new information architecture and
                collection spotlights. The pages highlight the over 1,000
                objects now published online. While creating a much richer
                user experience through utilizing thumbnails, subject-based
                collection lists, Web slideshows, and an art specific
                search, the Curator's office was also able to gain greater
                control over this content through implementing everything
                through the content management system in conjunction with
                the office's maintained object database.
      --Contested Senate Elections http://www.senate.gov/artandhistory/
            history/common/contested_elections/intro.htm
        --Historic exhibit delineating 56 past contested elections in the
                United States Senate. In-depth information provided for
                each instance including background information, facts
                relating to each case, response of the Senate, conclusions,
                and Committee reports.
      --Expulsion and Censure http://www.senate.gov/artandhistory/history/
            common/briefing/Expulsion_Censure.htm
        --Developed and launched exhibit on expulsion and censure in the
                United States Senate in conjunction with the Historical
                Office. The exhibit offers a wealth of information
                regarding cases of expulsion and censure and the
                individuals involved. Thirty-one expulsion cases are
                described and details of eight censure instances are
                explained.
      --Senate Impeachment Trials http://www.senate.gov/artandhistory/
            history/common/briefing/Senate_Impeachment_Role.htm#4
        --Enhanced the online report regarding impeachments with a complete
                listing of all impeachment trials in the Senate. Great
                detail given in several of the cases with more to be added
                in the future.
      --Gallery Passes http://www.senate.gov/artandhistory/art/common/
            slideshow/Gallerypass/GalleryPass_Intro.htm
        --Drawing from many previously created features, designs,
                slideshows, and layouts this exhibit contains gallery
                passes dating back to the 51st Congress. Relevant
                information regarding the galleries and their histories is
                interwoven, leveraging great content from multiple parts of
                the Web site.
      --Placement Office Job Postings http://www.senate.gov/reference/
            Index/Employment.htm
        --Implemented a completely new system for the Placement Office of
                the SAA to post and manage their job listings. Content is
                now delivered in a format that aligns with the one used
                throughout the Secretary's content management system.
                Besides providing a much more useful and searchable display
                to users and a more efficient system from the Placement
                Office, this also allows all job postings listed on
                Senate.gov to be combined on a single page.
      --Sergeant at Arms Job Postings http://www.senate.gov/employment/saa/
            positions.htm
        --Developed a system to allow the Human Resources Department of the
                SAA to begin posting job openings. This new system is
                coupled with their existing content management system to
                streamline workflow. SAA job openings now simultaneously
                appear on Senate.gov in conjunction with http://SAANET.
      --Capitol Camera http://www.senate.gov/general/capcam.htm
        --Takes advantage of the new flash streaming video servers to
                display a constant feed of the Capitol Dome from the
                Russell Building. The template originally created for this
                page has been reused many times as more video is added to
                the Web site.
      --Senate Chamber Maps http://www.senate.gov/artandhistory/art/
            special/Desks/earlychambermaps.cfm
      --Historic maps added to interactive Desks site dating back to 1840.
      --Fourteen Featured Biographies http://www.senate.gov/pagelayout/
            history/one_item_and_teasers/featured_biographies.htm
      --Six Audio Clips http://www.senate.gov/artandhistory/history/
            oral_history/AudioClipsList.htm
        and
      --Four Oral Histories http://www.senate.gov/pagelayout/history/
            g_three_sections_with_teasers/oralhistory.htm
                Homepage feature articles were published on the following
                        topics:
      --The Senate Chamber: 1859-2009;
      --Russell Senate Office Building: First Century, 1909-2009;
      --Celebrate National Library Week: Browse Senate Art Publications;
      --Moments in Senate History: Photographs of Senate Life;
      --An Historic Painting, Rediscovered: Henry Clay in the U.S. Senate;
            and
      --Focus on the Constitution: Advice & Consent of the Senate.
    Secretary's Intranet--Webster.senate.gov/secretary

        The new Secretary of the Senate intranet (http://
    Webster.senate.gov/secretary) grew considerably during its first full
    year online. An electronic newsletter managed by the Executive office
    was created and implemented, proving information specific to the
    Secretary's office. Web-based order forms were created and enhanced for
    use in requesting specific legislative documents, class registration,
    blank paper, room reservations, and stationery product suggestions.
        Web Technology worked with the SAA and the Senate Archivist to
    establish a Web page (http://Webster.senate.gov/secretary/departments/
    Historical_office/Archiving/archiving_services.htm) to house
    information on archive management. Additionally, the office devised
    displays and organization for the information set.
        A catalog-based ordering system is being developed for the
    Stationery Room, which will enable staff to order online. The new
    system will be managed with the content directly from the Stationery
    Room's existing retail management system. The ordering system is
    intended to be especially helpful to state offices. The new system is
    expected to launch in June.
        A new virtual server was created to host the Secretary's content
    separate from the other officers on Webster. To facilitate this
    transition, legacy content was either deleted from the existing Webster
    server or migrated into the Secretary's content management system.
    Isolating Secretary's content onto a virtual machine leverages some of
    the newest technology offerings from the SAA, is more environmentally
    friendly as it replaces multiple physical servers, is easily recovered
    in emergency instances, and makes all systems involved operate more
    efficiently.
    Webster Central Web Site--Webster.senate.gov

        In conjunction with the SAA, Chaplain, and Senate Committee on
    Rules and Administration, Web Technology continued administering,
    managing, and enhancing the central section of Webster. As part of the
    Webster Advisory Group (WAG), Web Technology collaborated on the
    creation, distribution, and interpretation of a Webster user survey.
    Based on the feedback, WAG implemented changes to enhance users'
    experiences and increase ease of use of the site.
        To streamline the management of content on the central site we
    repurposed many files that are already updated through existing systems
    on Senate.gov. The expansion of repurposing data has reduced
    duplicative efforts, increased consistency, relevancy, and timeliness
    of data displayed on Webster. Standardizing XML across both sites and
    having it integrated to Web Technology's content management system was
    essential to making this possible.
        Another heavily utilized content system for the central portion of
    Webster is the Senate Library's taxonomy system, which generates the
    content used to produce the hierarchical data used in the ``Service,''
    ``Legislative,'' ``News & Research,'' and ``About the Senate'' tabs
    accessible from all Webster pages. The system is also used to direct
    suggested matches based on keywords or phrases. Web Technology and the
    Senate Library work closely to ensure timely updates in an efficient
    and user-friendly matter, as well as to modify the displays based on
    the desires and needs of Senate Staff, and offer continued support of
    the various systems and their integrations.
    Senate Legislative Branch Web site (Legbranch.senate.gov)
        The Legbranch server is accessible by the Senate, House of
    Representatives, LOC, AOC, GAO, GPO, CBO, and USCP. The Department of
    Web Technology maintains a basic Web site for a Capitol Hill e-mail
    messaging working group managed by the SAA. In the future the server
    will be used to share more information with other Capitol Hill
    entities.
    Accomplishments of the Office of Web Technology in 2009
        Began the upgrade of the content management system upgrade. Planned
    completion date of the upgrade project is the beginning of April when
    new hardware will host the most currently released versions of the
    software that comprises our content management system.
        Audited the Senate.gov Web pages regularly, updating, enhancing,
    and correcting pages; verifying content; and reviewing individual page
    designs throughout Senate.gov for accessibility and usability.
        Constantly monitored data feeds from the LIS/DMS system, ensuring
    content on Senate.gov was current and all processes were functioning
    properly. This is of vital importance, particularly regarding committee
    hearing schedules, vote data, and member contact information.
        Worked with new Senate offices to establish and maintain temporary
    Web pages including a picture, biography, and contact information until
    they were able to get permanent Web sites established.
        Responded to approximately 2,000 e-mails from the general public
    regarding Senate.gov sites. Worked with various content providers, Web
    support groups, the SAA, member, and committee offices to make
    suggestions and resolve issues.
        Continually reviewed and adjusted search operations and canned
    matches for both Senate.gov and Webster.senate.gov based on user
    tendencies and requests.
        Conducted user testing with Senate staff and interns to increase
    understanding of current Web site interactions, desires, and best
    practices.
        Participated in Capitol Hill working group determining ideal manner
    of providing public legislative data in a secure, downloadable, and
    searchable format. Other entities involved in this project are the
    House of Representative, GPO, and the LOC.
        Helped organize Capitol Hill wide Webmaster meetings, where best
    practices were shared across entities. Regularly gave presentations and
    facilitated conversations during meetings. Led a separate discussion
    relating to content management systems which had representatives from
    Republican Conference, DLC, SDMC, LOC, CRS, House Chief Administrative
    Officer, House Clerk, AOC, Capitol Visitor Centerm and CBO.
        Continually trained and practiced working from remote locations to
    be prepared should the need arise. All staff are now fully capable of
    accomplishing their job functions from any location with Internet
    access. This was accomplished largely through configuring virtual
    machines that mimic workstations on office laptops.
        Bibliography production greatly simplified for both Senate.gov and
    Webster. To enable Senate users to directly borrow books from
    bibliographies separate versions for Webster are implemented, and, when
    applicable, the data is drawn from Senate.gov bibliographies. This
    aligns the data between two sites, while displaying the appropriate
    options to the two separate audiences. The new system tremendously
    simplifies the process for creating and updating bibliographies in both
    sites.
        Aided the Senate Library in aspects of Senate Information Services
    transition. Worked closely with the SAA to offer a variety of Web-based
    survey options for the Library to select from. Customized survey to
    meet the Senate Library's data collection and reporting requirements.
        Published XML data for individual roll call votes and votes lists
    from the present back to the 101st Congress, 1st Session. Enacted and
    implemented a system to publish future roll call votes in XML format in
    addition to the already existing HTML renditions.
        Worked extensively with the Senate Library in the continual
    development, implementation, and maintenance of taxonomies.
    Participated in the planning and approach to including the ``Red Book''
    data to be integrated in the knowledge base.
        Knowledge base data is now published directly to Senate.gov.
    Through modifications in the content management system, Web Technology
    has established a system with the Senate Library to allow for the
    direct export of reports to display as Web pages on Senate.gov and
    Webster, decreasing the need for human interaction and increasing
    efficiency.
        Implemented algorithms to tally vital statistical calculations
    related to cloture and veto counts, streamlining the process and
    reducing the chance of errors.
        Created virtualized production server for the Secretary's intranet.
    Cleaned legacy data from legacy physical server and migrated
    appropriate content into the content management system.
        Worked with the Historical Office and GPO in the design of a new
    standalone site for states.
        Worked with the Curator's Office to reorganize their content within
    the Art and History bucket. Instituted new information architecture for
    the artifact pages making editing much more efficient. Designed new
    layout concepts for the Curator's Office areas of focus. Built subject-
    based collection lists, initially organizing art objects by sitters,
    which was then expanded to other subject areas, all drawn from the
    Curator's maintained object database.
        Maintained and continued to implement the use of handles
    established by the LOC for legislation, ensuring functional links to
    pieces of legislation regardless of changes to other systems. Handles
    are now used on the many different statistical tables maintained by the
    Senate Library reflecting information on currently active legislation,
    cloture motions, nominations, and vetoes. Also, summary tables were
    created for the various data sets to further ensure the accuracy and
    usability of data reported.
        Expanded a system established for the Senate Placement Office to
    post employment offerings publically on Senate.gov, to include job
    openings from SAA Human Resources Department. Collaborated with the SAA
    in integrating the data across two separate content management systems.
    Having both sets of data in XML allows for the integration of all job
    postings from the SAA and the Placement Office into one comprehensive,
    searchable list.
        Helped maintain back-up server for the CMS at the Alternate
    Computer Facility (ACF) with the SAA, ensuring our continuity of
    operations plan. The ACF server is an exact replica of the production
    system and is continually tested to serve as a real time replacement
    should the production server become inoperable.
    Senate.gov Usage Statistics
        In 2009 an average of over 350,000 visits occurred per day on the
    Senate.gov domain. Twenty-six percent of them entered through the main
    Senate homepage while the majority came to the site through a
    bookmarked page or to a specific page from search results; this
    indicates a slight rise in visitors entering through the homepage of
    Senate.gov from the previous year.

    ----------------------------------------------------------------------------------------------------------------
                                                                                                         2008-2009
                            Title of Web Page                          2008 Visits/    2009 Visits/       Percent
                                                                           Month           Month         Increase
    ----------------------------------------------------------------------------------------------------------------
    Visits--Entire Site.............................................       8,521,779      10,754,581             +26
    Senate Homepage.................................................       1,704,697       2,526,741             +48
    ----------------------------------------------------------------------------------------------------------------

        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 drawn to the
    following content items, listed in order of popularity.

                                               MOST VISITED PAGES IN 2009
    ----------------------------------------------------------------------------------------------------------------
                                                                       2008 Visits/    2009 Visits/
                                Top Pages                                  Month           Month      Percent Change
    ----------------------------------------------------------------------------------------------------------------
    Senators Contact Info List......................................         546,847         698,084             +27
    Roll Call Votes.................................................         182,691         169,276              -7
    Committees......................................................          78,810          94,446             +20
    Legislation & Records...........................................          64,010          91,689             +43
    Active Legislation..............................................          37,860          74,199             +96
    Votes...........................................................          58,277          57,463              -1
    Senate Leadership...............................................          19,981          20,663              +3
    Committee Hearings Scheduled....................................          16,668          21,726              +3
    ----------------------------------------------------------------------------------------------------------------

        By a huge margin, the most popular page on the main Senate Web site
    is the list of Senators with links to their Web sites and comment
    forms. Visitors also continue to be interested in legislative matters
    in 2009 with Roll Call Vote Tallies, the Active Legislation table,
    Committee assignments and schedules being particularly popular. The
    visits per month did decrease across some of the most visited pages on
    the site. The decrease is most likely attributed to the information on
    the pages being consumed by other Web sites and then being redisplayed.
    Additionally, some of the most sought information began being offered
    in XML, Roll Call Votes, in 2009 making the consumption and
    dissemination faster and easier. Thus, although the actual visits to
    Senate.gov decreased on some pages more people are utilizing the
    information being provided across the site.

                        Sergeant at Arms and Doorkeeper

    STATEMENT OF HON. TERRANCE W. GAINER, SENATE SERGEANT
                AT ARMS
        Senator Nelson. Mr. Gainer.
        Mr. Gainer. Thank you, Mr. Chairman and ranking member and
    Senator Pryor. I appreciate the opportunity this afternoon to
    discuss the work we have been doing in our budget for the
    upcoming fiscal year. I, too, ask that my written report be
    submitted and made part of the record.
        Senator Nelson. It will. Thank you.
        Mr. Gainer. The budget request I have submitted, as you
    indicated, requests a 7 percent increase, just over $15 million
    more than fiscal year 2010, a total of nearly $240 million.
    Last year we requested a 10.5 percent increase; the year
    before, 11.5 percent; 13.9 in 2008; and 12.8 in 2007. So we
    thought we were heading in the right direction.
        I was on the floor last year when you sought the
    approximately 3 percent increase in the legislative branch, and
    as your opening remarks indicated, it was not well received
    again, even though all of us thought we were getting where we
    needed to be. I was also on the floor when there was an attempt
    to take a couple hundred million dollars from all of us, and we
    appreciate your defense of our budgets because it was so very
    important. But these events highlight the difficulty we all
    have in this.
        We work together, the Secretary of the Senate, the Capitol
    Police, the Architect of the Capitol (AOC), and the Rules
    Committee, providing quality service to the Senate. Our SAA
    team does great work. They are industrious, honest, and very
    self-actualized. They are guided by leaders like my deputy,
    Drew Willison; Bret Swanson in operations; Chris Dey, our CFO;
    Pat Murphy in HR; Kim Winn, the Chief Information Officer;
    Christie Preach, who serves the entire Senate in the EAP
    program; Peggy Greenberg, who does so much training here and
    throughout the Nation; Mike Heidingsfield in Police Operations;
    Becky Daugherty, our Protocol Officer; Rick Edwards, on all
    issues related to the floor; Dave Bass in the Recording Studio;
    Joe Collins, the Postmaster. These are a few of the people who
    contribute.
        Our services are not only in the D.C. area, but also in the
    454 offices throughout the Nation.
        My submitted 40-plus pages of testimony covers the
    accomplishments so that you and your staff know how hard we
    work for you. Allow me to mention a few highlights.
        For instance, in IT, we have a 96 percent rating of
    satisfactory or better for help desk calls. You and your staff
    know how important that is. We have a 99 percent or better on-
    time arrival for IT installation. We processed some 247 million
    Internet messages last year. We have established the online
    purchasing of your office technology needs. A recent example of
    how IT continues to adjust to the workload of the Senate;
    recently we helped process 800,000 e-mails sent by one Senator
    in a single day. Your expectations of IT are very high.
        From a security standpoint, every day we are monitoring
    what goes on in the IT area, and daily we deal with about 13.9
    million network security events.
        As the Secretary of the Senate indicated, we have opened
    the Senate galleries for the first time since 9/11.
        Our cabinet shop has seen a 130 percent increase in repair
    and refurnishing of over 200 pieces of furniture.
        Our printing and graphics, direct mail (PGDM) produced 7
    million letters for you last year. They work in a space of
    about 30,000 square foot in the basement of the Postal Square,
    when every expert says they should be operating in an area of
    at least 50,000 square feet. In this past year in that
    particular unit, they suffered two massive floods of raw
    sewerage that they contended with themselves, while they kept
    up their work.
        Our recording studio doubled the number of TV productions
    to 2,700 this past year. Live broadcasts were increased 44
    percent.
        In the customer support area, the 15 new Senators--we
    helped them set up their offices.
        We negotiated leases on 171 State offices.
        We increased the number of parking spaces, alleviating a
    problem.
        For the duration of the snowstorm, several of the Capitol
    operators never went home. They slept on cots and couches in
    order to make sure the telephones were answered.
        Capitol facilities reduced the number of employees by five
    over the year and kept up the workload that has increased in
    the Capitol Visitor Center (CVC).
        Through process improvements, our post office reduced their
    head count by four FTEs which we moved over into the CVC to
    support the appointments desk. They processed 14.4 million
    pieces of mail. That is a 50 percent increase.
        The expectations of you and your office administrators are
    very high. They are very demanding for you and for the
    constituents.
        Having said that, I am truly well aware of the financial
    impact. As a small anecdote, I ran my budget by so many people
    in my own office, but spent some time with a good friend of
    mine in Chicago. We grew up together: grade school, high
    school, college roommates. He went off in the Navy as an
    aviator. I went off in the Navy in surface warfare. He runs two
    businesses in Chicago and is a part of a bank. Ron Fisher of
    Thompson Stainless Steel Polishing and Finished Metals.
        When I talked to him about our budget and how he was
    working through this and what he expected of what we are doing,
    Ron related that the family has been in this business over 60
    years. His dad started it. He has 35 employees. They are in
    their third year of no raises for those employees. They are in
    their third quarter of 32-hour work weeks in order to keep the
    people employed with health benefits. He indicates he pays
    about $20 an hour, plus benefits for work in this area. Work
    that could be done in China for 20 cents an hour.
        So, I understand how he is struggling. And he wants to know
    how we are doing; what steps the elected officials are taking,
    and how I am going to run my office? He readily admits he does
    not have the answers to all the problems, but he believes like
    you that Government needs to be somewhat reduced.
        Our budget is very real. This is the 17th budget I have
    participated in as the head of an agency, 7 or 8 years as the
    director of the Illinois State Police, running our Capitol
    Police, as Phil did, the Metropolitan Police Department, the
    Chicago Police Department, and this agency. I do understand the
    budget process. Our budget is transparent, and it is our
    professional recommendation how best to serve the Senate.
        Having said that, I believe we can make changes. I believe
    we can deliver the same level of today's service for one more
    year at our current expense level. I believe that we can zero
    out the $7.7 million that we have requested in non-salary
    areas. We can sustain our existing technology and provide for
    current services. I do believe, though, that given the demands
    placed on us, it will be much more difficult to upgrade
    existing technology, to acquire new technologies which improve
    existing services, or introduce new services. That is where we
    would tighten our belt.
        We have already put a freeze on the 19 vacancies we have
    currently. In our budget, we asked for five people. I would
    withdraw that and not ask to hire anybody. I would respectfully
    ask that our unobligated balance funds of $13.9 million that we
    have accumulated over the last couple of years, remain under
    our control. We would work with you over the year to reprogram
    as needed. So I am very much supportive of moving us to a flat
    budget.
        Now, in the area of the cost-of-living adjustments (COLAs),
    and the merit increases, and the other adjustments, I will have
    to admit that is a bit more confusing. Our COLA increase of
    $1.1 million seems insignificant when compared to the overall
    budget of the legislative branch or the deficit, but I do
    believe that we should work with you to figure out whether this
    is a year for COLAs for us or not. Now, I say that not wanting
    to destroy the very morale of the people who have served all of
    us so ably, but again, reflecting back as you have on your
    constituents, on what is going on in the business world, I do
    have a personal, ethical problem with awarding ourselves the
    cost-of-living increases. By the same token, I certainly do not
    want to be the only organization on the Hill that asks our 959
    employees not to take a raise that they fully deserve. The
    adjustments of some $4.4 million account for the people we have
    hired thus far through the year. So we would need to work very
    closely with you on how to ensure that we can maintain the
    level of services, keep the people on board, and exceed the
    expectations you have for us.
        As I mentioned, the Senators and your staff are very
    demanding. For instance, I was down in the Hart subway today
    and people tried to come through on their way to the Capitol.
    The police officers, as we have instructed them to do, turned
    them around and told them to head to Russell. And I know how
    frustrating that is. Working with the Rules Committee and
    yourselves, you have said you want a way to get from the Hart
    building where so many of you work, to the Capitol building. So
    we have been working over the past year on how to develop that.
    It would require putting additional police officers in Hart,
    additional magnetometers in Hart, and additional people from
    our staff to direct visitors to where they want to go. That is
    the type of thing we do and costs money that you have
    requested.
        So assuming we zero out our budget as close as possible, it
    really means your staffs must have a different expectation. The
    Secretary mentioned the Senate payroll system. One of the items
    that I would suggest we would not fund is the Senate office
    personnel system, highly sought by your office administrators
    in the Rules Committee. The two systems are related. The
    personnel system probably would not be turned on if we
    installed it until after the Senate payroll system is done, but
    in order to be ready to flip that switch, we would have to
    begin on that now. If we delay that now, and in 18 months, as
    the Secretary indicates, the Senate payroll system conversion
    is complete, someone is going to be standing on that side of
    the desk wanting to know why we are not flipping on the Senate
    office personnel system. So, when we work on our budget and
    reduce it, we have to have a multiyear approach on what that
    impact will be.

                               PREPARED STATEMENT

        And let me conclude with this, if I might, and put on my
    police board hat for a second. I sat in Chief Morse's chair and
    our Police Board strongly supports what he is doing. We are as
    disappointed, probably less so than Phil is, on the missteps in
    his budget. But I think Phil Morse and his team are putting the
    department in the right direction, and we can get through this
    error. I stand and the Police Board stands firmly behind Phil.
        I look forward to your questions. Thank you.
        Senator Nelson. Thank you. I will do what I can to get my
    colleagues to be less demanding.
        Remember, my name is Benjamin not Merlin.
        [The statement follows:]
                    Prepared Statement of Terrance W. Gainer
                                  introduction
        Mr. 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 2011, the Sergeant at Arms respectfully requests a
    total budget of $239,286,000--an increase of $15,685,000 (or 7 percent)
    over the fiscal year 2010 budget. This request will allow us to
    maintain and improve the 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. The Appendix accompanying this testimony elaborates on the
    specific components of our fiscal year 2011 budget request.
        In developing this budget and our operating plans, we are guided by
    priorities framed in our Strategic Plan to include ensuring the United
    States Senate is as secure and prepared for an emergency as possible
    and providing the Senate with outstanding service and support,
    including the enhanced use of technology.
        Our accomplishments in the areas of security and preparedness,
    information technology, and operations are impressive. This year, I am
    pleased to highlight some of this office's activities, to include the
    furtherance of our efforts toward enhanced systems for better
    communication across the Hill during emergencies; added training
    courses and instruction on emergency preparedness, including personal
    preparedness at home; updated pandemic plans; and exercises to test our
    abilities to work remotely. Our IT successes included a 99 percent and
    better on-time arrival for our IT installation team and customer
    surveys that revealed a 96 percent rating of satisfactory or excellent
    in resolution of our Help Desk calls. We expect this level of
    performance to continue through fiscal year 2011 and always strive for
    perfection. Our robust messaging infrastructure processed approximately
    247 million e-mail messages during the past calendar year. We also
    supported and enhanced the Senate's video conferencing capability. We
    enhanced security technology for devices used during international
    travel, enhanced secure video conferencing, and continued to test our
    ability to support mission-essential systems under adverse conditions.
    In other services, our Cabinet Shop repaired and refinished nearly 200
    pieces of furniture--a 130 percent increase from the previous year--and
    designed, built, and installed 129 pieces of furniture, a 42 percent
    increase. Our Printing, Graphics and Direct Mail branch utilized the
    latest technology in digital printing to produce 6.7 million letters,
    an increase of 36 percent. In 2009, PGDM printed 9,434 posters for use
    on the Floor during debate.
        My organization continues to be a good steward of taxpayers'
    dollars as we continue to elevate our performance. Our productivity
    increased to unprecedented levels, exemplified by the Senate Post
    Office processing the most mail in over a decade with four fewer
    people. With the Senate being in session for more days during 2009 than
    any year since 1995, our Senate Recording Studio, Doorkeepers,
    Appointment Desks and Media Galleries generated more broadcasts,
    assisted more visitors and facilitated more media than at any time in
    the Senate's history. Last year, for example, Senate Floor proceedings
    telecasts increased by 44 percent; the number of Senate television
    productions doubled to 2,749, radio productions increased by 38 percent
    and Senate committee hearing broadcasts increased by 21 percent. We
    accomplished this increase in our efficiency through our dedicated
    staff improving processes, using improved technology, and leveraging
    existing resources--not by increasing staff. Our customer satisfaction
    and employee morale levels have never been higher. All of this is to
    say that the Sergeant at Arms Team is working toward the vision of our
    Strategic Plan: Exceptional Public Service . . . Exceeding the
    Expected.
        Assisting with 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;
    Senior Assistant Sergeant at Arms for Police Operations, Security and
    Emergency Preparedness Michael Heidingsfield; Assistant Sergeant at
    Arms and Chief Information Officer Kimball Winn; Chief Financial
    Officer Christopher Dey; and Assistant Sergeant at Arms for Operations
    Bret Swanson. The many goals and 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 (AOC),
    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 and Judicial Branches. I am impressed by the people with whom
    we work and pleased with the quality of the relationships we have built
    together.
        I am very proud of all the men and women of the Sergeant at Arms
    team who help keep the Senate running. While serving as Sergeant at
    Arms, I have seen their great work and devotion to this institution.
    The employees of the Office of the Sergeant at Arms are among the most
    committed and creative in government.
        As always, my staff and I are grateful for the support and guidance
    of your subcommittee, the full Committee and also the Senate Committee
    on Rules and Administration.
            police operations, security, and emergency preparedness
        The Police Operations, Security, and Emergency Preparedness (POSEP)
    division of the Office of the Sergeant at Arms represents the
    integrated plans and programs for:
      --Successful execution of law enforcement support and coordination,
      --Security of the Senate as both an institutional body and a campus,
      --Protection of Members and staff in the District of Columbia and
            respective state offices,
      --Counterterrorism measures taken to physically guard against attack,
      --Continuous Senate operations during minor or major disruptions, and
      --Necessary testing, training, and exercising in preparation for any
            catastrophic event.
    Contingency and Emergency Preparedness Operations
                Emergency Communications and Accountability
        The Senate collaborated with the House Sergeant at Arms' Office of
    Emergency Management to jointly procure and install the WebFusion
    software application for use in our emergency operations centers. The
    Senate and House are the first Federal entities to connect their WebEOC
    (Web Emergency Operations Center) applications using WebFusion within
    and between their departments. As a result, the Senate, House, and
    Government Accountability Office can now seamlessly share information
    during special events and emergency incidents.
        The ability to account for Senators and staff remains a priority in
    all emergency plans and evacuation drills. Several years ago, we began
    to improve procedures for offices to report accountability information
    to the USCP and SAA quickly and accurately using proximity card-enabled
    laptops and a BlackBerry-based application that allows office emergency
    coordinators to account for staff remotely. The backbone of this
    capability is the Accountability and Emergency Roster System (ALERTS),
    which allows each office to manage staff rosters and designate
    individuals receiving e-mail and phone alerts. Senate staff and USCP
    personnel are trained to use ALERTS during personalized and classroom
    sessions.
        We continued to improve notification and communication programs
    this year to ensure devices and systems are ready to support the Senate
    during local or large-scale emergencies. The primary alert and
    notification system for Senate ALERTS provides a single interface for
    delivering emergency e-mail, Personal Identification Numbers (PIN), and
    voice messages to the Senate population. AIRCON procedures for the
    fourth floor of the Capitol were improved.
        In conjunction with the USCP, Secretary of the Senate, party
    secretaries, and other stakeholders, we conduct monthly Senate ALERTS
    tests for staff and biannual tests for Senators. These tests are
    designed to ensure our emergency messaging system is reaching all
    intended recipients and transmitted through e-mail, PIN, voice,
    annunciator, and public address systems. Additional capabilities to be
    implemented this year include an emergency alert system that will
    provide a text and/or voice messaging service broadcast over existing
    and new Senate cable television network channels. The system's capacity
    was recently demonstrated to the Committee on Rules and Administration
    to finalize standard operating procedures prior to use.
                Training and Equipment
        Three distinct areas serve as the foundation of our training
    program and provide essential knowledge regarding office emergency
    coordinator responsibilities, emergency preparedness basics, and
    emergency equipment use. Additional training courses focus on the
    specialized features of emergency preparedness on the Capitol campus.
    Our staff conducts personalized training covering such topics as
    accountability, shelter-in-place, evacuations, and internal relocation.
    One hundred sixty training sessions were conducted in 2009 to train
    5,300 staff. We also recognize staff commitment though our newly-
    established Office Emergency Coordinator Certificate Program. Staff
    awareness and personal preparedness outside the workplace has been an
    equally important goal for which the Personal Preparedness Plan
    Tutorial was refined to provide step-by-step planning instructions that
    allows staff to create customized preparedness plans. We released an
    updated version of the Roadmap to Readiness in 2009 and included an
    Emergency Response Guide--a condensed, portable version of critical
    emergency information.
        Each office receives an array of emergency equipment that is
    distributed, inventoried, and maintained by emergency preparedness
    staff annually. The caches include escape hoods, Victim Rescue Units,
    Wireless Emergency Annunciators, and emergency supply kits. Equipment
    accountability and functionality is ensured through testing and
    replacement of expired items such as batteries, food, and water. Over
    18,800 escape hoods are currently deployed throughout the Senate. This
    number includes both adult and baby escape hoods located in Senate
    offices and public caches. Additionally, we positioned 1,229 Victim
    Rescue Units alongside escape hood bags and in emergency supply kits.
        Nearly 1,600 Wireless Emergency Annunciators are deployed
    throughout the Senate complex. These devices allow the USCP to provide
    verbal instructions to staff during emergencies and other significant
    events and to provide periodic updates. A squelch issue reported by
    numerous Senate offices was resolved through software and charger base
    upgrades completed by January 2010 under warranty at no cost to the
    Senate and with limited interruption to offices. This solution has
    improved overall system functionality (reception, audibility) and
    customer satisfaction throughout Senate office buildings.
                Emergency Plans, Operations, and Facilities
        Emergency plans emphasizing life safety and continuity of
    operations after a disaster continue to be strengthened and fortified.
    All new Member offices will receive assistance in developing emergency
    action procedures, taking into account that many of these offices will
    initially be assigned temporary office spaces. When completed, each new
    office will have a functional emergency action plan, established
    primary and secondary evacuation routes, mobility-impaired evacuation
    procedures, and a complete collection of emergency contact records.
        Senate SAA and House planners joined forces with the U.S. Capitol
    Police's Emergency Management Division and the AOC to establish
    procedures in response to respiratory threats requiring the use of
    internal relocation sites. Select facilities throughout the Capitol
    complex have been structurally improved and modified to allow for short
    term (2-3 hour) sheltering. Fifty-eight Senate office internal
    relocation plans were updated with general information and an
    additional 65 offices received internal relocation assignments. All
    Senate offices now have plans in place. Signage and increased training
    have improved awareness of internal relocation sites and procedures.
        We developed a new Continuity of Operations (COOP) planning
    template for committees in addition to a new program to review existing
    Senate office plans that are more than 2 years old. This initiative has
    resulted in more than 80 percent of D.C. Member offices being equipped
    with updated COOP plans that will allow operations to continue in the
    event of relocation. A program has also been implemented to provide
    assistance in developing and executing tabletop exercises for D.C.
    Member offices to test their published plans. This capability allows
    offices to discuss individual roles and responsibilities that must be
    performed in order to continue legislative and constituent operations
    offsite. The Living Disaster Recovery Planning System is a new software
    tool that is being tested and piloted. It will allow Senate offices to
    quickly develop COOP plans that denote essential functions and vital
    records needed during a COOP incident and store them electronically.
                Exercises
        A comprehensive exercise program is structured to ensure Senate
    plans are practiced and validated regularly. The Sergeant at Arms and
    Secretary of the Senate conduct several joint exercises annually with
    the USCP, AOC, Office of Attending Physician, party secretaries, and
    other key Congressional stakeholders. A new exercise support contract
    was successfully put into place with no interruption to existing
    services. This year's exercise plan is designed to maintain and
    strengthen existing capabilities while addressing emerging needs and
    solutions. A total of eight Senate-wide exercises, four tabletops or
    guided discussion exercises, and four functional exercises were
    completed in 2009. Additionally, a Special Events Planning Guide and
    professional development and training program for security,
    contingency, and emergency preparedness staff have been developed for
    implementation in 2010. We successfully executed a telecontingency
    exercise for Pandemic (H1N1) 2009 and updated pandemic plans to reflect
    lessons learned from the spring 2009 outbreak. Additionally, we
    distributed pandemic health kits and telecommuting guidelines to
    facilitate preparation.
        The office conducted ``no-notice'' exercises to test select
    preparedness functions at various locations in partnership with the
    USCP, Office of Attending Physician, Secretary of the Senate, AOC,
    Committee on Rules and Administration, and several entities within the
    U.S. House of Representatives. The general exercise format included
    functional capabilities demonstrations and tabletop scenarios designed
    to test the Senate's ability to function during an event that requires
    relocating to alternate facilities or contingency sites. After-action
    reports were generated after each exercise to document lessons learned
    for future plan improvement.
    Law Enforcement and Security Operations
                Congressional Delegations
        Law Enforcement and Security Operations supports Senators and their
    staff as they travel overseas to conduct Senate business by providing
    security consultation services to prospective travelers in
    collaboration with the U.S. Department of State, USCP, and Secretary of
    the Senate. Actual budgetary requirements remain relatively low in this
    area but must be included in annual requests to support the security
    responsibility vested in the SAA organization.
                State Office Security and Preparedness Programs
        State office programs provide a level of security and preparedness
    in participating state offices similar to D.C. offices. There are over
    400 state offices, varying from single to multiple staff offices,
    located everywhere from commercial storefronts to Federal courthouses.
    Several violent incidents in and around Federal buildings and offices
    and numerous high-profile and contentious issues arose in 2009, making
    these programs critical even with their voluntary implementation
    status. To combat these threats, offices receive equipment, training,
    and consulting for secure reception areas, access control, and duress
    and burglar alarms.
        One hundred and one Senate state offices received assistance in
    completing a Comprehensive Emergency Plan (CEP) in 2009. The plan
    combines security, emergency preparedness, and continuity of government
    processes into one document that meets the requirements of the
    Congressional Accountability Act. Additionally, all new state offices
    received program briefings and emergency equipment and supplies similar
    to D.C. offices. Pandemic (H1N1) 2009 information was promptly
    disseminated to state offices and approval from the Committee on Rules
    and Administration allowed state offices to procure supplies to combat
    the spread of the virus. The focus will turn to providing an improved
    online software tool for creating CEPs and offering additional
    preparedness classes online in 2010.
        The State Office Security Enhancement Program provided security
    enhancements in 65 Senate state offices in 2009. These enhancements
    included building secure reception areas where visitors can be screened
    for signs of hostility, intoxication, etc., before allowing them into
    the work space; duress buttons; closed-circuit cameras with digital
    video recorders; burglar alarms; and other items which provide
    increased security. To date, the program has provided security
    enhancements in 77 percent of offices located in commercial space and
    58 percent of offices located in Federal buildings. Additionally, over
    300 state office alarm systems were tested and inspected. The focus
    will turn to utilizing a new all-hazard risk assessment to survey all
    state offices and offer security enhancements to non-participating
    offices in 2010. Collaboration with representatives from the USCP,
    General Services Administration, Federal Protective Service, and the
    U.S. Marshals Service will continue as will onsite visits.
                Senate Campus Access Accommodations
        During 2009, we collaborated with the USCP to coordinate and
    approve over 259 requests for vehicles requiring special access to the
    Senate campus. This total does not include the military and government
    arrivals that were also organized. Requests for access continue to grow
    with the opening of the Capitol Visitor Center (CVC). Our organization
    works closely with our House counterparts to coordinate access on both
    sides of Capitol Hill for groups with special needs. This service
    involves working directly with Member offices and their constituents to
    help resolve accessibility issues and create memorable, meaningful, and
    safe trips to the Hill without compromising security. The program's
    webpage was recently updated to better facilitate accessibility
    requests from Senate offices.
                USCP Command Center Support
        To refine communication between the USCP and the Senate community
    during critical incidents, POSEP staff monitor and support the SAA
    Command Center Duty Desk while the Senate is in session.
                Campus Security Vulnerabilities
        The SAA, USCP, U.S. Secret Service and the Defense Threat Reduction
    Agency continue to identify and mitigate security vulnerabilities
    throughout the Senate complex. Area-specific security experts are
    dedicated to identifying vulnerabilities and implementing solutions.
    The Senate's physical presence extends well beyond Capitol Hill and
    into Senate state offices across the country.
                             information technology
    Enhancing Service, Security and Stewardship
        We continue to provide a wide range of effective information
    technology solutions to facilitate the Senate's ability to perform its
    legislative, constituent service, and administrative duties; to
    safeguard the information and systems the Senate relies upon; and to be
    ready to respond to emergencies and disruptions. 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 2011, continues to emphasize
    our five strategic information technology goals and the supporting
    objectives that 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 & Reliable.--Access to mission-critical
            information anywhere, anytime, under any circumstances.
      --Modern.--A state-of-the-art information infrastructure built on
            modern, proven technologies.
        Our fourth information technology strategic goal--``Accessible,
    Flexible & Reliable''--may have the most impact of the five goals. The
    other goals might be considered self-evident, and we certainly spend a
    great deal of effort on them, but this fourth goal undergirds
    everything we do from a technology standpoint. We must ensure that
    almost every system and every service we deploy can withstand
    disruptions to our operating environment; can be reconfigured, if
    necessary, to cope with disruptions; and can be used regardless of
    whether the person trying to use it is located within one of our spaces
    or elsewhere. We continuously re-evaluate existing services and systems
    to identify areas for improvement and make those improvements as soon
    as we can, in an effort to ensure the Senate can continue to do its
    work under any circumstances.
        From a budgetary standpoint, more than half of the Chief
    Information Officer (CIO) organization's fiscal year 2011 request will
    go to direct support of offices through economic allocations,
    installing and supporting the equipment they acquire through the
    economic allocation, and for other programs that benefit offices
    directly. Another third will be devoted to providing services at the
    enterprise level, such as information security, the Senate data
    network, electronic mail infrastructure, and telephone systems. The
    remainder is almost equally divided between supporting the Secretary of
    the Senate with payroll, financial management, legislative information,
    and disclosure systems and our own administrative and management
    systems.
    Enhancing Service to the Senate
                Customer Service, Satisfaction, and Communication
        Our information technology strategic plan stresses customer service
    as a top priority, and we actively solicit feedback. We solicit
    customer feedback for every Help Desk ticket opened. In 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. For instance, during the
    past year, the percentage of on-time arrivals for the IT installation
    team never dropped below 99 percent. The percentage of IT Help Desk
    calls that were resolved during the initial call averaged 54 percent,
    and 96 percent of customer surveys rated the IT Help Desk and
    installation services as either very satisfactory or excellent. We
    expect this excellent level of performance to continue through fiscal
    year 2011.
        Also in fiscal year 2011, we will continue to communicate
    effectively with our customers through a well-developed outreach
    program that includes information technology newsletters; periodic
    project status reviews; encouraging customer participation in
    information technology working groups; weekly technology and business
    process review meetings with customers; and joint monthly project and
    policy meetings with the Committee on Rules and Administration, the
    Senate Systems Administrators Association, and the Administrative
    Managers' Steering Group.
                Robust, Reliable and Modern Communications
        We provide modern, robust, and reliable data network and network-
    based services that the Senate relies upon to communicate
    electronically within and among D.C. and state offices, to and from
    other Legislative Branch agencies, and through the Internet to the
    public, other agencies and organizations.
        We spent a good portion of this past year enhancing the data
    network and the services it delivers in a number of ways to ensure they
    do, and will continue to, meet the evolving and increasing needs of the
    Senate. We will maintain these efforts in fiscal year 2011 and beyond.
        We made several upgrades to our network on Capitol Hill to improve
    reliability and respond to the growing demands posed by the
    proliferation of multimedia network traffic. We have tripled the amount
    of Internet bandwidth available to the Senate and, through the use of
    new contracts, are saving approximately $350,000 per year. We expect
    that bandwidth demands will continue to grow in fiscal year 2011 and
    that we will be able to meet them.
        As part of our ongoing effort to improve the ability of state
    office staff to work more effectively, we awarded a new contract for
    the wide-area network services that support them, and began the
    installation of optimization equipment, which compresses and caches
    data packets to deliver faster response to state office staff. The new
    services contract has lower costs for the existing services, the
    savings from which we will use to improve network speeds to those state
    offices that have the greatest requirement for them. In fiscal year
    2009, we invested $664,000 in the optimization technology, which we are
    installing initially in approximately 100 state offices. Our fiscal
    year 2010 budget includes funding for an additional 100 units, the
    locations of which will be determined by identifying the sites most
    likely to benefit from performance gains. We expect these investments
    to yield savings through cost containment in fiscal year 2011 and
    beyond by reducing the demand for increased bandwidth through the use
    of optimization, and by reducing the cost of increased bandwidth
    through the terms of the new contract.
        We are working with other Legislative Branch agencies to improve
    interagency communication technology by implementing and securing an
    upgraded Capnet network that connects all the agencies, with the goal
    of making this network the preferred path for all interagency
    communication.
        In addition to our robust messaging infrastructure that processed
    approximately 247 million Internet e-mail messages during the past
    calendar year, we also support effective communication through the use
    of video conferencing. During the last and current fiscal years, we
    enhanced our video conferencing infrastructure to allow participation
    in a high-definition video conference from virtually anywhere in the
    world using an inexpensive Web camera and the Internet. We also
    developed capabilities for offices to easily create video content for
    their websites or approved external sites using the video
    teleconferencing equipment they own.
        We continue to make progress toward modernizing the Senate's entire
    telecommunications infrastructure to provide improved reliability and
    redundancy in support of daily and emergency operations, and a more
    flexible and robust infrastructure by taking advantage of technological
    advances. We will be replacing systems such as the voice messaging,
    group alert, and operational support and billing systems over the
    coming year, while we continue to move forward with the replacement of
    the main telephone switch.
                Web-Based and Customer-Focused Business Applications
        As in past years, we continue to add functionality to 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. Because it is built on an
    extensible modern database framework, TranSAAct allows indefinite
    expansion as new requirements are identified and fulfilled. We look
    forward over the coming months and years to moving additional business
    process to the Web, delivering increasing functionality to office
    administrative staff, and reducing the time, paper and errors
    associated with the current manual processes.
                Showcasing and Promoting Modern Information Technology in
                        the Senate
        We will continue to highlight new technologies in the Information
    Technology Demonstration Center through our well-attended demo days,
    which feature live demonstrations of new and emerging technologies.
    After products are tested and validated in our technology assessment
    laboratory, they are then available for offices to try in the demo
    center.
        In order to perform technology assessments, feasibility analyses,
    and proof of concept studies, and 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 we focus on the most relevant technologies and
    solutions, the Technology Advisory Group, consisting of CIO staff and
    our customers, performs high-level requirements analysis and
    prioritizes new technologies and solutions for possible deployment in
    the Senate. Among the technologies that we look forward to supporting
    over the next few months are the Apple iPhone and a means of
    transferring large files outside of the e-mail system. Software is
    becoming available that will allow us to support the Apple iPhone with
    the security, reliability and performance that our customers expect.
    Providing a solution to the problem of transferring large files will
    allow media-based and other large files to be moved in a secure and
    reliable fashion.
        We will continue or intensify these efforts in fiscal year 2011 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
    area on Webster.
                Enhancing Security with Accessible, Flexible and Reliable
                        Systems
        As previously mentioned, we build security, accessibility,
    flexibility and reliability into every system and service. In addition
    to those efforts, there are two projects to specifically mention.
        This past year, we expanded the BlackBerry scanning program
    designed to detect security intrusions on wireless devices used during
    international travel. By increasing our education efforts, we found
    potential security compromises on BlackBerry devices that were taken to
    foreign countries. Our strong partnership with the National Security
    Agency helped mitigate the risk to the Senate once the discrepancies
    were found. We also installed a secure voice conferencing system that
    allows up to 20 participants using secure telephone equipment to join
    in a secure conference call. We plan to expand the system in the coming
    fiscal year to allow up to 60 participants.
                Alternate Sites and Information Replication
        We continue to test our technology in scenarios in which we are
    unable to access our primary infrastructure and primary work locations.
    This includes the simulated loss of our primary data and network
    facilities, as well as staff work space. All mission-essential Senate
    enterprise information systems continue to be replicated at our
    Alternate Computing Facility, using our upgraded optical network and
    storage area network technology. We conduct a variety of exercises to
    ensure we are prepared to cope with events ranging from a burst water
    pipe, to a pandemic, to an evacuation of Capitol Hill. In August, we
    conducted an unprecedented exercise by shutting down most of the
    Senate's mission-critical systems at our primary site, letting them
    fail over to or bringing them up at our alternate site, and running
    them at the alternate site for a week before reversing the process.
    These exercises demonstrate our ability to support mission-essential
    systems under adverse conditions and the ability to support substantial
    numbers of people working remotely.
        We also will continue to invest in storage systems that
    automatically replicate information from our primary site to our
    alternate site. These storage systems support our mission-critical
    systems as well as individual offices.
                Securing our Information Infrastructure
        As a result of the information security initiatives that we
    completed during fiscal year 2009, and were described in last year's
    testimony, and continuing information sharing relationships we have
    with other government agencies, we improved our insight into the
    sources and the dynamic nature of global cyber threats. This improved
    insight, combined with the flexible technologies we use in our
    information security operations centers, allows us to monitor and
    quickly respond to changes in the level of operational risk present in
    our information technology environment.
        We continue to improve our active prevention and detection
    capabilities by deploying technologies and processes that help detect
    and prevent most malware infections and attempts to exploit
    vulnerabilities. This capability to detect and prevent attacks in real
    time is crucial in light of attacks targeting previously unknown
    vulnerabilities (``zero-day attacks''). These processes and
    technologies shield information technology assets from attack, thereby
    reducing the operational impact of downtime on offices and lowering
    remediation costs.
        Similar to security in the physical world, protecting information
    and technology resources requires vigilance and the capability to
    detect and deter attacks. We operate in an escalating attack
    environment in which the threats to our information infrastructure are
    increasing in both frequency and sophistication. This is not just our
    own assessment based on our direct experience but also that of the
    Director of National Intelligence, who, in his testimony before the
    Senate Select Committee on Intelligence on February 2, 2010, stated:

        ``Malicious cyber activity is occurring on an unprecedented scale
    with extraordinary sophistication. While both the threats and
    technologies associated with cyberspace are dynamic, the existing
    balance in network technology favors malicious actors, and is likely to
    continue to do so for the foreseeable future. Sensitive information is
    stolen daily from both government and private sector networks,
    undermining confidence in our information systems, and in the very
    information these systems were intended to convey. We often find
    persistent, unauthorized, and at times, un-attributable presences on
    exploited networks, the hallmark of an unknown adversary intending to
    do far more than merely demonstrate skill or mock a vulnerability. We
    cannot be certain that our cyberspace infrastructure will remain
    available and reliable during a time of crisis. Within this dynamic
    environment, we are confronting threats that are both more targeted and
    more serious. New cyber security approaches must continually be
    developed, tested, and implemented to respond to new threat
    technologies and strategies.''

        Our raw numbers bear this out, so we must remain on guard. In 2008,
    we averaged 8 million network security events per month; in 2009, 1.6
    billion per month; and so far in 2010, 1.8 billion per month.
    Fortunately, automated systems detect and defend against the vast
    majority of those events.
        The threats we face include exposure to attacks that continuously
    target vulnerabilities using a variety of malware infection vectors,
    including viruses, worms, trojan horses, spyware, spybots, adware,
    keyloggers, and rootkits. During the last calendar year, this general
    threat environment shifted in focus toward application software that is
    vulnerable without the latest patches. Over the course of the year,
    vulnerabilities in products as diverse as Adobe Acrobat, Oracle Java,
    Microsoft Office, and Internet Explorer were increasingly targeted by
    varied means of infection. Many such attacks were facilitated by social
    engineering. As we are one of our nation's core government
    institutions, we continue to see not only general attacks that affect
    all Internet-connected organizations, but also sophisticated and
    targeted attacks originating from numerous foreign and domestic
    sources.
        Last year, the Senate experienced an increase in spear-phishing
    attacks. These attacks used socially engineered e-mail messages to
    invite specifically-targeted Senate staff members to open malicious
    attachments or links. We began detailed tracking of this trend in
    August 2009 and through December saw an average of 18 attacks per
    month, of which approximately 4 per month resulted in successful
    delivery of malicious content. The attacks were widespread during this
    period and included the offices of 87 Senators, 13 committees, and 7
    others.
        Countering the risks inherent in this evolving threat environment
    requires situational awareness and robust processes, as well as
    continual research, testing and deployment of emerging security
    technologies. Recent infections have been highly virulent in nature and
    difficult to detect because they exploit newly-identified or
    previously-unknown vulnerabilities. These attacks are probably launched
    by determined and sophisticated adversaries, and we have very little
    advance notice of new types of attacks. Responding to these attacks
    requires significant investment in flexible security control structures
    and processes that can be rapidly revised and adjusted in response. As
    part of this effort, we strengthened our external relationships and use
    of external sources to improve our overall threat awareness.
        As the global threat environment shifts and intensifies, we
    continually modify our processes and technologies to better protect the
    Senate's information and IT infrastructure. We also continue to reach
    out to Senators and staff to educate them as to securing their
    information and avoiding exploitation.
                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 continue
    to look for ways to improve our processes or technologies to save time,
    money, electricity, paper, or other resources. Our CIO organization
    consistently and continuously improves the services offered to our
    customers while seeking only modest increases in funding. Many
    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:
      --Continuation of our virtualization efforts, where we now reduce
            energy and maintenance and support costs by running more than
            170 of our servers in a virtual environment. We will continue
            an aggressive campaign to virtualize servers until every server
            that can be virtualized is.
      --Offices, especially those of the new Senators, have taken great
            advantage of our virtual machine infrastructure to centrally
            host their file and application servers on shared hardware at
            our primary and alternate facilities, which greatly increases
            server hardware efficiency, and through system duplication and
            data replication, offers enterprise class data redundancy and
            recovery in the event of a critical local failure or crisis.
            The virtual solution also relieves offices of considerable
            noise, excess heat, and will increase usable office working
            areas for staff. It removes the single point of failure from
            existing office servers and meets continuity of operations and
            data replication requirements for approximately half the cost
            of existing solutions. To date, we are hosting 44 Senate office
            file servers on our virtual infrastructure. Virtual servers
            running in the data center consume only 15 percent of the
            energy of a comparable number of physical servers, reducing
            power consumption and air conditioning requirements and saving
            Senate funds while enhancing our ability to provide reliable
            and redundant services. Fewer servers used by the Senate also
            means fewer servers will need to be manufactured and,
            therefore, fewer servers will have to be disposed of at their
            end of life, which is greening on a national scale.
      --We used our catalog to highlight the energy-efficient aspects of
            our supported information technology and general office
            equipment, and we conducted ``green'' demo days where vendors
            could answer questions about their products' environmental
            friendliness.
      --We continue our efforts to dispose of surplus electronic equipment
            through such programs as the Computers for Schools program.
            Last year we fulfilled 28 Member office requests and packed and
            shipped 345 surplus computers to eligible public schools. We
            send other surplus equipment to the General Services
            Administration for redistribution or resale.
      --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
    Capitol Facilities
        SAA Capitol Facilities serves the Senate community by providing a
    clean and professional work environment through its Environmental
    Services Division. This division moves Capitol furniture, provides
    special event setups in the Capitol--including the ten event spaces in
    the Senate expansion space of the CVC--and completes other service
    requests. Given the cyclical nature of requests for event setups and
    furniture movement, Capitol Facilities was able to improve labor cost
    efficiency by supplementing our full-time work force with contracted
    labor to meet customer demands during peak request periods. This
    resulted in eliminating five vacant full-time positions in the
    Environmental Services Division, realizing a first-year cost savings of
    approximately $150,000.
        In addition to supporting the administrative needs of Capitol
    Facilities, the Administrative Division provides event planning
    services to the Senate community and their constituents. During the
    past year, they assisted in planning 1,188 events in the newly-opened
    Senate expansion space of the CVC, in addition to the 2,057 events in
    the Capitol event spaces. They also coordinated the 111th Congress
    Congressional tag distribution.
        The Furnishing Division provides framing services to all Senators
    and committees, custom cabinets and other high quality furniture,
    carpeting and draperies. Demand for framing services increased by 9
    percent over the previous year, while the response time from initial
    request to delivery decreased from an average of 6 weeks to 4 weeks in
    fiscal year 2009. Recycling furniture is being emphasized. The
    Furnishing Division also installed carpeting in 36 offices, including
    14 offices created due to expansion to the CVC. The renovation of the
    Senate Dining Room was a substantial project and included procurement
    of dining chairs, carpeting, draperies, and anteroom furniture, as well
    as the design and construction of five cabinets and a Victorian
    armoire, completed prior to the Presidential Inauguration.
    Printing, Graphics, and Direct Mail
        The Printing, Graphics, and Direct Mail (PGDM) branch provides
    high-level, direct customer support to the Senate community in
    photocopying, graphic design, printing, mailing, archiving, logistics,
    and security. During fiscal year 2009, PGDM met a growing demand for
    Constituent Services System imaging by scanning, digitizing, and
    electronically transferring 1.4 million pages of constituent mail
    responses, an increase of 197 percent over fiscal year 2008. The
    production of charts was another area with a high interest during
    fiscal year 2009; PGDM handled this increase by utilizing upgraded
    equipment that eliminated multiple production steps that were required
    in the past. In fiscal year 2009, PGDM produced 8,052 charts, an
    increase of 20 percent over fiscal year 2008.
        PGDM is customer-focused and achieved high levels of customer
    satisfaction through maintaining reliable, easy-to-use copiers in
    convenient satellite copy centers, which produced over 7.7 million
    copies in fiscal year 2009. PGDM also maintained a high level of color
    printing, producing over 21.1 million color pages utilizing traditional
    offset printing and digital printing. Of the 21.1 million color pages,
    2 million were produced digitally, an increase of 33 percent over
    fiscal year 2008.
        PGDM saved the Senate over $2.2 million in postage costs by
    presorting 11.1 million pieces of Senate franked mail, a 2 percent
    increase over fiscal year 2008. PGDM continually reviews operations to
    ensure the most efficient use of Senate resources and to provide
    postage savings to Senate offices. To validate, correct, or remove bad
    addresses prior to mailing, new software systems were integrated in a
    number of processes. Addresses on constituent letters are validated or
    corrected before printing, mass mail address files are validated or
    corrected before addressing, and addresses are validated or corrected a
    final time while mail is being sorted and discounted. PGDM is testing a
    system to provide address correction and validation, and delivery
    tracking for shipping of constituent flag requests. PGDM's commitment
    to teamwork and excellent customer service extends to our Senate
    partners as well. The department's collaborative work with the
    Architect of the Capitol fulfilled 70,614 flag requests during fiscal
    year 2009 and, in tandem with the Government Printing Office, delivered
    over 2.5 million documents (Pocket Constitutions, Our Flag, Our
    American Government, etc.) to requestors.
        Through effective communication and teamwork, PGDM's Senate Support
    Facility upheld the SAA mission for operational security in fiscal year
    2009 by receiving 67,740 items from the USCP off-site inspection
    facility and transferring them to the Senate Support Facility. This
    eliminated 628 truck deliveries to the Capitol complex, while reducing
    traffic and allowing the USCP to focus on other safety aspects.
        As fiscal year 2009 was an election year, PGDM's ability to
    maintain a flexible and responsive organization enabled us to provide
    additional support for a variety of essential services. After the
    elections, PGDM's Logistics and Operations section assisted with 14
    office closings and relocated 4,169 pieces of office equipment. In
    addition, PGDM managed logistics for 12 repository shipments consisting
    of 10,180 boxes of documents. This repository shipping provided by the
    SAA resulted in a savings of $92,979 to Senate offices. PGDM's Printing
    and Mailing section shredded 3,705 boxes of documents, an increase of
    35 percent over fiscal year 2008.
        PGDM's contributions to a successful fiscal year 2009 Presidential
    Inauguration included printing, logistics, and security support. PGDM
    printed 9,000 letters for the Joint Committee on Inaugural Ceremonies
    to be included with Inauguration Invitation packets, which PGDM
    addressed and mailed at a discounted rate, saving $1,500 in postage.
    PGDM produced 237 signs or banners and 54 charts for a variety of uses
    from ceremony planning to crowd control. In support of security
    operations for the Inauguration, PGDM produced 200 Presidential
    Inauguration booklets for SAA Law Enforcement and Security Operations,
    4,000 Threat Assessment action plans and 5,000 vehicle security
    placards with reflective labels for the USCP. PGDM's Logistics and
    Operations section provided support by assembling and disassembling 31
    viewing sites throughout the Capitol, setting up equipment for the
    Office of the Attending Physician on the west front of the Capitol, and
    receiving and delivering 50,000 invitations.
    Central Operations
                Smart Card Programs--ID Office
        The implementation of Homeland Security Presidential Directive
    (HSPD) 12--Policy for a Common Identification Standard for Federal
    Employees and Contractors will significantly impact Senators and their
    staff whose offices are located in Federal buildings across the
    country. While Legislative Branch adoption of HSPD-12 is optional,
    compliance will allow Members and staff unhindered access to work
    freely within these facilities. We are currently collaborating with our
    Executive Branch counterparts to implement compatible access cards to
    paid staff beginning with the 112th Congress.
        Although a substantial cost is associated with system architecture,
    we continue to explore the advantages of Smart Card deployment.
    Sophisticated Smart Card credentials can provide multiple functions
    beyond current ``flash pass'' identification badges. While maintaining
    the proximity technology used in the USCP's current physical access
    control system, digital certificates placed on the cards may be used
    for encryption of personally-identifiable information exchanged with
    Executive Branch agencies in the processing of constituent casework.
    Within the Senate community, digital certificates may be used as
    digital signatures for financial documents and to facilitate secure,
    single network sign-on.
        The First Responder Authentication Credential system launched under
    the auspices of the Department of Homeland Security outlines issuing
    cards to individuals who require access to controlled areas during
    emergencies. We envision limited Senate staff receiving these badges at
    the beginning of the 112th Congress and are working with our
    Legislative Branch partners and other program administrators within the
    National Capital Region to determine the Senate's involvement in this
    program.
                Transportation and Fleet Operations
        Transportation and Fleet Operations safely and securely procures,
    manages, maintains and disposes of SAA vehicles; provides
    transportation and logistics solutions for offices; manages the Senate
    Parking Shuttle Service; and operates the parking sticker booth located
    in the Russell Garage. The SAA fleet, numbering 57 vehicles in fiscal
    year 2009, includes trucks, vans, buses and SUVs used to support the
    Senate community. Senate leadership vehicles are leased and
    administered by Fleet Operations under the Executive Lease Plan on a
    biannual basis. Transportation and Fleet Operations is responsible for
    completing work orders, equipment installations, tag/registration
    renewals and vehicle inspections for all fleet vehicles, performing
    over 400 of these services in fiscal year 2009. Fleet staff scheduled
    over 300 transportation requests and transported over 16,000 passengers
    through the SAA parking shuttle service in fiscal year 2009, while
    issuing over 8,500 permanent and temporary parking permits.
        We added 18 additional motorcycle parking spaces to the Thurgood
    Marshall Garage, Lot 12 and North East Drive. By altering existing
    parking spaces on First Street, NE (north of C Street), from parallel
    to angled spaces, we created eight additional parking for visiting
    government agency vehicles without negatively affecting available
    spaces for First Street permit holders.
        Transportation and Fleet Operations is a leader in ``Go Green''
    initiatives with 24 flex E-85 fuel vehicles, two hybrids, and one
    electric vehicle. Fleet Operations will continue to explore use of
    alternative fuel vehicles and currently plans to purchase additional
    hybrid and all-electric vehicles in fiscal year 2010.
        To further the Senate's ``Go Green'' initiative by reducing fuel
    usage and harmful emissions, three electric Segways were purchased for
    parking enforcement. Representatives of the Segway Corporation and the
    D.C. Metropolitan Police Department trained and certified Parking and
    Fleet Operations employees in safe Segway operation. Use of Segways for
    parking enforcement resulted in an initial increase of over 25 percent
    in the number of parking violations issued. The number is now trending
    downwards as more and more drivers are ``taking heed'' and parking off
    campus or, if staff, in their assigned areas.
                Senate Parking Office
        The 31 Senate Parking Office employees are responsible for managing
    parking for over 2,500 parking spaces in 28 parking areas, maintaining
    accurate records for over 5,700 active permit holders, and providing
    transportation needs for Hill staffers, while insuring safety and
    security of the Senate campus. With no disruption in service to the
    Senate community, the Senate Parking Office relocated seamlessly in
    November 2009. To better serve the Senate community during morning and
    evening rush hours and to help accommodate the 100 non-reserved permit
    holders displaced by the AOC's closure of Lot 575, SAA parking shuttle
    service expanded to include extended hours and additional stops. These
    steps contributed to a 16 percent increase in ridership during the
    first full month of operation. Due to traffic restraints placed during
    the 2009 Inauguration, Fleet management organized bus transportation
    for Senate staffers to offer an alternative to taking Metro and
    driving.
                Photography Studio
        The Photography Studio provides photography and imaging services
    for Senate offices, capturing more than 83,000 photo images and
    producing more than 100,000 photo prints in fiscal year 2009. The
    Studio's popular image archiving service was used to scan, organize,
    and transfer more than 128,000 photo images for archiving purposes in
    fiscal year 2009. The Photography Studio is currently replacing the
    Photo Browser application with a fully supported digital asset
    management product that is well-architected and meets all modern, open
    architecture programming standards. Vendors are working with
    Photography Studio staff to finalize the configuration and
    customization of the Order Fulfillment Module and plan to pilot to
    Senate offices by March 2010.
                Senate Hair Care
        Senate Hair Care serves our customers by offering the latest trends
    in hair styling to Senators and thousands of customers, including staff
    and the general public. In fiscal year 2009, revenue increased by
    $25,290 (5.6 percent), the highest in 10 years. Continuing to build on
    the diverse customer base and supplying additional retail products and
    services, Senate Hair Care will remain a profitable and indispensable
    service offered by the SAA.
                Office Support Services
        During the past year, Customer Support assisted nine newly-elected
    and six appointed Senators in setting up their offices. Additionally,
    support of the Hart renovation project continued, as well preparations
    for the renovation of the Democratic Policy Committee Studio. The State
    Office Liaison negotiated 171 leases for state Senate offices,
    including 104 in new commercial space, 32 in new Federal buildings, and
    35 renewals. Both Customer Support and the State Office Liaison have
    begun preparations for the upcoming elections by ensuring that all
    documentation and procedures are current.
                Mail Processing
        Mail remains a primary medium for constituents to communicate with
    Senators and their staff. During 2009, the total volume of mail was
    significant, representing the most mail that the Senate has received
    and processed in over a decade. Our Senate Post Office received,
    tested, and delivered 20,853,000 safe items to Senate offices,
    including 14,400,000 pieces of United States Postal Service (USPS)
    mail; over 6,000,000 pieces of internal mail that were routed within
    the Senate or to or from other government agencies; 95,000 packages;
    and 277,000 courier items. Total mail and packages processed increased
    by 35 percent and the USPS delivered over 50 percent more mail to the
    Senate during 2009 than in 2008.
        Protecting the Senate and its staff is the SAA's highest priority.
    We work collaboratively with this Committee, the Committee on Rules and
    Administration, our science advisors, the USCP, USPS, the White House
    Office of Science and Technology Policy, and the Department of Homeland
    Security to develop safe and secure mail protocols, and created two of
    the best mail processing facilities of this type in the world.
        All mail and packages addressed to the Senate's Washington, D.C.
    offices are tested and delivered by Senate Post Office employees. The
    organizations that know the most about mail safety cite our highly-
    trained staff and the Senate mail facilities as among the most
    efficient and secure in existence. We have been asked to demonstrate
    our procedures and showcase our facilities to other government
    agencies, including the Departments of Defense and Homeland Security.
    In many ways, our facilities have become the model for others.
        We also worked with this Committee and the Committee on Rules and
    Administration to build and operate one of the best facilities within
    the government to process time-sensitive documents that are delivered
    to the Senate. Our Courier Acceptance Site ensures that all same-day
    documents are X-rayed, opened, tested, and safe for delivery to Senate
    offices. The 277,000 items we processed during 2009 represented a 113
    percent increase as compared to the total items processed during 2008.
    This also represented the most documents processed at this facility
    since it opened in August 2006. We were able to absorb this additional
    volume through cross-training our existing staff and by instituting
    process improvements rather than increasing our workforce.
        Additionally, our organization worked collaboratively with our
    science advisors to introduce the first device designed to provide
    Senate staff who work in state offices a level of protection when
    handling mail. Our science advisors believe that the Postal Sentry, if
    used properly, provides the best level of protection to state offices
    and their staff should they receive mail containing a potentially
    harmful substance. I have requested that all Senate state staff utilize
    the Postal Sentry mail processing system whenever mail is opened in
    their offices.
        Despite the expansion of our capability and the significant
    increases in mail volume, we continue to be good stewards of taxpayer
    dollars. This is best evidenced by the initiatives we took in 2009 to
    further reduce our costs. During 2009, we implemented a technology
    solution to replace the manual ``clip and jog'' process that had been
    employed for the past 8 years. We worked with our science advisors to
    create a solution that would be less damaging to letter mail, without
    compromising safety to Senate offices. This process improvement enabled
    our Senate Post Office to reduce our full-time employees by four,
    without compromising safety or customer service.
        We compared our costs to other agencies and discovered that we have
    one of the most efficient and cost-effective operations of this type. A
    comparative analysis with similar organizations that contract out mail
    processing found that the Senate is able to process its mail for up to
    62 percent less costs than others.
                Capitol Visitor Center
        Calendar year 2009 marked the first full year that the Capitol
    Visitor Center was open. Many SAA departments were impacted as our
    volume of tasks escalated. And, despite the wide variance as to what to
    expect, I am pleased to report that all of the SAA departments involved
    with the CVC completed all of their tasks on time and within budget.
        Our office has been involved with the CVC since its inception. We
    worked collaboratively with others, including representatives of this
    Committee, to ensure that many of the operational aspects of the
    facility achieve desired results. Our participation and the challenges
    presented have been vast and varied, including, but not limited to
    security, hours of operation, transitioning the Capitol Guide Service,
    emergency preparedness, information technology, furnishings for the
    Senate side of the CVC, Senate Meeting Rooms setup 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 communications
    infrastructure.
        Over 2.3 million visitors experienced the CVC during 2009, more
    than doubling the number of visitors to the Capitol during 2008, and
    represented the most visitors in the Capitol in a decade. Feedback from
    our guests has been extremely positive. Each of our departments
    affected by the CVC adjusted its processes when this magnificent
    addition to the Capitol opened. The impacts to their operations were
    significant, yet by maximizing our resources, we were able to achieve
    desired results.
                Senate Appointment Desks
        To improve security and the flow of visitors to the Capitol, we
    expanded the Senate Appointment Desks by 100 percent by adding 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. These
    two additions required four additional FTEs to staff the desks.
    Improved technology and process improvements achieved by the Senate
    Post Office enabled the transfer of four FTEs from the Senate Post
    Office to the Senate Appointment Desks in the CVC. This is another
    example where my office exercised fiscal responsibility by finding
    resources within our organization rather than increasing costs by
    adding to the compliment of employees assigned to the Sergeant at Arms
    organization.
        Our four Senate Appointment Desks collectively processed 174,484
    guests during 2009. The total badges issued were the most in a given
    year since the Appointment Desks were created over 25 years ago and
    represented a 135 percent increase in guests over 2008. Nearly 55,600
    guests entered through the CVC with its state-of-the-art security
    features and accommodations. Without the CVC, these guests would have
    entered through the North Door of the Capitol, waiting in line, and
    baring the elements. 70,099 guests entered via the Russell Appointment
    Desk, including 60,994 who were destined for the CVC. This represented
    a 912 percent increase over 2008 in the number of badges issued by the
    Russell Appointment Desk.
        Improving security by reducing the number of guests who enter
    through the Capitol's North Door was one of the goals for opening the
    CVC. The Capitol Appointment Desk reduced its number of guests by 28
    percent, as compared to 2008, to 48,787. This reduction of guests in
    the Capitol reduced wait time for entrance through the North Door of
    the Capitol, improved visitor flow, and reduced congestion within the
    Capitol proper.
                Senate Gallery Visitors
        We improved the visitor experience for those who want to witness
    Senate proceedings from the Gallery. We now process these guests
    through the CVC rather than through the Capitol's North Door. This
    process enhancement improved security by eliminating the long lines and
    congestion that had been commonplace throughout the Capitol. Our Senate
    Doorkeepers manage a staging room in the CVC that facilitates the
    collection of Gallery prohibited items and the movement of people in a
    secure and efficient manner.
        The number of visitors to the Senate Gallery increased to 226,690
    during 2009. Beginning in August 2009, our Senate Gallery remained
    opened during scheduled recesses for the first time since September 11,
    2001. 21,359 people visited the Senate Gallery during these recesses
    during the latter half of 2009. Our Gallery remains open during
    scheduled recesses for 2010.
        Even with the increase in visitors, the feedback has been extremely
    positive. Senate Gallery visitors have complimented our processes,
    including the elimination of long lines, waiting in the elements, the
    speed of gaining access to the Gallery, and the educational
    opportunities afforded by the CVC.
                Doorkeepers
        In addition to their work in processing visitors to the Senate
    Gallery, our Doorkeepers play an important role in supporting the
    Senate. This group of dedicated professionals remains on call to assist
    the Senate when needed. A primary role of our Doorkeepers is to support
    the Senate Chamber by providing access to those with Senate Floor
    privileges and enforcing the rules of the Senate. Additionally, our
    Doorkeeper team facilitates the needs of Senators, Senate Floor staff,
    and Pages. Despite the fact that our Doorkeepers' footprint of
    responsibility increased by over 70 percent, we were able to improve
    our performance by utilizing existing resources and by refining
    Doorkeepers' job descriptions. This was another opportunity where our
    team was able to make significant improvements without adding FTEs.
        The year 2009 proved to be one of the busiest and most demanding
    years in the history of the Senate Doorkeepers. Our Doorkeepers' work
    is yet another example where our process improvements and solid
    management principles have enabled us to expand our capability without
    adding FTEs. The Senate was in session for 191 days during 2009,
    including five Saturdays and four Sundays. This represents the most
    days that the Senate was in session for the past 15 years.
    Additionally, the Senate was in session for 25 consecutive days from
    November 30 through December 24, 2009. This consecutive day streak was
    the second longest in Senate history, superseded only in 1917.
        The past 3 years have been extraordinary in that the Senate has
    been in session an average of 188 days from 2007 through 2009. This
    represents a 25 percent increase to the 150 average numbers of days the
    Senate was in session from 1996 through 2006. The year 2009 was not
    only busy but also an extraordinary and historical year. Our
    Doorkeepers provided exceptional support for special events including
    the 56th Presidential Inauguration; the swearing-in of Senators elected
    during 2008; the swearing-in of new Senators who replaced Members who
    left office during 2009; the confirmation of Supreme Court Justice
    Sonia Sotomayor; and the impeachment of Samuel Kent.
        Our Doorkeepers facilitate the movement and seating of Senators
    during Joint Sessions of Congress conducted in the House of
    Representatives. During 2009 there were five Joint Sessions, including
    the counting of electoral ballots for the 2008 election; the
    President's initial address to Congress; the German Prime Minister's
    address to Congress; the British Prime Minister's address to Congress;
    and the President's address on healthcare.
        Congressional tributes and Congressional Gold Medal ceremonies
    require the services of Doorkeepers. During 2009, Doorkeepers
    facilitated the seating of Members and guests for President Lincoln's
    200th birthday; Days of Remembrance; unveiling of the bust of Sojourner
    Truth; the President Reagan statue dedication; 9/11 ceremony; the Helen
    Keller statue dedication; and the Senator Edward Brooke Congressional
    Gold Medal ceremony.
                Recording Studio
        Our Senate Recording Studio was one of the first departments to
    move into the CVC. Our facility has received accolades from guests
    since its opening, including Senate Leadership, Senators and their
    staff. The convenience of the Studio's location and proximity to the
    Senate Floor and Senate subway system please Senators and staff. The
    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.
        The year 2009 represented one of the busiest years in the Recording
    Studio's history. Senate Floor proceedings telecasts increased by 44
    percent; the number of Senate television productions doubled to 2,749;
    radio productions increased by 38 percent; and Senate committee hearing
    broadcasts increased by 21 percent. Additionally, our Recording Studio
    produced Democratic Media Center and Republican Conference shows while
    their studios were being renovated. During this 2-week period, the
    Recording Studio produced 250 shows, representing a 635 percent
    increase from the Senate Recording Studio norm.
        The Committee Hearing Room Upgrade Project continued during 2009.
    Demand for additional committee broadcasts has been ever increasing,
    evidenced by a 21 percent increase in committee hearing broadcasts
    during 2009. In 2003, we began working with this Committee and the
    Committee on Rules and Administration to upgrade and install multimedia
    equipment in Senate rooms. The project includes digital signal
    processing audio systems and broadcast-quality robotic camera systems.
        To date, we have completed 28 rooms. Room enhancements include
    improved speech intelligibility and software-based systems that we can
    configure based on individual committee needs. The system is networked,
    giving committee staff the ability 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, we installed technologies in our new CVC
    Recording Studio to enhance our ability to provide broadcast coverage
    of more hearings simultaneously without adding staff. For example, the
    Committee Hearing Room Upgrade Project allows 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 twelve, has enabled us to increase our simultaneous
    broadcast coverage of committee hearings from five to as many as
    twelve.
        Our Senate Recording Studio is another shining example of where we
    have increased productivity by utilizing process improvements and
    technology rather than adding FTEs.
    Media Galleries
        The four Senate Media Galleries are comprised of the Senate Daily
    Press Gallery, the Senate Periodical Press Gallery, the Press
    Photographers' Gallery and the Senate Radio and Television Press
    Gallery. The unique structure of the four Media Galleries requires them
    to work closely with their respective Standing and Executive
    Correspondent's Committees, our organization, the USCP and the Senate
    Committee on Rules and Administration in order to facilitate media
    arrangements and credentials for the over 7,000 credentialed media
    covering Senators, Senate committees and related media events.
        While the media industry has recently seen historic shifts in
    formats and structures of media outlets which appear to have caused a
    general decline in revenue and circulation for traditional media, the
    Media Galleries have seen a burgeoning population of new and emerging
    media. The staff of the Media Galleries have diligently worked to
    accommodate this new population through the current credentialing
    process.
        In the past year and a half, the Media Galleries handled record
    numbers of media credential applications for the 2008 Presidential
    Conventions and the 2009 Inauguration. The vast number of national and
    international media outlets interested in covering the Presidential
    Conventions and Inauguration forced the Media Galleries and their small
    staffs to innovate the way we process credential applications, assign
    media workspace, and distribute press passes, using cutting-edge
    technology as a guide. The Media Galleries worked closely with the
    Sergeant at Arms Computer Design teams to create new software database
    information management programs that took advantage of the growing
    reliance on the Internet. While the systems were designed to handle
    larger capacities, they were occasionally overwhelmed by the volume of
    requests that poured into the Media Galleries. When the application
    period finally closed, the Media Gallery staffs had to quickly process
    thousands of documents in order to assign the limited media resources
    available to cover the Inauguration. If not for the diligent work of
    all our Media Gallery staff, the process would never have been
    completed on time.
        The growth of 24-hour news channels and websites has increased the
    demands for constant news. As a result, Congress may be covered in more
    detail than ever before. In response to the changing needs of the
    reporters covering Capitol Hill, all four Media Galleries worked with
    the office of the SAA Chief Information Officer to upgrade the
    technical infrastructure of the Media Galleries offices including
    incorporating Wi-Fi in all four Media Galleries.
                Senate Daily Press Gallery
        Just over a year ago, we completed remodeling and rewiring the
    Daily Press Gallery. This was the first such renovation since the early
    1980s. Restoring the suite of rooms that has been occupied by the press
    since before the Civil War was a mammoth undertaking that involved a
    number of SAA and AOC offices. Furniture was replaced; wires were
    completely removed and redone; and walls, ornate ceilings, Minton-tiled
    floors and historic mirrors were completely restored down to the
    smallest detail. The renovation not only improved the gallery's
    appearance and working conditions for reporters, it did away with piles
    of haphazard wires that had evolved over the years.
                Senate Periodical Press Gallery
        While high-profile hearings garner the most attention by staff and
    media, the Senate Periodical staff always strives to work with all
    Senate committees on their media arrangements for typical hearings and
    events. Senate Periodical Press Gallery staff worked with new Committee
    and Senator Press Secretaries in order to familiarize them with the
    Periodical Gallery's functions at committee hearings. Constant
    collaboration occurs with various Senate committees to set up media
    arrangements for a number of widely-viewed hearings, including
    confirmation hearings for all Presidential nominations, Senate Budget
    consideration, Senate Appropriations Committee events, and Senate
    Banking Committee consideration of the automobile industry and banking
    crises.
                Press Photographers' Gallery
        The primary role of the Press Photographers' Gallery is to
    credential photographers and to assist at news events at the Senate.
    Our staff also has the unique responsibility of assisting at large news
    events and hearings in the House of Representatives.
        The demand for news images has increased as Web publications expand
    and gain popularity. Also, deadlines for pictures have shifted from
    daily to constantly, as organizations and publications strive to have
    the latest pictures available for online publications. These radical
    changes in how events are captured have increased the number of
    photographers covering Capitol Hill on a daily basis, as more news
    organizations seek to the fill the demand for more images.
                Senate Radio and Television Press Gallery
        In an effort to address new requirements for electronic media
    coverage of Senate events, improvements were made in upgrading the
    technical infrastructure of Senate committee hearing rooms and other
    news event locations throughout the Senate campus. For example, in a
    collaborative effort with the Senate Committee on Rules and
    Administration, Gallery staff oversaw the installation of fiber optic
    cable in 14 Senate committee rooms. Along with the Senate committee
    rooms, several meeting rooms in the Capitol and the Senate wing of the
    CVC were outfitted with fiber optic cable.
        In addition to upgrading the Senate committee rooms, the backdrop
    in the Senate Radio-TV Gallery studio was renovated to accommodate
    high-definition news broadcasts. The improved backdrop enhances
    Senators' appearances by incorporating several enriching elements such
    as columns and LED lighting.
                Employee Assistance Program
        Our Employee Assistance Program (EAP) offered a variety of services
    to staff, Pages, interns, and family members. In 2009, 4.6 percent of
    Senate employees and/or their family members met with/spoke to an EAP
    Counselor, 263 employees took a mental health on-line screening, and
    2,042 employees attended EAP training. EAP expanded outreach programs
    through updating materials on a wide variety of mental health topics;
    providing an interactive and informative Web page that includes
    confidential mental health screenings, self-paced training modules and
    access to mental health, management and trauma response resources; and
    offering a variety of training programs including video
    teleconferencing training programs for state offices. EAP continued to
    hone, expand and utilize the skills of the 32 members of the Senate
    Peer Support Team through a series of presentations, trainings and
    informational lectures. In July 2009, EAP began working with a vendor
    to provide Senate employees and their family members with access to
    personalized information and referrals for childcare and parenting,
    adult care and aging, education, legal and financial concerns. Between
    July 1 and December 31, 2009, 1,751 employees and their family members
    utilized these services.
                   appendix.--fiscal year 2011 budget request
               attachment i.--financial plan for fiscal year 2011

                                                    EXECUTIVE SUMMARY
                                              [Dollar amounts in thousands]
    ----------------------------------------------------------------------------------------------------------------
                                                                        Fiscal year 2011 vs. fiscal year 2010
                                                                ----------------------------------------------------
                                                                              Fiscal year                 Increase/
                                                                 Fiscal year      2011        Amount       decrease
                                                                 2010 budget    request                   (percent)
    ----------------------------------------------------------------------------------------------------------------
    General Operations and Maintenance:
        Salaries...............................................      $70,000      $78,000       $8,000         +11.4
        Expenses...............................................      $90,409      $92,403       $1,994          +2.2
                                                                ----------------------------------------------------
          Total General Operations and Maintenance.............     $160,409     $170,403       $9,994          +6.2
                                                                ====================================================
    Mandated Allowances and Allotments.........................      $52,239      $53,596       $1,357          +2.6
    Capital Investment.........................................       $4,503       $9,612       $5,109        +113.5
    Nondiscretionary Items.....................................       $6,450       $5,675        ($775)        -12.0
                                                                ----------------------------------------------------
          TOTAL................................................     $223,601     $239,286      $15,685          +7.0
                                                                ====================================================
    Staffing...................................................          961          962            1          +0.1
    ----------------------------------------------------------------------------------------------------------------

        To ensure that we provide the highest levels and quality of
    security, support services, and equipment, we submit a fiscal year 2011
    budget request of $239,286,000, an increase of $15,685,000 or 7 percent
    compared to fiscal year 2010. The salary budget request is $78,000,000,
    an increase of $8,000,000 or 11.4 percent, and the expense budget
    request is $161,286,000, an increase of $7,685,000 or 5 percent. The
    staffing request is 962, an increase of one.
        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
    $78,000,000, an increase of $8,000,000 or 11.4 percent compared to
    fiscal year 2010. The salary budget increase is due to the addition of
    one FTE, a COLA, merit funding, and other adjustments. The additional
    staff will support increased demand for services, as well as advancing
    technology.
        The general operations and maintenance expenses budget request for
    existing and new services is $92,403,000, an increase of $1,994,000 or
    2.2 percent compared to fiscal year 2010. Major factors contributing to
    the expense budget increase are escalating costs of the IT Support
    Contract and other IT Support agreements, $2,042,000; replacement of
    the Senate Office Personnel System (SOPS), $2,000,000; IT Security
    consulting and equipment, $1,000,000; audio visual equipment intended
    for the Senate Emergency Operations Centers (EOCs), $1,000,000; and a
    decrease due to Research Services' transfer to the Secretary of the
    Senate, $3,889,000.
        The mandated allowances and allotments budget request is
    $53,596,000, an increase of $1,357,000 or 2.6 percent compared to
    fiscal year 2010. This budget supports state office rents, $16,594,000;
    voice and data communications for Washington, D.C. and state offices,
    $15,385,000; purchase of computer and office equipment, $13,894,000;
    procurement and maintenance of member office constituent services
    systems, $4,500,000; wireless services and equipment, $1,548,000; and
    state office security enhancements, $1,275,000.
        The capital investment budget request is $9,612,000, an increase of
    $5,109,000 or 113.5 percent compared to fiscal year 2010. The fiscal
    year 2011 budget request includes funds for equipment purchases for the
    Storage Area Network (SAN), $2,775,000; hardware related to the network
    upgrade project $2,500,000; data network expansion, $1,600,000; Senate
    Floor Camera replacement, $1,500,000; PGDM server replacement,
    $400,000; replacement of a digital printer, $200,000; layout and design
    upgrades, $162,000; and EPPN upgrade, $100,000.
        The nondiscretionary items budget request is $5,675,000, a decrease
    of $775,000 or 12 percent compared to fiscal year 2010. The request
    funds projects that support the Secretary of the Senate: contract
    maintenance for the Financial Management Information System,
    $3,824,000; maintenance and necessary enhancements to the Legislative
    Information System, $885,000; support for public records systems,
    $500,000; and support for payroll systems, $466,000.

                          UNITED STATES CAPITOL POLICE

    STATEMENT OF HON. PHILLIP D. MORSE, SR., CHIEF
    ACCOMPANIED BY:
            DAN NICHOLS, ASSISTANT CHIEF
            GLORIA JARMON, CHIEF ADMINISTRATIVE OFFICER
        Senator Nelson. Chief Morse.
        Mr. Morse. Chairman Nelson, Senator Murkowski, Senator
    Pryor, I am honored to be here today and I appreciate the
    opportunity to be able to present the United States Capitol
    Police (USCP) budget for fiscal year 2011.
        Behind me is sitting my executive management team, along
    with my Assistant Chief, Dan Nichols and my Chief
    Administrative Officer, Gloria Jarmon.
        And with your permission, sir, I would like to submit a
    written testimony for the record.
        Senator Nelson. Without objection.
        Mr. Morse. Thank you.
        First, I would like to thank the subcommittee for its
    sustained and unwavering support for the men and women of the
    United States Capitol Police. You and your staff have continued
    to generously support both the mission, as well as our
    personnel, not just in a monetary way, but also in a private
    and public recognition of our role and responsibilities. The
    security and protection of this great institution is, indeed,
    our job, but we consider it to be a sacred duty and it is a
    privilege to serve you, the congressional staff, and the
    millions of visitors from every corner of the world who come to
    the United States Capitol complex every day of the year.
        Over the last year, the department has, with your support,
    successfully implemented the Library of Congress police merger.
    We have transitioned our primary fleet to a fleet leasing
    program through the General Services Administration and
    replaced ballistic vests for our officers. We have proceeded
    with the migration of our financial system to the Library of
    Congress for cross-servicing.
        Our mission focused request is grounded in the USCP's
    strategic goals that describe our mission and frame our budget
    planning, assessing the threat, taking proactive measures to
    mitigate the threat, responding in the event of a disruption,
    and supporting the USCP's mission through constructive internal
    business processes and controls that foster effective and
    efficient mission delivery.
        This budget is in strong support of these goals. Yet, the
    department is flexible enough to achieve and maintain solid
    mission-critical results with efficient use of resources at a
    funding level near the fiscal year 2010 appropriated level, if
    necessary.
        The proposed 2011 budget is designed to address and
    mitigate identified security challenges that potentially affect
    the safety and security of the Capitol complex and keep up with
    the changing security environment and threat level. And it also
    contains requests to solidify innovative protective technical
    initiatives previously funded and that are underway, for
    example, the radio modernization initiative and continuing to
    support the alternate computer facility.
        In addition, it incrementally augments our force
    development goals to maximize personnel depth and strength.
        Based on the department's rigorous force development
    business process that includes a review of our budget
    requirements by our executive management team, our executive
    team, and the Police Board, the department has identified for
    fiscal year 2011 budget consideration only those increases most
    critical to further our mission and support certain projects
    planned by our legislative partners. We are well aware and we
    understand the economic climate and the effects on our country,
    the legislative branch, and the entire Federal Government, and
    we want to assure you that the USCP will successfully adapt our
    resources and continue to safeguard the congressional
    community.
        As for the budget shortfall and resulting budget amendment,
    when things do not go right in the police department, I take
    full responsibility for it. I take quick action to stabilize
    the situation. I assess it and I find a way to fix it. And then
    I ensure that it never happens again. In this case, I have
    taken responsibility for it. I have found solutions and
    proposed those solutions to the Capitol Police Board. Security
    of the complex and personnel programs will not be affected, and
    I want to pledge to you that this type of incident will not
    happen again.

                               PREPARED STATEMENT

        Finally, I would like to thank all the men and women of the
    Capitol Police for their support of me and their outstanding
    performance yet again another year in keeping this campus safe.
        Thank you.
        Senator Nelson. Thank you, Chief.
        [The statement follows:]
                  Prepared Statement of Phillip D. Morse, Sr.
        Chairman Nelson, Senator Murkowski, and Members of the Committee, I
    am honored to be here today, and appreciate the opportunity to present
    the United States Capitol Police budget request for fiscal year 2011.
        First, I would like to thank the Committee for its sustained and
    unwavering support for the men and women of the United States Capitol
    Police. You and your staff have continued to generously support both
    the mission as well as our personnel--not just in a monetary way, but
    also in private and public recognition of our role and
    responsibilities. The security and protection of this great institution
    is indeed our job, but we consider it a sacred duty and privilege to
    serve you, the congressional staff, and the millions of visitors from
    every corner of the world who come to the United States Capitol complex
    every day of the year.
        Due in large part to your support, the Department continues to
    progress and evolve toward our shared vision of becoming a premier
    security and law enforcement agency.
        With your support, the Department has over the last year
    successfully implemented the Library of Congress Police Merger,
    transitioned our primary fleet to a fleet leasing program through the
    General Services Administration, replaced ballistic vests for our
    officers, and proceeded with the migration of our financial management
    system to the Library of Congress for cross-servicing.
        With regard to our progress on addressing administrative
    deficiencies and improving corresponding business practices, we
    continue to experience challenges.
        In recent weeks, we discovered some calculation errors that
    occurred with regard to the formulation of our fiscal year 2011 budget
    request. I am able to report to you however, that we identified the
    sources and scope of the errors, and have submitted an amended budget
    request to the Congress for consideration.
        These calculation errors originated in our fiscal year 2010 budget
    causing a need to identify funds within our accounts to address funding
    requirements. We have identified these funds and will be asking for
    your support through a reprogramming request in the near future.
        The modifications to our intended fiscal year 2010 budget execution
    will ensure our ability to maintain the security of the Capitol Complex
    and to support our workforce by maintaining our critical human capital
    programs. They will not be without pain for the Department, but are
    necessary for our mission capability.
        Our amended fiscal year 2011 budget request does not change the
    scope of the mission requirements within the request before you. It is
    still with two basic principles in mind--moving forward and achieving
    continuous improvement--that our fiscal year 2011 budget request is
    based.
        Our mission-focused request is grounded in the USCP strategic goals
    that describe our mission and frame our budget planning: (1) assessing
    the threat to the Capitol community, (2) taking proactive measures to
    mitigate the threat so as to prevent disruption to the legislative
    process, (3) responding in the event of a disruption so that Congress
    can continue to operate, and (4) supporting USCP's mission through
    constructive internal business processes and controls that foster
    effective and efficient mission delivery.
        This budget is strong in support of those goals--with modest
    increases and initiatives that move us soundly toward our vision of a
    model, state-of-the-art Federal law enforcement agency--yet it is
    flexible enough to achieve and maintain solid mission-critical results
    with efficient use of resources at a funding level near our fiscal year
    2010 appropriated level.
        The proposed fiscal year 2011 budget is designed to address and
    mitigate identified security challenges that potentially affect the
    safety of the Capitol complex and keep up with the changing security
    environment and threat level, and also contains requests to solidify
    innovative, protective technological initiatives previously funded and
    underway, for example, the Radio Modernization Initiative and
    continuing support of the Alternate Computer Facility. In addition, it
    incrementally augments our force development goals to maximize
    personnel depth and strength.
        I would first like to offer the Committee an overarching summary of
    our fiscal year 2011 request. I will follow the summary with a
    discussion of specific budget items of particular significance to you
    and the Department.
        The fiscal year 2011 request totals $385 million representing an
    overall increase of 17 percent, or $57 million over the enacted fiscal
    year 2010 funding level of $328 million. Our request represents
    increases in three areas: (1) Personnel or ``salaries''; (2) General
    expenses; and (3) Special projects and new initiatives.
        With regard to personnel, we are requesting an overall increase
    which includes funding for 52 new sworn positions and 12 new civilian
    positions.
        With regard to general expenses, we are requesting an overall
    increase which is primarily due to the modifications made to general
    expenses in 2010 including funding for operational travel; outfitting
    and training new sworn personnel, if approved; enhanced management
    systems, et cetera.
        With regard to the third area of special projects and new
    initiatives, we are requesting funding that would support the final
    phase of the Radio Modernization Initiative and certain other new
    annual and multi-year initiatives that would fund security requirements
    primarily associated with projects expected to be undertaken by the
    Architect of the Capitol, as well as other security related programs.
        The combined bottom line for all three of these areas represents an
    overall increase of 17 percent over enacted fiscal year 2010 funding
    levels.
        The first subject area that I would like to provide more detail for
    is in the area of personnel salaries and overtime, where we are
    requesting an increase of which includes staffing enhancements and
    funding for overtime.
        Personnel costs are reflective of salaries and benefits--to include
    an anticipated cost-of-living increase, insurance benefits and
    retirement, within-grade step increases and promotions, and overtime.
    In addition, personnel costs also include funding for workers
    compensation, specialty-assignment pay for sworn personnel, metro-
    transit subsidy, incentive awards, and student loan repayment programs.
        The Department's fiscal year 2011 personnel request reflects our
    continuous efforts at all levels of management to effectively manage
    our existing resources to achieve the best possible balance of staff-
    to-mission requirements. We are constantly analyzing our workforce to
    align job functions, assignments, workload, risk management, and
    organizational readiness along with the ever-changing threat
    assessments and mandatory mission requirements of a dynamic
    Congressional community and its environs.
        Using the 2007 Enlightened Leadership Solutions (or ELS) manpower
    study, we now have a multi-year roadmap to help guide our budget and
    staffing recommendations regarding the resources needed to accomplish
    each operational process as identified in the study.
        To better manage our sworn resources and to work toward determining
    the actual manpower needed to meet our existing mission, in conjunction
    with the ELS study, a custom-designed formula was devised to determine
    the true number of work-hours in a year that each officer is available
    to perform work. This ``utility'' number is used to determine overall
    staffing requirements, and balances the utility of available staff with
    annual salary and overtime funding along with known mission
    requirements such as post coverage, projected unscheduled events such
    as demonstrations, late sessions, holiday concerts, et cetera, and
    unfunded requirements that occur after the budget is enacted, such as
    unforeseen critical emergency situations.
        The Department's current authorized sworn strength does not
    entirely provide the necessary resources to meet all our mission
    requirements within the established utility. Thus, mission requirements
    in excess of available personnel must be addressed through use of
    overtime, identification of efficiencies such as post realignment and/
    or reductions, technology, and cutbacks within the utility, such as
    reductions in the number of hours of training.
        With that in mind, our requested fiscal year 2011 personnel costs
    support the current authorized staffing levels of 1,800 sworn and 443
    civilians as well as a request for 52 new sworn and 12 new civilian
    positions, resulting in a total overall increase in personnel from
    2,243 to 2,307.
        In fiscal year 2011, the addition of 52 new sworn positions would
    address mission needs and work toward our goal of closing the gap--as
    validated by the ELS manpower study--between existing mission
    requirements and current staffing levels through assignment of the
    additional personnel to the Uniformed Services Bureau.
        The approval of additional sworn strength in fiscal year 2011 will
    have a positive effect on our ability to manage the inter-related
    balance of mission requirements, overtime use, and officer training.
        The request for 12 new civilian positions will provide much needed
    professional and technical support for the Department in the areas of
    fleet management; budget analysis; IT security, network operations,
    systems administration, and telecommunications; and physical security
    operations, as well as three positions in the Office of Inspector
    General, consisting of one criminal investigator, one financial
    management and internal control auditor, and one information technology
    and contract auditor.
        It should be noted that half of the requested new civilian
    positions would replace existing contract employees, with the resulting
    savings in contract dollars offsetting the cost of additional personnel
    added to the permanent employment rolls.
        At current overtime levels, we are able to meet our mission by
    continuing to adjust officers' training hours and finding efficiencies
    in post requirements. However, any additional or new mission
    assumptions will require additional sworn personnel or equivalent
    overtime to meet new requirements.
        At current staffing levels, the Department's fiscal year 2011 basic
    overtime projection of approximately $27 million reflects an increase
    over the $25.5 million that was provided for in fiscal year 2010. This
    increase of $1.5 million adjusts for mostly cost-of-living.
        Other requested increases to overtime include an additional
    $201,000 in funding to cover Library of Congress' non-reimbursable
    events, and $1.84 million for overtime necessary to secure new multi-
    year AOC initiatives, to include the Capitol Dome Skirt, and Utility
    Tunnel projects.
        These items bring the total fiscal year 2011 overtime request to
    $29.094 million which is an increase of $3.6 million--or 14.1 percent
    over the enacted fiscal year 2010 level for overtime.
        The second area of detail is our requested general expenses budget,
    which includes protective travel; hiring, outfitting, and training of
    new sworn personnel; supplies and equipment; management systems; et
    cetera.
        Significant savings in our general expense budget provides an
    offset to our requested increases by realizing reductions in major
    areas such as contractual services, executing efficiencies in physical
    security systems, movement of our financial systems from the Department
    of the Interior's National Business Center to the Library of Congress,
    and the realigning of core training requirements to specific and
    critical job competencies.
        The third and final area of detail is a request for multi- and no-
    year funding for special projects and new initiatives, to include the
    final phase of the Radio Modernization Initiative, Alternative Computer
    Facility fit-out, and the design and installation of security equipment
    and systems for utility tunnels, hallways, and garages throughout the
    Capitol complex. The total funding requested for these special projects
    is $32.187 million, of which $15.956 million is for the final phase of
    the Department's multi-year Radio Modernization Initiative.
        Over the past 2 fiscal years, the Congress approved the USCP's
    requests to develop an encrypted, interoperable digital radio system
    able to communicate securely and immediately across the Capitol campus
    as well as with other first responding Federal, state and local law
    enforcement partners.
        The upgrade to a new-generation VHF trunked radio communications
    system will achieve reliable, secure radio contact in routine day-to-
    day operations and in emergency situations from any location within the
    jurisdiction of the USCP.
        We are grateful for the Congress' substantial response to our
    previous requests in the fiscal year 2009 Supplemental and fiscal year
    2010 annual appropriation that addressed this critical communications
    vulnerability, supporting our endeavor to provide dynamic
    enhancements--in this post-9/11 security environment--to our aging,
    outdated radio equipment and infrastructure.
        I am especially pleased to report that the system delivery for
    Phase I of the radio modernization is on schedule and within budget for
    completion within budget estimate.
        The current fiscal year 2011 budget request of $15.956 million over
    2 years is for the final indoor portion of this highly complex project.
    This request falls within the contract's broadly estimated range of
    costs, including contingencies, which we provided for you during the
    fiscal year 2010 budget discussion. The final phase will provide the
    infrastructure changes necessary to support the new radio system.
        To calculate the cost of completing the Radio Modernization
    Project, our NAVAIR contractors--who are highly experienced in design
    and implementing communications systems for other Federal agencies--
    conducted a detailed design engineering study of each building, garage,
    tunnel, and outdoor site in the Capitol complex--each with unique
    characteristics requiring different engineering design solutions. With
    Congressional approval of this request, we expect the project to be
    completed on-time and within budget by 2012.
        Further, the Department is requesting $16.231 million to support
    eight additional new security initiatives. These include: security
    enhancements for the Alternate Computer Facility; security designs for
    the utility tunnel system; design and installation of a security
    program for the AOC's Dome Skirt Rehabilitation project; design of a
    security management system for the Federal Office Building 8; design
    and installation of a security camera system in egress points within
    House and Senate office buildings; design and installation of security
    management systems within House and Senate parking garages; a perimeter
    security and a garage and tunnel screening.
        Based on the Department's rigorous Force Development business
    process that includes review by our Executive Management Team,
    Executive Team, and Police Board of our budget requirements, the
    Department identified for fiscal year 2011 budget consideration only
    those increases most critical to further our mission and support
    certain projects planned by our legislative partners.
        We are well aware of and understand the economic climate that
    affects our country, the Legislative Branch and the entire Federal
    government, and I want to assure you that the USCP will successfully
    adapt our resources and continue to safeguard the Congressional
    community.
        I appreciate the opportunity to appear before you today and would
    be glad to answer any questions you may have at this time.

                  SOS deg.SENATE INFORMATION SERVICES

        Senator Nelson. Let us do a 5-minute round.
        Nancy, the $32 million, which really stands out, involves a
    multiyear request for certain continuing services. Is that
    something that has to be done on a multiyear basis? Because the
    implications to the budget are so significant that one wonders
    if it would not be better to spread that out over a longer
    period of time. What have you found about that?
        Ms. Erickson. Well, we would be happy to work with your
    subcommittee staff to work out a funding mechanism for this
    program.
        My concerns are that our staff working with the Sergeant at
    Arms staff and the chairman's staff--we have looked at the
    trends, the cost increases in this program over the years.
    There has been real consolidation in the news industry and so
    there is not the competition that there used to be. So it is
    fair to say there has been an average of a 10 percent increase
    in a number of contracts over the years.
        I also know that the Sergeant at Arms has incurred other
    costs associated with this program that required them to tap
    into other funding sources. I want to create a firewall between
    these program funds and my operating budget funds so that it is
    very transparent.
        And then the other reality is, as you well know, we have a
    strong track record of operating under continuing resolutions,
    and it is important, when we are negotiating these contracts
    that are 1-year contracts with the option of a 4-year renewal,
    that we have a little bit of flexibility in our budget to fund
    these contracts.
        But I think it is fair to say, yes, we do have flexibility
    and look forward to working with your subcommittee's staff on
    some other funding options.
        Senator Nelson. Well, as you know, we have trouble even
    with the Medicare doctor fix to get something over some short
    period of time, and if somebody identifies this at 5 years,
    they will ask us why we cannot fix everything for 5 years. So
    that is one of those optic things, but obviously we need to
    look at it and if there is a way to retain some efficiencies
    cost effectively, we ought to seek to do that.
        Ms. Erickson. And I will add I am very proud of our
    library's staff. They have saved just this year $55,000 over
    the next 4 years in negotiating similar contracts that we have
    in the Senate Library. So I can assure you that we are going to
    be shrewd negotiators with these contractors and get the best
    dollar for the Senate.
        Senator Nelson. Well, I think that we would have some
    leverage to be able to do that, but there is a limit to what
    that can do.
        Ms. Erickson. Right.

              SOS deg.SENATE EMPLOYEES CHILD CARE CENTER

        Senator Nelson. Also, could you give us an update on the
    Senate child care feasibility and expansion study that we
    directed last year, together with the AOC?
        Ms. Erickson. Correct. The AOC was charged with the child
    care study, consulting with the Secretary's office. I just
    received the report, and let me report on some good things have
    happened since last year's hearing and issues that Senator
    Pryor and his staff notably have raised.
        There is wait list transparency now. The flip side is,
    unfortunately, there was a long wait list. We have roughly 106
    families that are waiting to get into the infant room, and
    there are currently only nine slots. There is a waiting list of
    over 143 to get into the child center as a whole. But for the
    first time, families now know where they stand on the wait
    list.
        Another positive development is the Parent Cooperative
    Board decided to adopt Senate preference policies. So parents
    who have children get preference. If they have a child already
    in the day care center, they also have sibling preference.
    Right now, 72 percent of the families that are enrolled in the
    Senate child care center have one parent who is a Senate
    employee. I believe over 82 percent of the families have at
    least one parent who works in the legislative branch.
        I think it is fair to say the goal is to increase the size
    of the Senate day care center from 68 to 134 slots overall. I
    think it is also fair to report that it is probably unrealistic
    that we can expand the current site or reconfigure the current
    space. So I think the subcommittee will receive recommendations
    for building or leasing property. I think it is also unlikely
    that we will be able to find another child care center to
    partner with. But we will be providing that report to you and
    your staff shortly.
        Senator Nelson. Thank you.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.

                  SOS deg.SENATE INFORMATION SERVICES

        Nancy, let us go ahead and continue with the SIS program,
    the Senate information services program. Tell me why we are
    moving it from the Sergeant at Arms to your offices.
        Ms. Erickson. Well, it actually was a recommendation that
    was made by the Sergeant at Arms staff. Tom Meenan, who manages
    the program and another colleague--one colleague had retired
    and Tom Meenan is nearing retirement. And he looked at the
    model that is used in the Government to finance other similar
    enterprise contracts such as the SIS program, and they are
    typically run and managed by people with a library of science
    degree. So it was a decision that we embraced. It was something
    that we spent a great deal of time deliberating, and the
    recommendation was that we felt that our folks who already
    negotiate such contracts for our Senate library would be in the
    best position to take over this program.
        And I do think there are some improvements that can be made
    in the program. I think we need to do a better job of doing
    outreach in the Senate community to make sure they are aware of
    these free online services that your offices----
        Senator Murkowski. That is one of the questions that I have
    of you. To what extent are these services actually utilized?
    Who uses them? Are all of the services necessary? Are there
    some that can be eliminated? And as this transfer is being
    made, are you doing that kind of a review to figure out whether
    we are current? We know that access to information today--what
    is current today is not current tomorrow, and users change
    dramatically. So are we giving this that level of scrutiny?
        Ms. Erickson. We are. The services can be found on Webster,
    and some of the examples of some of these services we provide
    would be CQ, National Journal, BNA, Roubini Economics,
    Newswatch. These are real live, up-to-the-minute news
    developments that you can have sent to your desk to track
    information on a Member or issue.
        Senator Murkowski. Do we survey the Members to ask them----
        Ms. Erickson. Well, the last study, Senator, that was
    conducted was in 1999 by the Sergeant at Arms, and our library
    staff initiated a recent study. We decided to do it on our own
    as a cost-saving mechanism rather than to hire an outside firm.
    So we are in the process of looking at those results and
    looking at usage statistics----
        Senator Murkowski. Will you take those assessments and
    analyses into account before you negotiate with----
        Ms. Erickson. Yes, definitely. And we will--as I mentioned,
    the Senate Rules Committee has close oversight of this program,
    and we will not be making any decisions without getting Senate
    Rules Committee approval, and we will be going over the survey
    results, usage statistics.
        I also think we need to do a better job of providing
    training for offices on how to use these online services.
        Senator Murkowski. Let me ask the math question here. Your
    budget increases $32 million, and as the chairman has noted,
    that raises eyebrows here. But yet, the Sergeant at Arms'
    budget, which is transferring this same system over to you, is
    only being decreased by $4 million. What happens to the money
    in the middle?
        Ms. Erickson. Well, as I mentioned, Senator, we looked at
    the historic cost increases of these programs and money that
    was spent and decided that it was an opportunity to take a
    fresh look at this program and how we can manage it most
    effectively for the Senate. And it was a recommendation of the
    people who had managed the program that multiyear funding would
    provide us with the best leverage for managing this program.
        Senator Murkowski. Even if you were not doing the multiyear
    funding, your numbers still do not add up.
        Terry, do you want to speak to that?
        Mr. Gainer. I was just going to add that if we were
    starting this program anew, it probably would have never been
    in our office, and I think it really ended in our office
    because it involved technology.
        But I also think what the Secretary is trying to do versus
    the $4 million that we are giving up on this is do exactly what
    we talked about earlier. Do you want us to sustain a process
    and give you the same thing that we are doing, or do you want
    to upgrade and acquire and be prepared for the future? So,
    again, I think it is kind of a policy decision.
        I do believe we handled it well. I believe that the
    Secretary and the librarians and the people who do research
    have a vision of enhancing this and reaching out further and
    deeper, and that is part of the decision one makes on whether
    you do the ``same old, same old'' or take the opportunity to do
    it the correct way.
        Senator Murkowski. Well, my time is expired, Mr. Chairman.
    But even if we were to just look at this as a 1-year instead of
    a multiyear request, as you have, the request from the
    Secretary's office is still an increase. So I guess what you
    are suggesting is that it is enhanced services. And I guess
    what I would come back to you with is before we talked about
    enhanced services, let us make sure that we are using all of
    these services and an assessment or an analysis or survey of
    the offices. It sounds like you are underway with that and I
    think that that is a good approach.
        Ms. Erickson. And like I said, we also looked at the
    program and understand that Terry's office tapped into other
    funding options within their budget to finance this program
    outside of SIS funds. An example would be when they received a
    letter from 57 Members requesting that leadership directories
    be added to the SIS program, and so Terry's office did that and
    tapped into other funding sources and options in their budget
    to do that.
        Senator Murkowski. That is helpful.
        Thank you, Mr. Chairman.
        Senator Nelson. Senator Pryor.
        Senator Pryor. Thank you, Mr. Chairman.
        Nancy, let me start with you if I can and kind of pick up
    where Senator Murkowski left off. This $32 million for the
    Senate information services--I understand that that is
    generally subscription services. And I know it is like Westlaw,
    Lexis/Nexis, et cetera. I do not know if you provided it to
    staff, but I would like to see a breakdown of each of those and
    how much we are paying per year. I know that, on the one hand,
    we just have 100 offices, but I know it is a lot broader than
    that. So I would like to, if I could, understand how that
    contract is structured, and I want to look at it to see if we
    are getting a good deal for that usage.
        And I have a question about, if you know or if you can
    tell, how well the Senate staff is using it. In other words, we
    had an incident when I was in the Attorney General's office. We
    were negotiating a Westlaw contract back then. And we had two
    or three people on the staff that just turned it on in the
    morning and left it on all day, and the clock was just running
    on it, and that caused our contract price to go up. Of course,
    their view was, hey, it is free to me. So it must be okay. I am
    curious about sort of the practices, and if you can monitor
    that. In our office back in the Attorney General's office, we
    could actually monitor that. We knew who was on because of the
    way it was set up. And I do not know how your contract is. But
    I would like to know some of that detail before----
        Ms. Erickson. The services that we provide are stipulated
    by the Rules Committee and require unlimited access. In the old
    days, offices--maybe 1987--were each given $12,000 to enter
    into these contracts. But yes, offices are not incurring costs
    for leaving Westlaw on all day, although we do have those types
    of contracts that we enter into with the Senate library,
    Courtlink, and we restrict that to our librarians because of
    that very reason. But I think you raise a good point. I think
    that we need to take a hard look at user statistics and we will
    be sitting down with the Rules Committee staff to share that
    information with them. But I would be happy to provide you a
    breakdown of what the current contract costs are.
        Senator Pryor. That would be great.
        Also, you mentioned in one of your answers a minute ago
    that you had some savings on some current contracts. Are these
    same subscription services?
        Ms. Erickson. They are similar to ones that our Senate
    library enters into, such as Courtlink. But they were able to
    achieve $55,000 in savings over the next 4 years for those
    contracts.
        Senator Pryor. Do these contracts--both these contracts we
    are talking about there--that is a great savings. I love that.
    But both these contracts here--they also include the hard
    copies of this material or is this the online?
        Ms. Erickson. The online.

                        SAA deg.PGDM RELOCATION

        Senator Pryor. Let us see. Let me ask, if I may, Terry,
    about the $1.2 million request to relocate your printing,
    graphics, and direct mail operation. That is in your budget, if
    I am not mistaken. And you are talking about going out to the
    Maryland suburbs. I understand that that is a pretty expensive
    proposition out there. Could you talk about that? I understand
    you need more space, but could you talk about the decision
    there?
        Mr. Gainer. Yes, Senator. The fact of the matter is it is
    substantially less expensive. So from a purely business point
    of view, if one concurs that we need the additional space--and
    again, I think reasonable people would feel that is the case--
    our return on investment over the 20 years would be
    significant.
        Senator Pryor. How so?
        Mr. Gainer. Well, because the rent we are paying at the
    Postal Square versus the rent of the building that we are
    suggesting is substantially different, that we would save
    approximately $500,000 a year. Now, when I say that, I mean the
    money gets saved by our partner, the Architect of the Capitol.
    Now, there is an up-front investment preparing the building for
    that of about between $8 million and $10 million.
        Senator Pryor. Is that $500,000 a year based on a per-foot
    basis or is it based on actual when the rent would be here
    versus there? I know you have a limited space here, so you have
    a smaller space.
        Mr. Gainer. It is per foot.
        Senator Pryor. So in other words, you are paying more there
    but you are getting more space.
        Mr. Gainer. We will be getting more space. We would be
    paying less per square foot and we would be saving $500,000 per
    year.
        Senator Pryor. You would be saving $500,000 over what you
    are paying currently.
        Mr. Gainer. Correct.
        Senator Pryor. I see.
        Mr. Gainer. And Senator, if I can speak on that issue: we
    have added powerful equipment in the Postal Square building.
    There is really not an ounce more of electricity available
    there. So we have worked with the General Services
    Administration (GSA), we have worked with the building owner,
    and we could, tongue in cheek, say if we are running our
    presses and someone plugs in a toaster, we would be in trouble.
        Senator Pryor. Is Postal Square a GSA building?
        Mr. Gainer. It is a private building run by the GSA, as I
    recall.
        Senator Pryor. As I understand it--well, I am out of time.
    So why do you not go ahead and I will do a second round. Thank
    you.

                          SAA deg.IT SECURITY

        Senator Nelson. Terry, your request includes $1 million for
    IT security. What does this involve and is this going to
    require additional funding in the future with respect to that
    IT?
        Mr. Gainer. Senator, I do not think there is ever going to
    be an end in sight for IT security. As I mentioned, the amount
    of people trying to get to our network is continuing.
        Senator Nelson. Do you feel like we are protected?
        Mr. Gainer. I think we are very safe. As I said, we deal
    with some 1.8 million attempts per month. We average about 1.5
    per day that actually penetrate. Once we find out, we then take
    action, along with the Member's office on how that occurred.
    But looking at what is happening to IT across the Nation, the
    Department of Defense (DOD), and Homeland Security, it is a
    continued constant threat. Our adversaries are getting sharper.
    We must also get sharper.
        Senator Nelson. Are we partnering with DOD, as well as
    Homeland Security? Because there is clearly a lot of work that
    is being done protecting against cyber and malware, everything
    that we fear most. I know they are doing a significant amount
    of work on that.
        Mr. Gainer. We do have a good partnership with them. We
    have some great security experts who come from some of those
    agencies. We work closely to look at the best practices of the
    National Security Agency and others. We really are on top of
    it, but again, our adversaries are playing chess with us trying
    to stay one move ahead.
        Senator Nelson. Yes. Offense always seems to be one step
    ahead. We are always playing catch-up.

                    SAA deg.SENATE PERSONNEL SYSTEM

        Also, you have got $2 million for a Senate office personnel
    system. Could you explain what that is about?
        Mr. Gainer. Yes. It is somewhat related but separate from
    the Senate payroll system, but the Senate office personnel
    system is really a direct request of your administrative
    officers and the Rules Committee to aid in keeping track of
    your own employees and their time. And we are operating in a
    very antiquated system. This one ought to begin, but again, it
    can be deferred. But your systems administrators will be very
    unhappy with us.
        Senator Nelson. Are you telling me Senator Schumer is
    spending our money over here?
        Mr. Gainer. I am taking the fifth on that.

                 SAA deg.TELECOM MODERNIZATION PROGRAM

        Senator Nelson. The telecom modernization project. I know
    there has been some movement on that. Could you give us an
    update on the progress of what is, obviously, a $20 million
    project, what we might be able to expect from it?
        Mr. Gainer. Yes, sir. The telecom modernization project is
    proceeding slowly but steadily. The design phase of the project
    has been completed. We were not particularly happy with the
    contractor, Verizon Business in this case, and we struggled
    with them for well over 1 year to meet the goals and steps that
    we wanted in this. They could not meet our goals. We brought in
    other contractors to take a look at it. The manufacturer of the
    main switch was bought out by another company. We had to wait
    some 6 months to see who was going to buy the company. Then we
    waited longer to see if the company that made the purchase was
    going to continue making the product. We now know that they
    will stay at it for about another 6 years. So looking at it in
    the most positive vein, we would hope we would have the program
    up and running sometime in 2011. The worst case scenario, it
    might be as far away as 2012.
        Again, as time goes by, the technology keeps taking leaps
    and bounds. So the technology will improve as we move closer
    and it is going to drive the price up a little bit. Ultimately,
    the Senate will have a powerful, 21st century telecom system.
        Senator Nelson. And still in the 21st century?
        Mr. Gainer. Yes.
        Senator Nelson. Okay.

                  CPB deg.USCP SALARY MISCALCULATION

        Chief Morse, can you give us some background on the salary
    miscalculation? I know there is an in-house review underway.
    Are you looking at every aspect of it, whether there is any
    criminal activity or whether this is a human error of some sort
    without regard to that?
        Mr. Morse. Yes. The salaries shortfall was found during the
    first quarter budget execution review. We do that, obviously,
    to ensure that the budget is being executed as we had planned,
    and there are things that we have to plan for in the next
    quarter, for instance, promotions of our employees, as well as
    recruit classes. During that review, there were salary
    shortfalls identified.
        Our preliminary look at this indicates that those salary
    shortfalls are human error. There were miscalculations in both
    sworn and civilian salaries, as well as the lack of submission
    for funding for lump sum repayment when our employees retire or
    leave the agency and miscalculations associated with night
    differential and premium pay and holiday pay. All those sort of
    pile on top of each other when you have a low attrition rate.
    So I am happy to report we have one of the lowest attrition
    rates in 20 years I am told.
        But because of the miscalculations, there is no dependency
    on any of the salary lag and therefore the shortfall is about
    $5.5 million.
        We have our recommendation to correct this through
    reprogramming monies within our general expenses, as well as
    identifying other money in savings through overtime and perhaps
    if the attrition rate stays as low as it is, savings in general
    expenses and salaries with regard to hiring the next class and
    a look at only hiring civilian staff that are critical to the
    operational mission.
        So we have identified means to correct the problem within
    our budget, and now my focus, obviously, is on exactly what did
    happen and who is responsible so that we can ensure that the
    appropriate oversight is there, that the internal controls and
    processes that we have in place are followed, and that we can
    ensure you that this never happens again.
        Senator Nelson. Have you taken any action thus far against
    any personnel at this point?
        Mr. Morse. No adverse action of any type has been taken
    against any employee because we do not have all the facts yet.
    There are employees who have been put on administrative leave,
    but that is a part of our general performance or discipline
    process. It is a process in which we look at things thoroughly,
    we find out what the facts are, we hear both sides of the
    story, and certainly I make no judgments until that
    adjudication takes place.
        Senator Nelson. I appreciate that.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.
        Let me just continue, if I may, Chief. You have indicated
    that to make up this shortfall of some $5.8 million, that you
    can look to reprogramming and you have also suggested in the
    area of expenses. But in your proposed budget here, in your
    expenses account, you have got an increase of $16 million for
    the final phase of the radio modernization project, but you
    also have $16.2 million for other new initiatives.
        Are you proposing then that you would scale back on some of
    these new initiatives, or how are we going to take care of this
    expense?
        Mr. Morse. With regard to the salary shortfalls, it is in
    the fiscal year 2010 budget that we are currently operating
    under that we will go into the general expenses to pay for the
    salary deficit. With the approval of the subcommittee, we
    resubmitted a fiscal year 2011 budget to ensure that the
    calculations are correct and that the budget that I am
    testifying to reflects the same needs it did before we
    corrected it. But, of course, with the corrected calculations,
    the budget request is higher.
        But with respect to the $16 million radio modernization
    money in 2011 and the remaining $16 million for other new
    initiatives, we will certainly work with the subcommittee in
    some cases where they are or could be multiyear funding.
        So the current problem that we are dealing with is within
    the fiscal year 2010 budget and the general expenses and
    savings to reprogram and pay for that. And we have corrected
    the miscalculations associated with 2011 through a resubmission
    of our fiscal year 2011 budget.

                 SAA deg.TELECOM MODERNIZATION PROGRAM

        Senator Murkowski. Mr. Gainer, let me ask you about this
    telecom modernization plan and the situation with Verizon. You
    have indicated that you are not happy with what has happened,
    and you are talking to potentially other vendors. What does
    this do to the timeline that you had anticipated? What does it
    do to the budget that you had anticipated? I know when you try
    to change horses in midstream, oftentimes it can end up costing
    more and taking longer. Can you speak to that?
        Mr. Gainer. Yes, ma'am. It will take longer. And the phase
    that Verizon Business completed, the design phase, is solid. So
    the next vendor that is ultimately selected can take and
    validate that and then use it for implementation. So that is
    not a truly lost opportunity. That is money that was well
    spent, although it took us too long to get there.
        Senator Murkowski. It is your intention, though, to get a
    vendor who will accept that Verizon plan.
        Mr. Gainer. That is correct. And that is entirely doable.
    Again, we have had some other outside experts come in and look
    at the design phase and ascertain whether it is usable. So we
    are not going to lose the work product. We are not going to
    lose the money invested. We are losing time. The only up side
    of the lost time is, again, that technology improves, and we
    will have an even better system when we ultimately get there.
    So, we have been set back a good 1\1/2\ years on the project.
        Senator Murkowski. Is it my understanding that--well,
    obviously, if we have got to bring in a new vendor, we do not
    know what the total cost is expected to be. What are our
    ranges? What do you anticipate?
        Mr. Gainer. Well, the range of new total cost is anywhere
    from $3.5 million to $8.7 million more dollars.
        Senator Murkowski. And that is on top of what we have
    already authorized.
        Mr. Gainer. That is correct.
        Senator Murkowski. So in looking through my notes here, I
    had been under the understanding that we had anticipated a need
    for an additional $2 million to $4 million for implementation,
    but you are suggesting that it is going to be about double
    that.
        Mr. Gainer. I believe so. I can provide additional
    information to clarify that. That is my understanding, Senator.
        Senator Murkowski. If you would.

                      SAA deg.PRIOR YEAR BALANCES

        And let me ask you about the unobligated balances. I
    appreciate your statement and your commitment to really work to
    provide a flat budget under these very difficult times. I think
    the American public appreciates that, and I do not think they
    understand the half of what we ask our staff and the folks that
    you all manage to do. So I appreciate that effort.
        You have indicated that you would like that flexibility
    with these unobligated balances which are somewhere between $14
    million and $15 million. Clearly you have needs for the funds,
    but can you give the subcommittee some parameters in terms of
    what you are looking at?
        For instance, you have mentioned the situation with the
    facility over there at Postal Square. You have got some
    expenses within the Senate personnel system. You have indicated
    that maybe the staff system would not go forward. Where are you
    thinking that you might be plugging in these unobligated
    balances?
        Mr. Gainer. We are still working through that. The
    suggestion of our experts is to prioritize some of the things
    that we are talking about leaving out of the fiscal year 2011
    budget. The Senate office personnel system would be very high
    on the list, as well as the funds to complete the telephone
    modernization program. And quite frankly, in doing the
    briefings I have had in the last 24 hours, I feel pretty
    strongly about what we need over at Postal Square in our PGDM
    operations.
        Number one, we would have to determine where we go if we
    cut the $7.7 million that we suggested, that we think are
    important to improve, and then work with you and the Rules
    Committee and others to decide what is the best use of those
    limited dollars. And we would work with you to do that.
        Senator Murkowski. Mr. Chairman, my time is expired. But I
    think this is a very important part of the conversation, and we
    would like to be working very closely with you on that. Thank
    you.
        Senator Nelson. Thank you.
        Senator Pryor.
        Senator Pryor. Thank you, Mr. Chairman.

                 SAA deg.TELECOM MODERNIZATION PROGRAM

        Terry, let me follow up on the telephone issue, the
    modernization there. Last year, especially during the
    healthcare debate, my understanding is several offices' phone
    systems had problems, and it seems to me like it may have been
    in the capacity in terms of how many calls they were getting
    and voice mail systems, et cetera. Will this modernization fix
    that?
        Mr. Gainer. It would, Senator. That is important
    information. On one of our busiest days for the healthcare
    debate, for instance, we had 770,000 phone calls come into our
    switch in a 24-hour period. During the busiest hour, which was
    at 5 o'clock, we had 155,000 telephone calls come in. Just for
    going to voice mail, I think our current system was developed
    to handle 182 simultaneous voice mails. This system, as I
    understand it, would be about seven times that. Again, what
    your office is doing is what a lot of us are doing at home.
    Calls are going to voice mail so you can kind of pick and
    choose the voice mail. But the current system was never, ever
    designed to handle 155,000 calls an hour, and the new system
    will do that.
        But we are actually on the cutting edge, I believe, of the
    technology to do that. That is some of the difficulty in
    getting some of the best people like Verizon, whose phones we
    all use, to make our system work for us.
        Senator Pryor. Thank you.

                      USCP deg.USCP RADIO PROJECT

        Chief, let me ask you a question about the radio
    modernization project. When it is completed and fully up and
    running, will it be fully interoperable with the systems and
    other first responders in this jurisdiction and your key
    partners in the day-to-day operation of the U.S. Capitol
    Police?
        Mr. Morse. Yes, it will. During the design phase of this
    project and throughout its build-out and implementation, those
    partnerships are used to ensure that we have that
    interoperability.
        Senator Pryor. And have either you or NAVAIR--I am assuming
    you are still working with NAVAIR--sat down with these key
    partners to make sure everything is the way it should be with
    regard to interoperability?
        Mr. Morse. Yes, we have.
        Senator Pryor. When do you anticipate that the new radio
    system will be completely installed and fully operational?
        Mr. Morse. The spring of 2012.
        Senator Pryor. As I understand it, it is kind of a phased
    program, a phased process. Can you give the subcommittee here a
    status report of where you are right now in your phases?
        Mr. Morse. Right now we are in phase two of the project. So
    we are currently in the design for the mirror site, the
    redundant site. It is off campus.
        Senator Pryor. And who is doing that design for you?
        Mr. Morse. Verizon. It is a Verizon building. Verizon is
    doing the design and the AOC has oversight of that design and
    construction.
        Senator Pryor. Do you know who is going to actually be
    doing the construction? Will it be Verizon?
        Mr. Morse. Yes, sir.
        Senator Pryor. So the total cost of this project is how
    much?
        Mr. Morse. The total cost? $97.6 million.
        Senator Pryor. And where are we in terms of our spending of
    that, that has actually gone out the door or is in the process
    of being spent? Where are we in the process of that?
        Mr. Morse. Right now, I believe we have obligated about
    $3.5 million in phase two, but we are currently working on an
    obligation plan to be submitted to you this month that is being
    reviewed by the AOC which will obligate another $10 million to
    begin the cabling work for this project. And if we back up to
    phase one, of course, we had initial funding, I believe, of
    about $10 million that was associated with design and concept
    of this.
        So as we complete the construction of the off-sites, I
    believe we are looking at December for the Manassas off-site,
    as well as February 2011 for the Verizon. We will then begin to
    obligate more money and the pace of this project will begin to
    accelerate.
        Senator Pryor. Given the size of the project, I am just
    concerned--I want to make sure, I should say, that every step
    of it is properly competitively bid and that there is the right
    amount of competition in this. Are you going through this with
    competitive bids, or have you kind of deferred that to some of
    these companies to let them take care of that for you?
        Mr. Morse. Well, first, we have the Government
    Accountability Office (GAO) who is working with us. We meet
    weekly with NAVAIR and GAO keeps the oversight of this project.
    But NAVAIR also recognizes the need to have a very competitive
    process and they also are under the requirements of the Federal
    acquisition regulations. So with that communication, the
    communication from our oversight, the constant review by our
    partners in GAO, we feel certain that this will be a fair and
    competitive process.
        Senator Pryor. Great. Thank you.
        Thank you, Mr. Chairman.

                        USCP deg.USCP OVERTIME

        Senator Nelson. Chief Morse, your fiscal year 2011 request
    assumes an increase of 52 officers and roughly $30 million in
    overtime costs. After a study to try to determine how best to
    manage overtime, have we created, let us say, a fixed part of
    the budget every year that is going to be calculated for
    overtime, just as part of the basic compensation, or is this
    $30 million simply based on an expectation of what might happen
    if we have extraordinary circumstances or something of that
    sort?
        Mr. Morse. We have worked very hard on this particular
    issue with our study and our methodology which our partners
    from S&I from House Appropriations reviewed; and GAO are
    currently reviewing who have reviewed our methodology. We feel
    that we are very on course with being able to project
    accurately what our overtime needs are.
        What we have been able to do with our study is establish a
    utility number, the number of hours an officer is available to
    us in a year, the number of hours of mission requirement. The
    gap between the two is where the overtime comes into play. If
    you reduce the mission, you reduce the overtime. If you add
    officers to that gap, you reduce overtime.
        We have been very innovative and proactive in the way that
    we have tried to internally reduce overtime and produce
    officers, and let me give you a couple of examples.
        First, with the Library of Congress transfer, we were able
    to civilianize some 23 positions within the command center of
    the Library of Congress. Those officers then are able to be put
    back into the field. The civilianization of our off-site
    delivery center--we were able to put officers back into the
    field.
        We most recently--not a savings of overtime but a savings
    of money through contract--we were able to take folks off the
    DOL list, the Department of Labor list, and bring them back to
    our organization, replace the contractors and put them into the
    alarm monitoring where we have better supervision and more
    efficiency and the ability to bring back our employees because
    of that DOL payment that we have to do.
        We are working on technology, for instance, within the
    truck interdiction program. Once that is complete, it will be a
    give-back of officers.
        We also have had some other projects that we are working on
    that would generate less overtime and produce more officers for
    the core business hours. I was actually talking to Mr. Gainer
    yesterday about this issue, as we discussed potential
    questions. But the culture here--and he talked earlier about
    the convenience. I have been on the police department for 25
    years, and I worked many of the doors that are here on the
    campus. Today we have looked at the number of people, for
    instance, the pedestrian counts at many of our doors after 7
    o'clock when the Senate or House stays in late. We still have
    to man those doors.
        We have done a study. We have done a cost analysis based on
    pedestrian counts where we could move some 60 officers to the
    core business hours by closing those doors. Moving them to the
    core business hours enables us to fill some of the empty mags
    that we see during the daytime, to shorten lines, to reduce
    overtime over the year, and provide a more robust presence
    during the most critical times of the day when we have
    subcommittee hearings and dignitary arrivals and both the House
    and Senate are in session.
        So we think that we have done a very good job of managing
    overtime, creating positions within the police department
    without asking for the additional officers that we need, and
    also being creative in the way that we plan to continue to do
    that, to master the overtime issue and to have the best and
    robust protection that we can during the core hours.

                     USCP deg.CIVILIAN CONTRACTING

        Senator Nelson. Have you considered at some of the sites
    civilianizing those who read the magnetometers or the scopes as
    the bags are going through to be x-rayed rather than have a
    uniformed officer do that at particular points in the day, as
    well, maybe the lower traffic locations, lower traffic times?
    If you have considered that, could that result in some savings
    and better utilization of the uniformed officer's time?
        Mr. Morse. It is not something we have considered. It is
    certainly not something that is off the table. But as I think
    back to the 1998 shootings, there were some issues and things
    that we addressed with regard to the simple structure of the
    doors and how the screening equipment and tactical positioning
    of officers could take place because these buildings were not
    built for this type of security.
        So there are situations where internally people have
    already been screened at a certain level, and they are simply
    being screened at a higher level to proceed into the Capitol.
    Those are areas that certainly we could take a look at and, if
    possible, discover savings there. But we want to make sure that
    we keep in mind the safety of all our employees and obviously
    be able to mitigate any threat that would exist at those
    locations.
        Senator Nelson. Absolutely. Security stands first, but from
    time to time, there are other ways to accomplish it, and
    depending on the timeframe, as well as the location, it is
    possible to maybe consider that as well.
        Mr. Morse. Yes, sir.
        Senator Nelson. Thank you.
        Senator.
        Senator Murkowski. Thank you, Mr. Chairman.

                           USCP deg.OVERTIME

        To continue with the discussion about where we are with the
    overtime, I understand that within the budget request here, you
    are seeking to add 52 new sworn, 12 new civilians, and the
    budget justification material provided to the subcommittee
    states that even with the addition of these officers in fiscal
    year 2011, it would not reduce the overtime costs. And you have
    just stated that there are a couple of different ways to reduce
    these overtime expenses, and one of them is obviously moving
    forward with additional staff.
        So tell me how, if you were to fill these positions, we
    would not be getting closer to that management point that we
    seem to discuss a lot around here about how we work to reduce
    that overtime.
        Mr. Morse. The 52 officers--there is, first, a recruiting
    process for that. There is the hiring process for that that
    must take place, and then there are some 30 weeks of training
    that have to take place which include field training. Then we
    look at the schedule of when we can hire those classes
    throughout the year, and when you add all that up, you are not
    going to realize--you will realize some overtime savings in
    2011 dependent upon when those employees are hired, when they
    complete training, and when they are permanently assigned to
    the division. But the real savings comes in 2012.
        Senator Murkowski. Well, let me ask you that then because
    in fiscal year 2010, the plan was to add 24 sworn officers and
    15 civilian staff positions. So where are we in that pipeline?
        Mr. Morse. I believe the 24 you are referring to is the
    backfill, which is already in our base salaries, which is the
    backfill for attrition. And that was the----
        Senator Murkowski. So are those positions filled?
        Mr. Morse. Those positions are currently filled and if
    attrition does not pan out to what we projected--and so far it
    has not because it is extremely low--if that does not pan out,
    then there is not a need to hire those officers. If the
    attrition continues, as we projected, then we will make a
    decision to hire that class because we need for them to be
    brought on board and trained so that we can feel the effects of
    a savings of overtime, which equates to about $1 million for 24
    FTE in 2011.
        Senator Murkowski. So when do you make that decision as to
    whether or not you are at that attrition level that you had
    anticipated?
        Mr. Morse. What we do is we have our recruiting efforts
    continue and we have people in the queue to hire. The decision
    to hire them is made a couple months prior. So for July, we
    would have to be prepared to make the decision to hire them
    based on attrition sometime in April or early June.

                       USCP deg.NEW INITIATIVES

        Senator Murkowski. I appreciate the responses that you gave
    to the Senator from Arkansas about the radio modernization
    project, where you are with that. And there has been a lot of
    discussion in this subcommittee about the expense of that
    undertaking and the need to have this interoperability.
        I would like to know a little bit more about these new
    initiatives that you are proposing, a little over $16 million
    for new initiatives beyond the radio project. It seems like a
    lot of funding--a lot of new projects to be taking on at a time
    when we are looking to really rein in the budget here. As I
    looked down the list, can you give me your top two or three
    absolutely, positively must-haves? I am going to make you
    choose between your favorite children here because I think it
    will be helpful to know what we can anticipate here in terms of
    new initiatives.
        Mr. Morse. I am not going to take the fifth.
        But I will say up front that two of these initiatives of
    the eight that you see are force development, meaning they are
    for the safety and security of the Capitol campus. And that
    would be, for instance, the modernization of our video
    management system upgrade. We have already completed the first
    phase of that, and we would like to be able to complete the
    second phase of that.
        The remaining new initiatives are really from our threat
    analysis of the campus, and it is in partnership with the
    Capitol Police Board. So if I go picking anything right now,
    without my bosses' input, then they will be a little bit mad at
    me. But I think we can certainly take a look at these.
        And as I said before, there are several here that are very
    expensive but, for instance, in one case, can be funded
    throughout fiscal year 2014. So the impact of that from a
    budget standpoint is not that high, but the results of not
    doing this certainly have an impact on the level of security
    that we provide.
        So I can work with the Capitol Police Board to look at this
    as a priority and certainly work with the subcommittee to make
    the best choices we can for the safety of the complex.
        Senator Murkowski. I would certainly appreciate that. If it
    is something in progress--and as I understand what you have
    just said, the only one that is in progress in terms of phases
    is the video management system. But of the other items that are
    listed, I would like to know from a security perspective what
    the must-haves are. If there are some that can be done in a
    phased approach, I would also like to know and understand that.
        I am hesitant, while we are in the midst of a very
    expensive radio modernization project, which again I agree we
    have got to do, that we be taking on other initiatives that may
    be nice but not necessary. So I would like to know what the
    nice and what the necessary are, and if you can help us
    prioritize that, that would be greatly appreciated.
        Mr. Gainer. Senator, I can give him some guidance now. All
    the ones on the Senate side we should approve. All the ones on
    the House side can be deferred.
        Senator Murkowski. See, you have got your first helping
    hand right there.
        Thank you, Mr. Chairman.
        Senator Nelson. Thank you.
        I do not know that I have anything further. Do you?
        Senator Murkowski. I am done. That was my last question.
        Senator Nelson. That was mine too.
        I want to thank all three of you and, once again, emphasize
    how appreciative we are of your staff to continue to work so
    diligently on our behalf and on behalf of the American people.
    It is difficult for us to ask you to do more and then ask you
    to do it with less. We understand that that is a challenge that
    you face. It is a challenge we face as well. We appreciate your
    spirit of cooperation and willingness to work with us to find a
    way through, sort of a way forward for all of us to have
    security, have services, and be able to accommodate our offices
    and make certain we do work on behalf of the American people in
    a more diligent way.
        Are you sure that my office did not get all 150,000 of
    those calls in 1 hour?

                         ADDITIONAL COMMITTEE QUESTIONS

        I thought we got at least that.
        So thank you all.
        [The following questions were not asked at the hearing, but
    were submitted to the offices for response subsequent to the
    hearing:]
                   Questions Submitted to Terrance W. Gainer
                   Questions Submitted by Senator Ben Nelson
                        fiscal year 2011 budget request
        Question. If the Legislative Branch Appropriations bill for fiscal
    year 2011 is held to current year levels, what will be the impact to
    your agency's operations and on the day to day operations of the
    Senate?
        Answer. We will be forced to delay some initiatives and cancel
    others. We will review all of our major spending plans and reevaluate
    each one, setting new priorities, recognizing the reduced resources
    allocated to us. As a note, we constantly evaluate our plans and
    resources and have concluded that about $1 million in the fiscal year
    2011 budget for equipment for an Emergency Operations Center is not
    cost effective and no longer needed.
        Specifically, if we do not upgrade network and data storage
    equipment, we may face increasing maintenance outages and higher future
    maintenance costs. We also planned to add capacity to State office
    Internet connections to improve network speed. We will be forced to
    eliminate that project. As a result, offices will continue to
    experience slower response times when using the Internet.
                         printing department relocation
        Question. The Architect of the Capitol's request includes $1.2
    million to relocate your Printing, Graphics and Direct Mail operation
    to a leased space in the Maryland suburbs. Why is this move necessary
    right now when we are attempting to rein in spending?
        Answer. One of our departments currently runs a large printing
    operation in the basement of a building a few blocks from here. Since
    2007, we have had 2 major sewage floods, 2 clean water floods, 4
    ceiling collapses of tile or concrete, among other events, that disrupt
    work, threaten the health of our staff or pose risk of damage to our
    expensive printing equipment. We have over $20 million in sophisticated
    equipment in the building. We believe that remaining in the facility
    will at some time cause an injury to staff or serious damage to our
    equipment. While we recognize the need to manage spending carefully, we
    believe this move is justified.
        Question. What is the total cost of this relocation?
        Answer. The initial cost to set up the facility will be between
    $7.8 million and $9.7 million depending on construction contingencies.
    In the long term, the government will save millions of dollars. One a
    purely financial basis, the government saves money over the life of the
    lease. The project has a net positive cash flow and a positive return
    on investment. The positive cash flow comes from significantly reduced
    rent and operating costs at the new facility compared to rent and
    operating costs in the heart of the District. We are paying over $54
    per square foot today and would pay about $22 per square foot at the
    new facility. Costs for the space now occupied are projected to be
    about $36 million over the next 20 years. The proposed facility would
    cost about $25 million over the same time period. The funds included in
    the Architect's budget would pay for the rent at the new facility that
    would be shared by us and the Architect. We believe that the Architect
    would use the space to consolidate several storage locations into one
    facility.
                              unobligated balances
        Question. Last year, your office identified a substantial amount of
    unobligated multi-year balances from fiscal year 2006, fiscal year
    2007, and fiscal year 2008. What is the total sum of these balances and
    how can you best utilize these funds to reduce your fiscal year 2011
    request?
        Answer. We have about $14 million in unobligated balances. Some of
    these funds can be used to reduce the fiscal year 2011 request,
    especially some of the capital investments in equipment that we plan to
    make.
        Additionally, there are three important projects that are not fully
    funded at this time. These are the Telecom Modernization Project,
    payroll system replacement and the move of our printing operation to a
    new facility. At the present time, only the costs of the relocation of
    the printing operation are known. As we clarify our priorities and as
    costs for TMP and the payroll system replacement become more defined,
    we will make a recommendation to the Committee on the use of the funds.
        Question. Are there remaining balances from fiscal year 2009 as
    well?
        Answer. We expect that all fiscal year 2009 funds will be obligated
    for the purpose intended and that there will not be unobligated
    balances as we had in fiscal years 2006-2008.
                        fiscal year 2011 budget request
        Question. Your organization has requested a 7 percent increase in
    fiscal year 2011. As we have discussed, increases are going to be very
    difficult in a tight budget year. What projects in your fiscal year
    2011 request can be deferred for another year?
        Answer. If funding is not available, we will defer some of the
    capital investments in network and data storage equipment, and possibly
    replacement for video and printing equipment. We also may have to defer
    development of the Senate Office Personnel System. We will look closely
    at all of our operations and get back to the Committee with more
    specific information.
        Question. Your request includes $1 million for IT security. What
    will this cover and what additional funding if any will be required?
        Answer. The additional funding will primarily cover continued
    migration to Symantec Endpoint Protection version 11, which is a vast
    improvement upon the current software we use for anti-virus protection
    on individual desktop and portable computers; security assessments and
    additional monitoring for new projects, including the payroll system
    and telecommunications modernization; improvements to our IT Security
    awareness program; and development of an enterprise risk-reduction
    ``dashboard'' that will help individual offices view and quantify the
    risks present in their networks, assess their adherence to security
    standards and guidelines, and receive rapid feedback on the risk
    reduction effects of their remediation efforts.
        Question. How well is the Senate protected against a cyber-attack?
        Answer. We believe the Senate is well-protected, for now. We employ
    a variety of state-of-the-art security technology, procedures, and
    training to help defend the Senate network against cyber attacks.
    However, the frequency, complexity and sophistication of attacks
    against our systems continue to escalate, particularly in the form of
    targeted attacks from organized adversaries with adequate resources.
    The fact that the Senate has not yet suffered a major incident in the
    face of these escalating attacks is a testament to the people,
    processes, and technology that we commit to our defense. However, as
    the Senate continues to rely more heavily on ever-changing Internet
    technologies that can potentially expose us to new avenues of attack,
    we must also continue to improve our defenses to keep ahead of our
    adversaries.
        Question. Your request includes $2 million for a ``Senate Office
    Personnel System.'' Can you explain this?
        Answer. This project is to replace the antiquated system many
    administrative managers and chief clerks use to manage personnel
    administrative functions such as salaries, leave, and time and
    attendance. One of the key goals is to integrate office personnel
    requests with other automated systems to eliminate redundant data and
    data entry. Once the current requirements gathering effort is
    completed, we will be able to make a decision whether commercial
    systems can meet the requirements or whether we will have to develop a
    system ourselves.
        Question. Is this a one-time cost?
        Answer. Two million dollars is the estimated implementation cost.
    Funding for annual maintenance will be required in an amount to be
    determined after the system acquisition strategy is selected.
                         combined appropriation account
        Question. What economies do you expect to realize by combining your
    salaries and expenses into a single appropriation, which you are
    requesting to initiate in fiscal year 2011?
        Answer. A single appropriation account will reduce the 70 monthly
    manual reconciliations of balances for the accounts we have currently
    to seven reconciliations for the consolidated accounts. At any point in
    time, we have seven active appropriations to manage. Each appropriation
    has 10 subaccounts.
        Also, because salaries and expenses will be combined in one
    structure, managers also will be able to have a complete view of the
    cost of their operations in one report rather than the two at a minimum
    currently needed (one for salaries and one for expenses).
        Additionally, the current appropriation account structure is a
    legacy of Sergeant at Arms' organization structure of the early 1990s
    and the Senate's financial systems at the time. Today, the Senate has a
    financial system that easily can accommodate a consolidated
    appropriation and allow the appropriate level of management reporting
    for tracking both salary and expenses.
                         telecom modernization project
        Question. I understand there has been some movement on the telecom
    modernization project. Can you update the subcommittee on the progress
    of this $20 million project and whether or not additional funding may
    be required?
        Answer. The design phase of the Telecom Modernization Project has
    been completed. At this time, we do anticipate that additional funding
    will be needed for the project. Improvements to the buildings to
    support the solution have proven more expensive than originally
    estimated. In addition, new components to improve security and the
    manageability of the solution were added during the final engineering
    and design effort. We are evaluating that design against recently
    announced product roadmaps to determine what changes, if any, should be
    made to align with the manufacturer's direction. Depending on which of
    various implementation options is chosen, the additional cost is
    projected to be between $3.5 million and $8.7 million. We will continue
    to strive to minimize these increases. Based on these changes we
    anticipate that testing will begin late this year and that the system
    will be installed during fiscal year 2011.
                        telephone/voicemail interruption
        Question. What steps has your office taken to address the
    interruption in telephone and voicemail service that the Senate
    experienced during the Health Care Reform debate last summer?
        Answer. We have identified and rectified several issues over the
    past months to improve the reliability of the system, which will
    address most of the issues that we experienced. However, there is an
    issue we cannot resolve with the current voice mail system: it can
    handle only 132 simultaneous callers being redirected to voice mail.
    That number is not sufficient in this time of organized call-in
    campaigns and increased reliance on the voice mail system for screening
    callers. In the longer term, we will be installing a new voice mail
    system, which will have 782 ports, as one of the early efforts of the
    new telephone system implementation.
                      senate emergency notification system
        Question. There was an event last year where the Senate community
    was not immediately notified of an emergency which caused many road
    closures and interruptions to traffic in and out of Senate parking
    lots. What have you done to improve your system for alerting offices
    during an emergency that affects the Senate community?
        Answer. The Sergeant at Arms works closely with the USCP Command
    Center to ensure the Senate community is notified of potential impacts
    throughout evolving emergency situations. To assist the Command Center
    in keeping the Senate community informed, the Sergeant at Arms moved a
    full time employee to USCP Headquarters to provide a presence during
    normal work hours for real-time information relay. Furthermore, a
    Sergeant at Arms employee fully trained to issue notifications is
    present in the Command Center after normal work hours while the Senate
    is in session to support communication between USCP and the Senate
    community.
                                     ______

                 Questions Submitted by Senator Lisa Murkowski
                                    salaries
        Question. I understand the Sergeant at Arms (SAA) has successfully
    filled 25 positions since our hearing last year. What impact has that
    had on your operations?
        Answer. We have filled over 25 positions since the hearing last
    year. The impact has been real and substantive and has occurred in
    nearly every department. For instance, in Technology Development, one
    major outcome of filling several vacancies during the year was the very
    successful launch of the virtual machine infrastructure service. This
    service allows Senate offices needing new servers to build logical
    servers in the SAA physical environment at Postal Square at a fraction
    of the cost of buying their own physical servers. In addition to the
    cost savings, there are significant savings in office space, power,
    noise, and air handling for these offices. Several of the employees
    recently hired were instrumental to this successful launch. Another new
    staff person will implement electronic leave request and approvals for
    our staff, replacing the manual, tri-part forms now used. This project
    has been planned for 18 months and can be completed now with the
    position filled.
        In Capitol Facilities, we added a night manager and filled three
    vacancies in the night cleaning crew. We needed a manager to oversee
    the work of the 34 staff that keep the Senate side of the Capitol well
    maintained. We have observed a higher degree of good order in the
    Capitol and OSHA compliance since these staff were added.
        Question. I understand there are 23 positions currently vacant and
    that the budget request seeks 7 new positions, proposing to convert 6
    of those into contract employees, for a net gain of 1 new position in
    fiscal year 2011. If we approve the budget request as presented, there
    will be 24 vacancies in SAA. What would be the impact of not filling
    those 24 positions? Which services that you provide would have to be
    scaled back or eliminated?
        Answer. In the case of filling the existing positions, the most
    immediate and significant impact will be delay in completing current
    work. Member office and committee staffs expect rapid turnaround on
    work order and service requests. These response times will lengthen
    somewhat for certain services.
        In the case of the newly requested positions, following are
    explanations of their need.
        In addition to providing support for information technology,
    telecommunications and general office equipment and applications, IT
    Support Services has seen its less visible responsibilities expand
    rapidly over the past 2 years in the areas of contractor oversight,
    financial management of contracts, and asset management. The escalating
    workload has resulted in a strong need for additional FTEs to handle
    the growing demands.
        Three FTEs are requested for the Constituent Services Systems
    Coordination section, one of the areas hardest hit by increasing
    contract oversight and financial management duties. During the past
    year, due to office demands, we added a new vendor to the list from
    which offices could select a constituent services system. Because of
    the complexities of the CSS contracts, each contractor is assigned a
    separate contracting officer's technical representative from the CSS
    Coordination section. With the addition of the newest CSS vendor, the
    COTRs are forced to concentrate primarily on ensuring the contract
    terms and conditions are met. The critical financial management of the
    contract has become, at best, a tertiary duty for the COTRs. This new
    FTE is vital to our ability to fully manage the financial aspects of
    the CSS vendor contracts and ensure the Senate is receiving the best
    value for its money.
        The CSS Coordination section, again due to office demand, is now
    also tasked to provide oversight and support to three new categories of
    contracts covering the areas of website development, SharePoint
    integration, and member scheduling software, with multiple vendors in
    each of those areas. An office can select a vendor from each of those
    categories to perform work. Because current staff levels do not allow
    us to provide adequate oversight for these new areas, we now have an
    additional vendor onsite to oversee the website development contracts.
    We believe it is vitally important for us to have these
    responsibilities in-house due to the sensitive nature of information
    that must be gathered from offices. Having contractors oversee other
    contractors is not in the best interest of the offices. The additional
    FTEs would allow us to absorb the increased workload caused by the new
    contracts and provide the type of detailed contract oversight that the
    Senate community expects.
        The Asset Management section has also seen an expansion of duties
    as a result of the need for more accurate State inventories, the
    addition of service levels to the work being done for offices, and
    additional workload caused by the two new $5 million party recording
    studios. Previously, GSA assisted with State office inventories. GSA
    staff does not have adequate knowledge of the types of assets the
    Senate must capture, and, over the past 2 years, they have been unable
    to perform the inventories at the rate at which we need them. This has
    resulted in inaccuracies in State offices inventories and the need for
    time-consuming research to ensure offices are not forced to pay for
    equipment that may not be missing, or pay twice for equipment that is
    missing. The new equipment for the party recording studios must also be
    tracked by the Asset Management section. The equipment is staged off-
    site and in smaller components that are aggregated together to form
    larger units. The only way to ensure accuracy of these inventories is
    to send Asset Management staff to the off-site location leaving the
    rest of the section short-handed. Without the new FTE, we will continue
    to have issues with State offices inventories and GSA interactions and
    will not be able to provide the level of oversight needed for the $10
    million worth of Senate assets in the studios.
        Our Printing, Graphics and Direct Mail group seeks to add a systems
    administrator position. Providing immediate systems support and
    troubleshooting is essential to maintaining a constant work flow.
    PGDM's networked equipment is in six separate locations, and
    troubleshooting, maintenance and general oversight is impossible for
    the current single systems administrator.
        PGDM's one systems administrator will not be able to maintain
    efficiency and quality service for future hardware/software
    acquisitions and for increases in production data. No back up for the
    systems administrator means less support to Postal Square, Senate
    Support Facility and ACF facilities. Another year's delay in filling
    this essential position will ensure delays in service to PGDM
    equipment, PGDM employees and customers.
        Question. How much money would you save?
        Answer. We could save about $1.5 million were these positions not
    filled.
                                    expenses
        Question. The budget request includes $2 million for replacement of
    the Senate Office Personnel System (SOPS). Please explain why
    replacement of SOPS is necessary at this time.
        Answer. One of the key goals of the project, as expressed by
    administrative managers and chief clerks, is to integrate office
    personnel-related requests with other automated systems to eliminate
    redundant data and data entry. The current system is built on
    technology no longer supported by its vendor, which leaves the
    application at risk to potential exploits and makes integration with
    related Senate systems more costly and difficult, if not impossible.
        Question. Has a replacement system already been identified? Is the
    $2 million requested the total amount needed for the new system?
        Answer. We have not yet chosen a replacement system. Once the
    current requirements gathering effort is completed, we will be able to
    make a decision to what degree commercial systems can meet the
    requirements and to what degree we will have to develop the system
    ourselves. The $2 million represents the estimated implementation cost.
    Funding for annual maintenance will be required in an amount to be
    determined after the system acquisition strategy is determined.
                              unobligated balances
        Question. I understand that SAA has approximately $14 million
    available in unobligated balances from fiscal year 2006-2008. Do you
    have any anticipated needs for these funds?
        Answer. There are three important projects that are not fully
    funded at this time. These are the Telecom Modernization Project,
    payroll system replacement and the move of our printing operation to a
    new facility. At the present time, only the costs of the relocation of
    the printing operation are known. As we clarify our priorities and as
    costs for TMP and the payroll system replacement become more defined,
    we will make a recommendation to the Committee on use of the funds.
                           telecom modernization plan
        Question. The fiscal year 2011 budget request includes an increase
    of $2 million in the telecommunications portion of the budget, which is
    necessary to maintain two systems in tandem throughout the installation
    of the new system--possibly 18-24 months. Will this $2 million increase
    cover the maintenance costs for the entire installation phase, or will
    additional funding be requested in fiscal year 2012?
        Answer. We will not request additional funding for maintenance in
    fiscal year 2012. We anticipate that the new system will be installed
    in fiscal year 2011 and that the cost to do so will include maintenance
    for the first year. Because maintenance costs on the new system will be
    lower than on our current system, no additional funding will be needed
    for fiscal year 2012.
        Question. Please give us an update on the Telecom Modernization
    Plan. What is the status of the $21 million that was previously
    appropriated for this project?
        Answer. We have awarded contracts for about $8.6 million for the
    following: engineering and design ($2.1 million); electrical and HVAC
    improvements in Senate office buildings ($5.1 million) and independent
    third party reviews and validation of the design ($1.4 million).
        At this time, we anticipate that additional funding will be needed
    for the project, although as mentioned above, we may be able to use
    some of our unexpended balances from prior years. Improvements to the
    buildings to support the solution have proven more expensive than
    originally estimated. In addition, new components to improve security
    and the manageability of the solution were added during the final
    engineering and design effort. Depending on which of various
    implementation options is chosen, the additional cost is projected to
    be between $3.5 million and $8.7 million. We will continue to strive to
    minimize these increases.
        Question. Are you ready to begin the implementation of the new
    system?
        The design phase of the Telecom Modernization Project has been
    completed. We are evaluating that design against recently announced
    product roadmaps to determine what changes, if any, should be made to
    align with the manufacturer's direction. Upon completion of this
    evaluation, we anticipate that testing will begin later this year and
    that the system will be installed during fiscal year 2011.
                             payroll system upgrade
        Question. Please give us an update on the payroll system upgrade,
    which we funded in fiscal year 2010 at the requested level of $2
    million.
        Answer. The $2 million in the fiscal year 2010 budget will cover
    software maintenance costs for both the old and new software and the
    cost of the project management office and independent verification and
    validation of the implementation project. The original estimate for
    implementation was $5 million, but this is only a rough estimate.
    Responses to the solicitation are due at the end of March, at which
    time we will have a range of costs and will be able to determine what
    the cost for implementation would be.
        Answer. Would utilizing a portion of the current unobligated
    balances to fund the contract award for implementation of the new
    payroll system complete the funding necessary for this project?
        Answer. As noted above, there is a possibility that these
    unobligated balances can be used for the payroll system upgrade. We
    will work with the Committee as we review our priorities and funding
    options.
                 printing, graphics and direct mail relocation
        Question. SAA is in the beginning stages of developing a plan to
    move the printing facility to a suburban warehouse in Landover,
    Maryland. Projected upfront costs of this relocation could be
    approximately $7.5 million. What will be the long-term savings
    associated with this relocation?
        Answer. Net savings in rent and other operating expenses would be
    $11 million over the life of the lease or approximately $500,000 per
    year when compared against the much higher cost of leasing space in the
    current D.C. facility.
        Question. What is the timeframe for making the decision about
    relocation?
        Answer. Ideally, the decision to relocate the printing facility
    will be made in the next 60-90 days in order to take advantage of
    currently available space and cost estimates.
        Question. Why is a warehouse in Landover, Maryland a better
    location than somewhere closer to Capitol Hill?
        Answer. The current D.C. facility has a decaying infrastructure
    which is not being addressed by the owners/lessee and presents no
    opportunity for our production plant to grow as we expect the
    requirements to entail. Other locations near Capitol Hill do not have
    sufficient open spaces that allow for the efficient layout of
    machinery. The Landover facility also would be in close proximity to
    the Senate's warehouse which would permit economies to be realized by
    use of common transportation equipment.
                                     ______

                  Questions Submitted to Phillip D. Morse, Sr.
                   Questions Submitted by Senator Ben Nelson
                             salary miscalculation
        Question. Chief Morse--I want to better understand the
    circumstances surrounding the salary miscalculations which you recently
    discovered and their impact on your fiscal year 2010 appropriation. The
    Capitol Police has long been plagued with financial management problems
    and I had hoped we were moving in the right direction in that regard.
        Regarding the budget shortfall, Chief you say you have identified
    potential reductions in the fiscal year 2010 General Expenses account
    that could, with this committee's approval, provide funds to be
    transferred to the Salaries account. What specific reductions are being
    considered?
        Answer. To address our projected salaries shortfall in fiscal year
    2010, the United States Capitol Police has conducted an internal review
    of available funding and have identified potential areas for the
    reprogramming of funds. In doing so, the Department's primary focus has
    centered on its ability to maintain its security and law enforcement
    mission, as well as mitigate potential impacts to human capital
    programs affecting its workforce.
        The funds identified for potential reprogramming include funding to
    support lifecycle replacement of technology, technology upgrades,
    integration of technology systems, internal and external training and
    lifecycle replacement of uniforms and equipment, as well as general
    administrative mission support functions.
        The elimination of these funding sources in fiscal year 2010 will
    delay the Department's established lifecycle replacement processes and
    result in greater fiscal needs in future years, but it will not affect
    the security of the Capitol Complex. Further, while it will also hamper
    the Department's ability to invest in professional and technical
    training for its workforce, the Department will continue to provide
    mission critical mandatory and certification training.
        Additionally, for the remainder of fiscal year 2010, the Department
    will fill mission critical civilian vacancies through civilian
    attrition salaries savings from within an 393 civilian strength target.
    As civilian positions are vacated through attrition, the vacated
    position will be added to our comprehensive civilian vacancy lists
    based on an analysis of mission critical requirements. Available
    salaries funding will be directed to the next position on the
    prioritized civilian vacancy list for backfill.
        In an effort to make the necessary adjustments to our fiscal year
    2011 budget request, and to remain close to our fiscal year 2010
    enacted appropriation, I have determined that we will limit our onboard
    civilian strength to 393 in fiscal year 2011, unless a mission critical
    requirement makes it necessary to exceed that level. Therefore, I would
    respectfully request that we retain the budgetary authority for our
    authorized civilian positions above our target civilian staffing level
    of 393, so that the Department may take the necessary hiring actions to
    meet unforeseen civilian hiring requirements within appropriated
    funding levels.
        In addition, fewer sworn officers are leaving the Department. This
    has reduced the Department's need to backfill officer attrition, which
    has resulted in available funding that would have otherwise been used
    to recruit, hire, train and equipment new officers.
        Later this fiscal year, the Department has indicated that it plans
    to reevaluate the projected salaries shortfall and will make a request
    to the Committee at that time for the reprogramming of necessary funds
    to its salaries account.
        Question. I would like you to provide this subcommittee with a
    detailed plan outlining the sources of funding you will use to cover
    this shortfall within 30 days.
        Answer. The Department has ``fenced'' the identified funding
    referenced above (total of $5.886 million in annual general expense
    funds and $1.385 million in no-year and 2-year funds). The Department
    plans to reevaluate the salaries shortfall during the fiscal year third
    quarter, at which time we will identify the funding necessary to meet
    the salaries shortfall. Based on this reevaluation, the Department
    plans to submit a request for the approval of funds reprogramming. To
    ensure we have ``fenced'' sufficient funding to address this issue, the
    Department based its salaries shortfall projection on a worst case
    scenario. (Currently estimated at $6.8 million.)
        Because of the security sensitive nature of the information
    included in the Department's response to this question, I am
    respectfully providing my specific response under separate cover. I
    would, therefore, request that the information provided in that
    document not be included as a part of the public record.
        Question. This committee gave your department a 7 percent increase
    in salaries in fiscal year 2010 to maintain your current workforce, yet
    we were still short. The actual total needed for fiscal year 2010 is
    nearly 10 percent over 2009. How do you explain this increase to simply
    maintain your staffing level?
        Answer. The Department began fiscal year 2009 with close to its
    authorized level of 1,702 officers as of September 30, 2008. With the
    Library of Congress Police merger, the backfill of LOC sworn attrition
    and the coverage of the CVC tunnels requirement, our authorized level
    increased in fiscal year 2009 to 1,799. The transferring LOC sworn
    employees were added to the USCP payroll during the last 4 days of
    fiscal year 2009, but the larger authorized staffing level required for
    these employees was carried for the entire fiscal year in 2010.
        Likewise on the civilian side, the authorized levels increased from
    418 in fiscal year 2009 to 444 in fiscal year 2010. This increase of 26
    civilians resulted from the 21 former LOC sworn officers transferring
    as civilians to the Department on October 11, 2009 and the addition of
    5 radio technicians to support our new radio modernization project.
    These increases in sworn and civilian staffing levels contributed to
    the nearly 10 percent increase.
        Question. You have made significant personnel changes within the
    administrative side of your agency. Do you feel you have the right
    personnel in place to put together an accurate budget? If not, how do
    you plan to prevent this from happening again?
        Answer. Over the last 2 years, we have hired a number of employees
    who we felt possessed the requisite knowledge, skills and abilities to
    resolve the ongoing systemic problems within our financial management
    area.
        Unfortunately, in fiscal year 2010 the formulation of our budget
    did not follow our repeatable budgeting process, to include our Force
    Development review for the evaluation of specific mission requirements
    and potential new programs. This deviation from the prior fiscal year
    process resulted in the resubmission of our fiscal year 2010 budget and
    a resulting salaries shortfall. The fiscal year 2010 salaries
    miscalculation was carried forward into our fiscal year 2011 budget
    formulation as well.
        The USCP Inspector General (OIG) is currently auditing the budget
    development processes for fiscal year 2010 and 2011 to determine the
    reasons for the budget formulation miscalculations and why the fiscal
    year 2009 budget process was not utilized as a repeatable process.
        While the OIG audit is being conducted, the Department is reviewing
    the overall financial management function of the Department to
    determine the best method for achieving the budget, accounting and
    procurement functions.
        The outcome of the OIG audit, our internal business process review,
    and our continued interaction with the Capitol Police Board, the
    Government Accountability Office and oversight committees, we believe
    will assist the Department in developing permanent solutions for
    resolving the systemic financial management problem.
                            fiscal year 2011 request
        Question. How confident are you that the revised fiscal year 2011
    numbers you provided to us are accurate?
        Answer. Upon finding the fiscal year 2010 salaries miscalculation,
    the Department notified the Capitol Police Board in its budget
    oversight capacity. To assist the Department in preparing a fiscal year
    2011 budget amendment with accurate and verifiable information, the
    Board convened a budget review panel consisting of the Chief Financial
    Officer for the Senate Sergeant at Arms, the CFO for the Architect of
    the Capitol (AoC), the Director of the Office of Security Programs for
    the AoC, and a technical expert from the House Sergeant at Arms Office.
    Based on this review and the review of the Department's Executive Team,
    we believe the revised fiscal year 2011 submission is accurate based on
    the assumptions at the time of development.
        Question. Your fiscal year 2011 request assumes an increase of 52
    officers and roughly $30 million in overtime costs. How much will it
    cost to maintain your current staffing levels in fiscal year 2011
    without the additional officers you requested?
        Answer. To maintain current staffing levels of 1,800 sworn and 393
    civilians in fiscal year 2011, the Department will require $342.9
    million in Salaries and General Expenses, as well as an additional
    $15.9 million to complete the indoor coverage portion of the radio
    modernization project. This does not include funding for the special
    initiatives included in our fiscal year 2011 budget submission.
        Question. Have you realized any savings as a result of the GSA
    fleet-leasing initiative?
        Answer. From the initial review of the leasing program in fiscal
    year 2009, we estimated a potential cost savings over a 5 year period
    of $2 to $3 million at our current primary fleet size. This projected
    savings reflects the difference between purchasing lifecycle
    replacement vehicles for our primary fleet and leasing the vehicles
    from the General Services Administration (GSA). So far, we have
    realized work hour savings in efficiencies in the vehicle surplus/
    disposal process through GSA. More importantly, we are in a consistent
    lifecycle replacement process for our primary fleet, which is critical
    to our mission capability.
        Question. You mentioned in your testimony, that half of the
    civilians you are requesting in fiscal year 2011 will replace contract
    employees. Will adding these individuals to your workforce actually
    save money?
        Answer. First, I would like to clarify a reference in my testimony
    that was derived from our fiscal year 2011 budget submission. In our
    fiscal year 2011 budget submission, we indicate that all five of the
    new Office of Information Systems civilian positions, as well as the
    additional budget analyst position for the Office of Financial
    Management, which we are requesting would replace contractors, when in
    fact only two of the five OIS positions are requested in order to
    replace contractors. Therefore, only three of the civilian positions
    being requested in fiscal year 2011 would replace contractors.
        To address your specific question, yes, we believe that adding
    these individuals to our workforce will save money. We are requesting
    to convert the annual general expense cost for the two contractors
    which is approximately $405,000 to salaries to support two new civilian
    positions, a CP-11 and a CP-7, which fully loaded have an annual FTE
    cost of approximately $225,000. In future fiscal year budget requests
    we intend to request additional conversions where it makes fiscal
    sense.
        In the Information Technology field, for example, it is not
    uncommon for FTE cost to be lower than contractor cost. In situations
    where we have Information Technology staff augmentation contractors
    that cost more than the fully loaded cost of an FTE equivalent we
    should pursue a conversion. OIS conducted an informal review and
    determined it could save over $1 million per year by addressing these
    and other contractor conversions.
        Question. You are requesting $16.2 million in ``new initiatives,''
    including hallway security, House and Senate garage security, and
    several AOC projects. Could these items be deferred, or funded in
    phases?
        Answer. If these projects are deferred, the vulnerabilities that
    they are designed to mitigate would remain. Some of these projects
    could be funded in phases.
        Because of the security sensitive nature of the information
    included in the Department's response to this question, I am
    respectfully providing my more detailed response under separate cover.
    I would, therefore, request that the information provided in that
    document not be included as a part of the public record.
                              manpower reductions
        Question. What effect has the merger with the Library of Congress
    police had on the USCP's salaries and overtime thus far? What
    additional changes, if any, are expected to result from the merger?
        Answer. In fiscal year 2010, the Department received funding to
    support the sworn and civilian employees who transferred from the
    Library of Congress (LOC) Police to the Department as a part of the
    Library of Congress Police/USCP Merger. When the funding for overtime
    was requested for fiscal year 2010, the fiscal year 2009 overtime
    executed as a part of the LOC's appropriation (approx. 17,000 hours)
    was not requested to be included as an increase to the Department's
    overtime base. Therefore, the Department absorbed these mission
    requirements into our base for fiscal year 2010.
        Following the implementation of the merger, the Department load-
    leveled the LOC Division's sworn personnel allocations with other
    mission requirements across the Department. This resulted in an
    overtime allocation of 560 hours of overtime from within the USCP
    overtime base per week to meet current mission requirements associated
    with the LOC Division.
        Currently, the Department is reviewing the results of our physical
    security and threat assessments that were conducted on the LOC
    Buildings post-merger. We are in the process of evaluating potential
    mission set adjustments that may result in sworn personnel and overtime
    savings. Resulting savings would be placed against existing mission
    requirements across the Department. Once we have concluded this review
    and analysis, we will vet potential changes through the Capitol Police
    Board and appropriate stakeholders for consideration.
        Question. Having conducted risk assessments, security testing, and
    coordinating intelligence with other Federal law enforcement agencies,
    in your opinion, do you have the right mix of officers, technology, and
    equipment to provide for the security of the Capitol Complex?
        Answer. To better manage our resources and to work toward
    determining the requirements needed for the Department to meet its
    mission, we undertook, with full support of our committees, a staffing
    study in 2007 focused on the core mission requirements at that time.
    This study resulted in a target sworn officer utility of 1,560 in an
    optimum resource environment, which includes a level of overtime needed
    to address unplanned events.
        USCP plans and projects its resources, to include overtime (OT)
    requirements, based on this target 1,560 hours annual utility for each
    USCP officer. This number includes the use of leave both scheduled and
    unscheduled, holiday, training, and administrative time for each
    officer.
        To determine the overall current staffing requirements for our
    mission in fiscal year 2010, the Department balanced the scheduled core
    mission requirements of today, projected unscheduled events
    (demonstrations, state funerals, heads of state visits, etc.), unfunded
    core mission requirements (those that have been added after the annual
    budget submission and appropriation of funds for the current fiscal
    year), and available annual salary and overtime funding to determine
    the level of sworn officer utility required to perform the mission of
    Department.
        The Department's current authorized sworn strength does not provide
    the necessary utility to meet current core mission requirements within
    the target 1,560 utility. This was determined by applying the 1,560
    utility hours against the hours necessary for base core mission
    requirements. The remaining hours must be met through overtime, post
    reduction, the use of technology, or reductions from within the
    utility, such as training.
        To maximize the utilization of resources, the Department balances a
    number of factors as noted above. For example, in an effort to control
    overtime costs, the Department must maintain a robust sworn strength
    throughout the year. Therefore, the onboard sworn strength must remain
    at or above the authorized sworn strength to accommodate attrition
    without increasing the resource gap. This allows the Department the
    maximum sworn officer utilization to meet core mission requirements.
        However, in doing so, the Department is utilizing its appropriated
    salary funds to their maximum potential throughout the year. A by
    product of this level of funding utilization is the potential slowing
    of civilian hiring to allow for the funding availability for sworn
    hiring.
        Further, the Department has an average of 40-60 sworn officers in
    recruit training during various parts of the fiscal year, which results
    in these sworn officer utility hours not having an immediate direct
    impact of the reducing the resource gap upon their entry on duty with
    the Department. Generally, recruit officers hired and trained after
    March of any given fiscal year will not have a impact on reducing the
    resource gap until the next fiscal year, assuming that the core mission
    does not increase or projected attrition is not exceeded.
        In an effort to reduce requirements and narrow this gap, the
    Department has worked with the Capitol Police Board and its oversight
    committees to review possible requirements reductions. In fiscal year
    2008 and fiscal year 2009, the Department closed a number of non-
    security posts, which allowed the Department to remain within the
    appropriated salary and overtime funding levels.
        To further reduce the resource gap, the Department has looked at a
    number of opportunities to civilianize positions currently performed by
    sworn officers, so these sworn staffing resources may be realigned to
    meet other core mission requirements. In fiscal year 2009, the
    Department utilized available civilian positions to return former USCP
    employees from the Department of Labor's Worker's Compensation Roll to
    the Department's Communications Section. This allowed the Department to
    utilize civilian personnel to perform the security camera and alarm
    monitoring function in-house, rather that using contractors. Further,
    this allowed the Department additional general expense funds for
    potential use on technology, as well as allowing for some realignment
    of sworn resources.
        Additionally, the Department civilianized 26 sworn positions in the
    Library of Congress command center during the LOC Police and USCP
    Merger. This allowed the Department to utilize civilianizing former LOC
    Police employees to perform the Command Center functions and realign
    sworn resources to other core mission requirements.
        The Department is currently reviewing other areas that may result
    in civilianization of posts, which may provide additional available
    sworn officer utility. As these are developed, they will be vetted
    through the Capitol Police Board and appropriate stakeholders for
    consideration.
        Even with these reductions efforts and the use of technology, the
    remaining requirements currently exceed the Department's appropriated
    overtime funding level. Therefore, the training hours contained within
    the 1,560 officer utility must be utilized to meet the requirements gap
    between available sworn officer resources and requirements.
        An analysis was conducted by USCP with available data to estimate
    the current sworn officer utility, which is estimated in an approximate
    range of 1,650-1,725 per officer annually, including overtime. Almost
    all of these utility hours are used in support of USCP core mission
    requirement. Based on this estimated utility range, the Department is
    not currently meeting its 80 hour annual training target as contained
    in the target 1,560 sworn officer utility described above.
        A random sampling of USCP officers in the Uniform Service Bureau
    (USB) indicates that approximately 7-20 hours were actually used for
    training in fiscal year 2009, vice the 80 hours allotted for training
    in the utility calculation. By focusing this analysis on USB, we are
    addressing the largest sworn population within the Department. This
    analysis did not include USCP specialty units such as K9, CERT or HDS
    and DPD.
        The reduction of training hours will not have an immediate impact
    on the USCP mission. However the long term impact of reducing core
    training hours, will impact the recertification of officers in certain
    programs, may affect officer response capability and may result in the
    overall degradation of the proficiency of our officers to meet their
    mission. All of these will result in greater risks to the Department
    and create a cycle that will have long-term impacts on the Department.
        In an effort to address this training matter before it becomes a
    serious issue and work toward the optimum sworn officer utility of
    1,560, the Department has requested overtime funding to support a
    minimum of 16 hours of training for 1,500 sworn officers in fiscal year
    2011. Because our current onboard officers cannot work increased
    overtime levels for the long-term without affecting their
    effectiveness, we are also requesting 52 additional officers to begin
    to narrow the resource gap while allowing for the minimum annual
    training level described above. These two resource requests are a part
    of a larger balance that the Department is attempting to reach between
    the use of personnel, overtime, technology and mission balance to meet
    required core mission requirements.
        Question. What effect have these assessments had on post openings
    and closings? To what extent are there opportunities for further post
    closings?
        Answer. In an effort to reduce mission requirements and narrow the
    sworn utility gap referenced above, the Department has worked with the
    Capitol Police Board and its oversight committees to review possible
    requirements reductions. In fiscal year 2008 and fiscal year 2009, the
    Department closed a number of non-security posts, which allowed the
    Department to remain within the appropriated salary and overtime
    funding levels.
        To further reduce the resource gap, the Department has looked at a
    number of opportunities to civilianize positions currently performed by
    sworn officers, so these sworn staffing resources may be realigned to
    meet other core mission requirements. In fiscal year 2009, the
    Department utilized available civilian positions to return former USCP
    employees from the Department of Labor's Worker's Compensation Roll to
    the Department's Communications Section. This allowed the Department to
    utilize civilian personnel to perform the security camera and alarm
    monitoring function in-house, rather that using contractors.
    Additionally, this allowed the Department additional general expense
    funds for potential use on technology, as well as allowing for some
    realignment of sworn resources.
        Further, the Department civilianized 26 sworn positions in the
    Library of Congress command center during the LOC Police and USCP
    Merger. This allowed the Department to utilize civilianizing former LOC
    Police employees to perform the Command Center functions and realign
    sworn resources to other core mission requirements.
        The Department is currently reviewing other areas that may result
    in civilianization of posts, which may provide additional available
    sworn officer utility. As these are developed, they will be vetted
    through the Capitol Police Board and appropriate stakeholders for
    consideration.
        It is important to note, in order for the Department to reduce
    overtime utilization, the mission requirements expected of the
    Department cannot increase. Otherwise, the Department will be required
    to request additional overtime or staffing to meet the new
    requirements.
        Question. Chief, one of the big issues you and your department face
    each year are the ever-mounting responsibilities that require the use
    of more and more overtime. I think you should consider a study to
    determine the feasibility and wisdom of contracting out some of your
    technology-related tasks, such as x-ray machines and magnetometers, to
    highly trained civilian technicians. This will free up your sworn
    personnel for other more traditional law enforcement activities.
    Obviously, sworn personnel will still provide appropriate law
    enforcement support and action at doors, as appropriate. What are your
    thoughts on this?
        Answer. Prior to the 1998 shooting of two USCP sworn officers in
    the Capitol Building, we had instituted a staffing model that would
    place one unarmed civilian security aide at various entry points to
    operate the metal detectors and x-ray machine, as well as a single
    police officer to take law enforcement actions.
        Based on our analysis of the 1998 shooting and reviews of other
    similar situations around the nation, we know that the confrontation
    point for an armed intruder will be at the screening locations.
    Therefore, we instituted a staffing model that eliminated the civilian
    position and replaced it with a sworn officer to improve security and
    the ability to confront an armed attack.
        It is recommended that we maintain that model at building entry
    points.
        That said, we will undertake a study to determine if we can place
    civilian screeners at select secondary screening points at interior
    building locations and will report the findings back to the Committee
    once completed.
        Question. If you are held to your fiscal year 2010 appropriation in
    fiscal year 2011, what adjustments could you make to your request to
    maintain current staffing?
        Answer. Within the context of reviewing our budget requirements at
    or near the fiscal year 2010 appropriations level, the Department has
    undertaken a comprehensive review of its fiscal year 2011 salaries and
    general expense request. The review was intended to determine the core
    mission requirements necessary to operate at our current staffing level
    (1,800 sworn and 393 civilian) in fiscal year 2011, while maintaining
    the ability to carry out our core mission.
        Because of the fiscal year 2010 salaries miscalculation, our fiscal
    year 2011 salaries mandatory base funding requirement is higher than
    anticipated. In an effort to reduce the overall fiscal year 2011 budget
    requirements (both salaries and general expense), we are attempting to
    reduce all non-mandatory general expenses from our no-growth request.
        As the Committee is aware, our fiscal year 2011 budget amendment
    resulted in a $9 million difference between our original and revised
    fiscal year 2011 request. However, in our effort to develop a fiscal
    year 2011 request at or close to our fiscal year 2010 appropriated
    level, the Department anticipates that we will require in fiscal year
    2011 an estimated $14 to $16 million in funding above of fiscal year
    2010 appropriated level in order to meet our current staffing and
    mission levels, to include the carryover of the fiscal year 2010
    salaries miscalculation.
        We are again reviewing our fiscal year 2010 general expense base to
    look for potential areas to reduce this overall funding requirement and
    plan to submit to the Committees by the end of the second week of
    April, an fiscal year 2011 base requirements budget to support our core
    mission requirements.
        Question. The fiscal year 2011 budget justification states that the
    52 new sworn officers you are requesting would not reduce overtime
    until at least 2012 because of the time it takes to train an officer.
    What longer-term strategy does the USCP have to reduce overtime?
        Answer. There are two factors which affect the Department's ability
    to reduce its overtime utilization: (1) sworn utility and (2)
    additional mission requirements.
        To better manage our resources and to work toward determining the
    requirements needed for the Department to meet its mission, we
    undertook, with full support of our committees, a staffing study in
    2007 focused on the core mission requirements at that time. This study
    resulted in a target sworn officer utility of 1,560 in an optimum
    resource environment, which includes a level of overtime needed to
    address unplanned events.
        USCP plans and projects its resources, to include overtime (OT)
    requirements, based on this target 1,560 hours annual utility for each
    USCP officer. This number includes the use of leave both scheduled and
    unscheduled, holiday, training, and administrative time for each
    officer.
        To determine the overall current staffing requirements for our
    mission in fiscal year 2010, the Department balanced the scheduled core
    mission requirements of today, projected unscheduled events
    (demonstrations, state funerals, heads of state visits, etc.), unfunded
    core mission requirements (those that have been added after the annual
    budget submission and appropriation of funds for the current fiscal
    year), and available annual salary and overtime funding to determine
    the level of sworn officer utility required to perform the mission of
    Department.
        The Department's current authorized sworn strength does not provide
    the necessary utility to meet current core mission requirements within
    the target 1,560 utility. This was determined by applying the 1,560
    utility hours against the hours necessary for base core mission
    requirements. The remaining hours must be met through overtime, post
    reduction, the use of technology, or reductions from within the
    utility, such as training.
        To maximize the utilization of resources, the Department balances a
    number of factors as noted above. For example, in an effort to control
    overtime costs, the Department must maintain a robust sworn strength
    throughout the year. Therefore, the onboard sworn strength must remain
    at or above the authorized sworn strength to accommodate attrition
    without increasing the resource gap. This allows the Department the
    maximum sworn officer utilization to meet core mission requirements.
        However, in doing so, the Department is utilizing its appropriated
    salary funds to their maximum potential throughout the year. A by
    product of this level of funding utilization is the potential slowing
    of civilian hiring to allow for the funding availability for sworn
    hiring.
        Further, the Department has an average of 40-60 sworn officers in
    recruit training during various parts of the fiscal year, which results
    in these sworn officer utility hours not having an immediate direct
    impact of the reducing the resource gap upon their entry on duty with
    the Department. Generally, recruit officers hired and trained after
    March of any given fiscal year will not have a impact on reducing the
    resource gap until the next fiscal year, assuming that the core mission
    does not increase or projected attrition is not exceeded.
        In an effort to reduce requirements and narrow this gap, the
    Department has worked with the Capitol Police Board and its oversight
    committees to review possible requirements reductions. In fiscal year
    2008 and fiscal year 2009, the Department closed a number of non-
    security posts, which allowed the Department to remain within the
    appropriated salary and overtime funding levels.
        To further reduce the resource gap, the Department has looked at a
    number of opportunities to civilianize positions currently performed by
    sworn officers, so these sworn staffing resources may be realigned to
    meet other core mission requirements. In fiscal year 2009, the
    Department utilized available civilian positions to return former USCP
    employees from the Department of Labor's Worker's Compensation Roll to
    the Department's Communications Section. This allowed the Department to
    utilize civilian personnel to perform the security camera and alarm
    monitoring function in-house, rather that using contractors. This
    allowed the Department additional general expense funds for potential
    use on technology, as well as allowing for some realignment of sworn
    resources.
        Additionally, the Department civilianized 26 sworn positions in the
    Library of Congress command center during the LOC Police and USCP
    Merger. This allowed the Department to utilize civilianizing former LOC
    Police employees to perform the Command Center functions and realign
    sworn resources to other core mission requirements.
        The Department is currently reviewing other areas that may result
    in civilianization of posts, which may provide additional available
    sworn officer utility. As these are developed, they will be vetted
    through the Capitol Police Board and appropriate stakeholders for
    consideration.
        Even with these reductions efforts and the use of technology, the
    remaining requirements currently exceed the Department's appropriated
    overtime funding level. Therefore, the training hours contained within
    the 1,560 officer utility must be utilized to meet the requirements gap
    between available sworn officer resources and requirements.
        An analysis was conducted by USCP with available data to estimate
    the current sworn officer utility, which is estimated in an approximate
    range of 1,650-1,725 per officer annually, including overtime. Almost
    all of these utility hours are used in support of USCP core mission
    requirement. Based on this estimated utility range, the Department is
    not currently meeting its 80 hour annual training target as contained
    in the target 1,560 sworn officer utility described above.
        A random sampling of USCP officers in the Uniform Service Bureau
    (USB) indicates that approximately 7-20 hours were actually used for
    training in fiscal year 2009, vice the 80 hours allotted for training
    in the utility calculation. By focusing this analysis on USB, we are
    addressing the largest sworn population within the Department. This
    analysis did not include USCP specialty units such as K9, CERT or HDS
    and DPD.
        The reduction of training hours will not have an immediate impact
    on the USCP mission. However the long term impact of reducing core
    training hours, will impact the recertification of officers in certain
    programs, may affect officer response capability and may result in the
    overall degradation of the proficiency of our officers to meet their
    mission. All of these will result in greater risks to the Department
    and create a cycle that will have long-term impacts on the Department.
        In an effort to address this training matter before it becomes a
    serious issue and work toward the optimum sworn officer utility of
    1,560, the Department has requested overtime funding to support a
    minimum of 16 hours of training for 1,500 sworn officers in fiscal year
    2011. Because our current onboard officers cannot work increased
    overtime levels for the long-term without affecting their
    effectiveness, we are also requesting 52 additional officers to begin
    to narrow the resource gap while allowing for the minimum annual
    training level described above. These two resource requests are a part
    of a larger balance that the Department is attempting to reach between
    the use of personnel, overtime, technology and mission balance to meet
    required core mission requirements.
        Question. With the country in the midst of an economic crisis,
    attrition rates have been lower than usual. Has your department seen
    lower attrition rates? Have you taken this into consideration when
    preparing your budget request?
        Answer. Yes, USCP has seen an unprecedented lower attrition rate
    (almost half of what would be normal). This was factored into the re-
    formulated budget for fiscal year 2011.
                          radio modernization project
        Question. On September 30, 2009, the Committee received the first
    funding obligation plan pursuant to the fiscal year 2009 Supplemental
    Appropriations Act that provided $71.6 million for the USCP radio
    modernization project. That funding obligation plan specified $3.5
    million for the design and construction of the mirror site facility to
    house the radio system's technical requirements. Who is doing the
    actual design of the mirror site and when will it be completed?
        Who will be doing the construction of the mirror site and when will
    it be completed?
        Answer. The design and construction of the mirror site will be done
    by Verizon and its contractors under the supervision of the AOC and
    USCP. The design is scheduled to be completed by July 15, 2010 and the
    construction build out is scheduled to be completed by March 2011.
        Question. When can the Committee expect to receive the next
    obligation plan?
        Answer. The Committee can expect to receive the next obligation
    plan in March 2010 then another one in April 2010.
        Question. Will the $16 million requested in fiscal year 2011 be the
    final funding request for this project?
        Answer. That is our intention and is our plan. At this point in
    time, the estimate for the total cost of this project is just over
    $91.9 million. The total amount appropriated (assuming the $16 million
    in fiscal year 2011) is $97.562 million, leaving a contingency fund of
    $5.655 million.
        Should we need to utilize contingency funds during the project, the
    Department plans to notify the Committees and provide an explanation
    for its utilization.
        Additionally, the Department plans to provide an update on the
    status of the radio modernization project to the Committees in the near
    future. As a part of this update, we will provide additional
    information on the development and status of our budget estimates, a
    current status of funds utilization, the status of the various phases
    of the overall project, and our revised obligation plan for the
    appropriated and requested funds.
        Question. With only $3.5 million obligated of the $71.6 million
    that was appropriated in the fiscal year 2009 supplemental, is it
    really necessary to have an additional $16 million in fiscal year 2011?
        Answer. Yes, it is necessary. Without the additional funding, there
    will be insufficient funds to complete the project. The total cost of
    the project is estimated to be $91.9 million, and that is without any
    contingency fund. The additional $16 million in funding will bring the
    total appropriated amount to $97.562 million which should be sufficient
    to complete the project and to provide for a small contingency fund.
        Currently, there is an Obligation Plan that was recently sent to
    the House and Senate Appropriation Committees seeking permission to
    obligate another $9.9 million. Another obligation plan will be prepared
    in April 210 for approximately $12 million. This summer, once the
    Request For Quote process is completed over $34 million should be
    obligated with most of the remaining funding obligated in the fall of
    2010.
        Question. What are the consequences of delaying or phasing this $16
    million?
        Answer. The completion of the project would be delayed month for
    month for any delay in funding beyond October 2010. Many of the
    components of the project have long lead times for order delivery and
    then they have to be installed within the campus buildings. In order to
    complete the project by spring of 2012, the infrastructure and
    installation work must start in Spring 2012. Delaying the project would
    mean continuing to operate longer with an aging analog radio system
    that is becoming more difficult and more expensive to maintain.
        Question. When do you anticipate having the new radio system
    completely installed and fully operational? Will there be a multi-phase
    implementation plan?
        Answer. The project is scheduled for completion during Spring 2012.
    The most challenging part is the in-building wiring and installations
    in 16 different buildings/facilities including the Capitol Building.
    Though this work is expected to take about a year, there are always
    unforeseen issues when doing this type of work in these buildings.
    Also, if the in-building wiring work is not allowed to start prior to
    the passage of the fiscal year 11 budget, then the schedule is in
    jeopardy.
        The project itself is divided into five phases as follows: Phase 1:
    Cost Analysis; Phase 2: System Design; Phase 3: Procurement,
    Integration and Installation; Phase 4: Acceptance Testing; and Phase 5:
    Operations and Maintenance.
        We are currently entering into Phase 3. Within Phase 3,
    implementation will be conducted in a parallel approach. Inside work,
    outside work, facilities construction, etc. will be done in parallel;
    the goal is to have all the component pieces completed by September
    2011 in order to then conduct system integration and testing. The ``go-
    live'' migration plan will have a single cutover event from the analog
    system to the digital system.
        Question. When this system is completed, will it be fully
    interoperable with the systems of other first responders in this
    jurisdiction that are key partners to the day-to-day activities of the
    U.S. Capitol Police? Who does the USCP view as its key partners? Has
    the USCP, or NAVAIR on behalf of the USCP, consulted with those
    partners on the radio requirements to ensure interoperability?
        Answer. Yes. The P25 Digital radio system was designed to be fully
    interoperable.
        Our key partners are MPD, D.C. Fire/EMS, Office of the Attending
    Physician, FBI, U.S. Secret Service, U.S. Park Police, WMATA Police,
    and Amtrak Police.
        Yes, the USCP is currently working on creation and updates on MOUs
    with all of the above mentioned agencies. The MOUs will include the
    Standard Operating Procedure (SOP) for the interoperability to occur.
    USCP, NAVAIR and the various agencies need to have further detailed
    meeting to determine the technical details for this. NAVAIR has the IP
    gateways, needed for interoperability, included in the cost estimate to
    perform this effort.
        Question. The Committee remains concerned that all aspects of this
    significant procurement for the USCP will be openly and fairly
    competed. What assurances do you have from NAVAIR that this is the
    case?
        Answer. Early in the program effort, in the review of the
    requirements document NAVAIR developed a broader specification to meet
    the requirements of the USCP radio program and to preclude any vendor
    specific solutions/capabilities. NAVAIR is not utilizing in-house,
    existing contracting vehicles for the required materials. NAVAIR is
    independent of any particular vendor, and are vendor agnostic. NAVAIR
    has engaged their designated Contracting Authority who is adhering to
    the Federal Acquisition Regulations and clauses, promoting full and
    open competition. Their Contracting Authority has issued Request For
    Information's for all significant procurements for the USCP effort.
    NAVAIR has assessed the RFI's against the specifications and are
    developing the Request For Proposal to be broad enough to include all
    of the vendors found to satisfy the requirements for the USCP radio
    program. Additionally, through extensive market research, NAVAIR knows
    there are vendors capable of satisfying the requirement and if these
    vendors did not respond to the RFI they still have the opportunity to
    respond to the RFP.
                      addressing threats to senate offices
        Question. What is your normal procedure when a threat is received
    against a member of the United States Senate? My office is somewhat
    frustrated at the lack of response received from the Threats Division
    after a threat was called into my office.
        Answer. The United States Capitol Police Investigations Division
    provides a broad range of investigative services in support of the
    Department's protective mission. The Investigations Division is
    comprised of the Criminal Investigations Section (CIS), Threat
    Assessment Section (TAS), and the Intelligence Investigations Section
    (ISI). One of the key components to our protective mission is our
    ability to manage and investigate threats to the Congressional
    community. The Investigations Division continues to provide an
    investigative response to subjects who make direct or implied threats,
    or who demonstrate unusual or concerning behavior toward any USCP
    interests. Threats are conveyed in a variety of means to include in-
    person contact, telephone calls, and/or written correspondence/emails.
    Once notified by the community several investigative procedures are
    implemented to include notifying the FBI. Certain criminal offenses
    (U.S. Code Title 18 part 1, chap. 18 S351 Congressional, Cabinet and
    Supreme Court Assassination, kidnapping, and assault) provide specific
    investigative authority to the FBI. The Threat Assessment Section
    continues to actively work with the FBI Violent Crimes Task Force
    (VCTF) to facilitate investigative efforts. This task force position
    provides immediate access to law enforcement agent's nationwide in
    order to identify, locate, and prosecute criminal offenders. Aside from
    the task force position, the Investigations Division has special agents
    assigned to conduct criminal investigations to include the reporting of
    an offense, collection of evidence, coordination with prosecutors both
    locally and across the nation for the purposes of seeking prosecution
    of offenders.
        In addition to the intensive investigative work associated with the
    Division, agents are often tasked with dual responsibilities to include
    elevation of the protection models for USCP interests. Not only are
    threats investigated, but offenders, once identified are examined in
    order to develop a viable threat assessment. Depending on the set of
    circumstances surrounding the threat and the offender, considerations
    are made for the assignment of protection details. Some of these
    factors include the behavior demonstrated by the offender, for instance
    if approaches have been made toward USCP interests. Extensive
    background investigations are also conducted by subject matter experts
    in the field of threat management to examine not only the offender's
    intent and ability, but also to verify access to weapons and relevant
    criminal history, and finally, ascertain the veracity of an offender's
    threat. If the assessment identifies an offender as a moderate or high
    threat than requests for protection details are considered. Protection
    teams are coordinated through the Dignitary Protection Division (DPD)
    with support of the Investigations Division.
        Additionally, I have tasked that Division to reach out to your
    office to follow up on the specific threat you reference in the
    question above.
                          internal control weaknesses
        Question. The fiscal year 2008 Capitol Police financial statement
    audit report cited 3 material internal control weaknesses: (1)
    verification of employee hours worked; (2) inadequate timekeeping
    records; (3) internal weaknesses with regard to duplicate payments. The
    report also discussed problems related to payroll processing and
    invoice handling along with other issues. The problems the auditors
    cited are troubling.
        What is the USCP doing about these internal control weaknesses? How
    do these weaknesses impact your budget proposal?
        Answer. Since becoming the Chief of Police, we have focused our
    Executive Team and Executive Management Team energies on addressing
    material internal control weaknesses and recommendations from the
    Government Accountability Office and USCP Inspector General, as well as
    to establishing standardized and repeatable business practices. We
    believe that addressing these core issues will substantially address
    the long term systemic administrative issues within the Department.
        To that end, Office of Administration under the guidance of the
    Chief Administrative Officer has indicated that they have taken the
    following steps to addressing the fiscal year 2008 financial statement
    audit material weaknesses:
        An electronic system has been implemented, and is monitored by OHR
    in order to track and report time and attendance certification
    compliance. All recordkeeping requirements have been reinforced through
    briefings, training, and written memorandums. Random inspections to
    ensure compliance with timekeeping procedures are conducted quarterly
    with the results reported to Bureau Commanders.
        With regard to payroll processing, the pre and post National
    Finance Center payroll data reconciliations have been reinstated and
    are executed within 4 weeks of payroll transmission. Variations are
    reported, researched and resolved.
        Internal Standard Operating Procedures have been developed for
    payroll processing, as well as time and attendance certification
    procedures to ensure repeatable business processes are outlined and
    utilized.
        The Office of Financial Management accounts payable section
    processed approximately 8,050 payments totaling $46.3 million in fiscal
    year 2008. During the financial statement audit, 1 duplicate payment
    was noted for $384.20. This duplicate payment was discovered by
    Accounts Payable staff and the amount was repaid to USCP prior to the
    financial statement audit.
        To further enhance internal control, OFM accounts payable section
    has implemented a daily review of aging accounts payable invoices.
    Communication improvements have been established between OFM accounts
    payable section and the financial liaison officers from each of the
    bureaus and offices thru periodic status updates regarding oldest
    invoices. The OFM accounts payable section has implemented a Vendor
    Input System utilizing the Microsoft Access software which has
    significantly enhanced the detection of a potential duplicate payment
    prior to distribution. Additionally, OFM is currently updating an
    internal Standard Operating Procedure for the processing of payment
    vouchers.
        To insure that these weaknesses are fully addressed, our Executive
    Team is working closely with the USCP Inspector General and the
    Department's auditors to validate our progress in the upcoming
    financial statements. Based on this audit feedback, we will continue
    our efforts to improve our administrative functions.
        In the interim, we are working to close the many recommendations
    focusing on our administrative functions.
        We believe that control weaknesses or a lack of standardized and
    repeatable business processes have potential impact on our ability to
    execute our management functions and responsibilities, to include
    budget formulation and execution.
                                     ______

                 Questions Submitted by Senator Lisa Murkowski
                                    salaries
        Question. The budget justification material provided to the
    subcommittee states that the addition of these officers in fiscal year
    2011 would not reduce overtime costs in fiscal year 2011. Please
    explain.
        Answer. To better manage our resources and to work toward
    determining the requirements needed for the Department to meet its
    mission, we undertook, with full support of our committees, a staffing
    study in 2007 focused on the core mission requirements at that time.
    This study resulted in a target sworn officer utility of 1,560 in an
    optimum resource environment, which includes a level of overtime needed
    to address unplanned events.
        USCP plans and projects its resources, to include overtime (OT)
    requirements, based on this target 1,560 hours annual utility for each
    USCP officer. This number includes the use of leave both scheduled and
    unscheduled, holiday, training, and administrative time for each
    officer.
        To determine the overall current staffing requirements for our
    mission in fiscal year 2010, the Department balanced the scheduled core
    mission requirements of today, projected unscheduled events
    (demonstrations, state funerals, heads of state visits, etc.), unfunded
    core mission requirements (those that have been added after the annual
    budget submission and appropriation of funds for the current fiscal
    year), and available annual salary and overtime funding to determine
    the level of sworn officer utility required to perform the mission of
    Department.
        The Department has on average 40-60 sworn officers in recruit
    training during various parts of the fiscal year, which results in
    these sworn officer utility hours not having an immediate direct impact
    of the reducing the resource gap upon their entry on duty with the
    Department. Generally, recruit officers hired and trained after March
    of any given fiscal year will not have an impact on reducing the
    resource gap until the next fiscal year, assuming that the core mission
    does not increase or projected attrition is not exceeded.
        Question. With a total of 76 additional sworn officers proposed
    through fiscal year 2010 and 2011, will we start to see a reduction in
    overtime costs with the fiscal year 2012 budget request? Will there be
    a requirement for additional officers in fiscal year 2012?
        Answer. For clarification, I offer the following explanation of
    what I believe the referenced 76 additional sworn officers includes.
        In fiscal year 2010, the Department did not receive authorization
    or funding to support additional sworn personnel above our sworn
    authorization of 1,799 (now 1,800 with the reallocation of 1 civilian
    position). In the final quarter of fiscal year 2010, the Department has
    scheduled a recruit officer class consisting of 24 recruit officer
    slots to backfill sworn attrition from within our authorized strength
    referenced above should backfill be required.
        In fiscal year 2011, the Department has requested 52 new sworn
    officers above our current authorized and funded sworn staffing level.
        As for the reduction of overtime, there are two factors which
    affect the Department's ability to reduce its overtime utilization: (1)
    sworn utility and (2) additional mission requirements.
        To better manage our resources and to work toward determining the
    requirements needed for the Department to meet its mission, we
    undertook, with full support of our committees, a staffing study in
    2007 focused on the core mission requirements at that time. This study
    resulted in a target sworn officer utility of 1,560 in an optimum
    resource environment, which includes a level of overtime needed to
    address unplanned events.
        USCP plans and projects its resources, to include overtime (OT)
    requirements, based on this target 1,560 hours annual utility for each
    USCP officer. This number includes the use of leave both scheduled and
    unscheduled, holiday, training, and administrative time for each
    officer.
        To determine the overall current staffing requirements for our
    mission in fiscal year 2010, the Department balanced the scheduled core
    mission requirements of today, projected unscheduled events
    (demonstrations, state funerals, heads of state visits, etc.), unfunded
    core mission requirements (those that have been added after the annual
    budget submission and appropriation of funds for the current fiscal
    year), and available annual salary and overtime funding to determine
    the level of sworn officer utility required to perform the mission of
    Department.
        The Department's current authorized sworn strength does not provide
    the necessary utility to meet current core mission requirements within
    the target 1,560 utility. This was determined by applying the 1,560
    utility hours against the hours necessary for base core mission
    requirements. The remaining hours must be met through overtime, post
    reduction, the use of technology, or reductions from within the
    utility, such as training.
        To maximize the utilization of resources, the Department balances a
    number of factors as noted above. For example, in an effort to control
    overtime costs, the Department must maintain a robust sworn strength
    throughout the year. Therefore, the onboard sworn strength must remain
    at or above the authorized sworn strength to accommodate attrition
    without increasing the resource gap. This allows the Department the
    maximum sworn officer utilization to meet core mission requirements.
        However, in doing so, the Department is utilizing its appropriated
    salary funds to their maximum potential throughout the year. A by
    product of this level of funding utilization is the potential slowing
    of civilian hiring to allow for the funding availability for sworn
    hiring.
        Further, the Department has an average of 40-60 sworn officers in
    recruit training during various parts of the fiscal year, which results
    in these sworn officer utility hours not having an immediate direct
    impact of the reducing the resource gap upon their entry on duty with
    the Department. Generally, recruit officers hired and trained after
    March of any given fiscal year will not have a impact on reducing the
    resource gap until the next fiscal year, assuming that the core mission
    does not increase or projected attrition is not exceeded.
        In an effort to reduce requirements and narrow this gap, the
    Department has worked with the Capitol Police Board and its oversight
    committees to review possible requirements reductions. In fiscal year
    2008 and fiscal year 2009, the Department closed a number of non-
    security posts, which allowed the Department to remain within the
    appropriated salary and overtime funding levels.
        To further reduce the resource gap, the Department has looked at a
    number of opportunities to civilianize positions currently performed by
    sworn officers, so these sworn staffing resources may be realigned to
    meet other core mission requirements. In fiscal year 2009, the
    Department utilized available civilian positions to return former USCP
    employees from the Department of Labor's Worker's Compensation Roll to
    the Department's Communications Section. This allowed the Department to
    utilize civilian personnel to perform the security camera and alarm
    monitoring function in-house, rather that using contractors. This
    allowed the Department additional general expense funds for potential
    use on technology, as well as allowing for some realignment of sworn
    resources.
        Additionally, the Department civilianized 26 sworn positions in the
    Library of Congress command center during the LOC Police and USCP
    Merger. This allowed the Department to utilize civilianizing former LOC
    Police employees to perform the Command Center functions and realign
    sworn resources to other core mission requirements.
        The Department is currently reviewing other areas that may result
    in civilianization of posts, which may provide additional available
    sworn officer utility. As these are developed, they will be vetted
    through the Capitol Police Board and appropriate stakeholders for
    consideration.
        Even with these reductions efforts and the use of technology, the
    remaining requirements currently exceed the Department's appropriated
    overtime funding level. Therefore, the training hours contained within
    the 1,560 officer utility must be utilized to meet the requirements gap
    between available sworn officer resources and requirements.
        An analysis was conducted by USCP with available data to estimate
    the current sworn officer utility, which is estimated in an approximate
    range of 1,650-1,725 per officer annually, including overtime. Almost
    all of these utility hours are used in support of USCP core mission
    requirement. Based on this estimated utility range, the Department is
    not currently meeting its 80 hour annual training target as contained
    in the target 1,560 sworn officer utility described above.
        A random sampling of USCP officers in the Uniform Service Bureau
    (USB) indicates that approximately 7-20 hours were actually used for
    training in fiscal year 2009, vice the 80 hours allotted for training
    in the utility calculation. By focusing this analysis on USB, we are
    addressing the largest sworn population within the Department. This
    analysis did not include USCP specialty units such as K9, CERT or HDS
    and DPD.
        The reduction of training hours will not have an immediate impact
    on the USCP mission. However the long term impact of reducing core
    training hours, will impact the recertification of officers in certain
    programs, may affect officer response capability and may result in the
    overall degradation of the proficiency of our officers to meet their
    mission. All of these will result in greater risks to the Department
    and create a cycle that will have long-term impacts on the Department.
        In an effort to address this training matter before it becomes a
    serious issue and work toward the optimum sworn officer utility of
    1,560, the Department has requested overtime funding to support a
    minimum of 16 hours of training for 1,500 sworn officers in fiscal year
    2011. Because our current onboard officers cannot work increased
    overtime levels for the long-term without affecting their
    effectiveness, we are also requesting 52 additional officers to begin
    to narrow the resource gap while allowing for the minimum annual
    training level described above. These two resource requests are a part
    of a larger balance that the Department is attempting to reach between
    the use of personnel, overtime, technology and mission balance to meet
    required core mission requirements.
        Question. The budget request proposes converting some contractor
    positions into full-time civilian positions with USCP.
        Isn't it more expensive to take on a full-time employee for a
    position that is currently under contract?
        Answer. Not in all cases. In the Information Technology field, it
    is not uncommon for FTE cost to be lower than contractor cost. We are
    requesting to convert two positions, a CP-11 and a CP-7, the annual
    cost for the two contractors is approximately $405,000, while the fully
    loaded annual FTE cost for those positions is approximately $225,000.
        Question. Why do you feel it is more beneficial to the USCP to have
    some of the positions converted?
        Answer. In situations where we have staff augmentation contractors
    that cost more than the fully loaded cost of an civilian FTE equivalent
    it makes financial sense to make the conversion. The Office of
    Information Systems did an informal review and determined they could
    save over $1 million per year if they could convert most of their staff
    augment contractors to civilian FTEs.
        Question. How were the decisions made about which positions to
    convert from contract to full-time?
        Answer. Realizing the limitations of the overall Legislative Branch
    annual budgetary resources, we kept our fiscal year 2011 request for
    civilian positions to replace contractors to those that would provide
    the largest offset. We plan to review this matter annually and may make
    additional requests in future fiscal years for civilian positions to
    convert contractors.
                          radio modernization project
        Question. On September 30, 2009, the Committee received the first
    funding obligation plan pursuant to the fiscal year 2009 Supplemental
    Appropriations Act that provided $71.6 million for the USCP radio
    modernization project. That funding obligation plan specified $3.5
    million for the design and construction of the mirror site facility to
    house the radio system's technical requirements. Who is doing the
    actual design of the mirror site and when will it be completed? Who
    will be doing the construction of the mirror site and when will it be
    completed?
        Answer. The design and construction of the mirror site will be done
    by Verizon and its contractors under the supervision of the AOC and
    USCP. The design is scheduled to be completed by July 15, 2010 and the
    construction build out is scheduled to be completed by March 2011.
        Question. When can the Committee expect to receive the next
    obligation plan?
        Answer. The Committee recently received an obligation plan in March
    2010. The next obligation plan is anticipated in April 2010.
        Question. Will the $16 million requested in fiscal year 2011 be the
    final funding request for this project? With only $3.5 million
    obligated of the $71.6 million that was appropriated in the fiscal year
    2009 supplemental, is it really necessary to have an additional $16
    million in fiscal year 2011? What are the consequences of delaying this
    appropriation?
        Answer. That is our intention and is our plan. At this point in
    time, the estimate for the total cost of this project is just over
    $91.9 million. The total amount appropriated (assuming the $16 million
    in fiscal year 2011) is $97.562 million, leaving a contingency fund of
    $5.655 million. Should we need to utilize contingency funds during the
    project, the Department plans to notify the Committees and provide an
    explanation for its utilization.
        Additionally, the Department plans to provide an update on the
    status of the radio modernization project to the Committees in the near
    future. As a part of this update, we will provide additional
    information on the development and status of our budget estimates, a
    current status of funds utilization, the status of the various phases
    of the overall project, and our revised obligation plan for the
    appropriated and requested funds.
        Yes, the additional funding is necessary. Without the additional
    funding there will be insufficient funds to complete the project. The
    total cost of the project is estimated to be $91.9 million, and that is
    without any contingency fund. The additional $16 million in funding
    will bring the total appropriated amount to $97.562 million which
    should be sufficient to complete the project and to provide for a small
    contingency fund.
        Currently, there is an Obligation Plan that was recently sent to
    the House and Senate Appropriation Committees seeking permission to
    obligate another $9.9 million. Another obligation plan will be prepared
    in April 2010 for approximately $12 million. This summer, once the
    Request For Quote process is completed over $34 million should be
    obligated with most of the remaining funding obligated in the Fall of
    2010.
        The completion of the project would be delayed month for month for
    any delay in funding beyond October 2010. Many of the components of the
    project have long lead times for order delivery and then they have to
    be installed within the campus buildings. In order to complete the
    project by spring of 2012, the infrastructure and installation work
    must start in spring 2012. Delaying the project would mean continuing
    to operate longer with an aging analog radio system that is becoming
    more difficult and more expensive to maintain.
        Question. When do you anticipate having the new radio system
    completely installed and fully operational? Will there be a multi-phase
    implementation plan?
        Answer. The project is scheduled for completion during late spring
    2012. The most challenging part is the in-building wiring and
    installations in 16 different buildings/facilities including the
    Capitol Building. Though this work is expected to take about a year,
    there are always unforeseen issues when doing this type of work in
    these buildings. Also, if the in-building wiring work is not allowed to
    start prior to the passage of the fiscal year 11 budget, then the
    schedule is in jeopardy.
        The project itself is divided into five phases as follows: Phase 1:
    Cost Analysis; Phase 2: System Design; Phase 3: Procurement,
    Integration and Installation; Phase 4: Acceptance Testing; and Phase 5:
    Operations and Maintenance.
        We are currently entering into Phase 3. Within Phase 3,
    implementation will be conducted in a parallel approach. Inside work,
    outside work, facilities construction, etc. will be done in parallel;
    the goal is to have all the component pieces completed by September
    2011 in order to then conduct system integration and testing. The ``go-
    live'' migration plan will have a single cutover event from the analog
    system to the digital system.
                      new initiatives in fiscal year 2011
        Question. $16.2 million is requested for other new initiatives,
    beyond the radio project, which seems to be a lot of funding for new
    projects in one year. Does this request represent the full funding
    requirements for these projects, or will additional funding be
    requested in future fiscal years?
        Answer. Funding requirements are specific to each project. In some
    cases the projects may be funded in stages. All future funding requests
    to support the continued maintenance and operation of the projects will
    be requested through increases in the Bureau's base annual general
    expense funding requests.
        Because of the security sensitive nature of the information
    included in the Department's response to this question, I am
    respectfully providing my more detailed response under separate cover.
    I would, therefore, request that the information provided in that
    document not be included as a part of the public record.
        Question. What would be the impact of providing only that funding
    which would actually be obligated in fiscal year 2011 for each of these
    projects?
        Answer. Some of these projects could be funded in phases. Because
    of the security sensitive nature of the information included in the
    Department's response to this question, I am respectfully providing my
    more detailed response under separate cover. I would, therefore,
    request that the information provided in that document not be included
    as a part of the public record.

                              SUBCOMMITTEE RECESS

        Senator Nelson. The subcommittee will stand in recess until
    2:30 p.m. on March 18, 2010, when we will meet in room SD-138
    to take testimony on the fiscal year 2011 budget requests of
    the Architect of the Capitol and Office of Compliance.
        We are recessed. Thank you.
        [Whereupon, at 6:08 p.m., Thursday, March 4, the
    subcommittee was recessed, to reconvene at 2:30 p.m., Thursday,
    March 18.]

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2011

                                  ----------

                            THURSDAY, MARCH 18, 2010

                                           U.S. Senate,
               Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 2:47 p.m., in room SD-138, Dirksen
    Senate Office Building, Hon. Ben Nelson (chairman) presiding.
        Present: Senators Nelson and Murkowski.

                            ARCHITECT OF THE CAPITOL

    STATEMENT OF STEPHEN T. AYERS, ACTING ARCHITECT OF THE
                CAPITOL

                    OPENING STATEMENT OF SENATOR BEN NELSON

        Senator Nelson. Good afternoon, everyone, and welcome.
    Senator Murkowski asked me to go ahead and start because she is
    going to be a bit delayed but will be here in short order. So
    that is what we will do.
        Well, we meet this afternoon to take testimony on the
    fiscal year 2011 budget request for the Architect of the
    Capitol and the Office of Compliance. I want to welcome our two
    witnesses today: Stephen Ayers, Acting Architect of the
    Capitol; and Tamara Chrisler, Executive Director of the Office
    of Compliance.
        I also want to welcome my good friend ranking member,
    Senator Murkowski, when she gets here, and I am hopeful that
    other members of the subcommittee, Senator Pryor and Senator
    Tester, may be able to join us as well.

                 AOC deg.CONGRATULATIONS ON NOMINATION

        Mr. Ayers, I want to first congratulate you on your recent
    nomination by the President to serve as the next Architect of
    the Capitol. You will be only the 11th person in history to
    serve in this capacity, which is really quite impressive, and
    on behalf of the Senate and particularly this subcommittee, I
    want to thank you for your service over the last 3 years as
    acting Architect of the Capitol where your accomplishments
    include the opening of the Capitol Visitor Center (CVC), the
    staging of the 56th Presidential inauguration, and the opening
    of the Library of Congress' National Audiovisual Conservation
    Center, to name just a few. You have served us well in this
    capacity and we look forward to moving toward your confirmation
    by the Senate in the very near future.
        Mr. Ayers. Thank you very much, Mr. Chairman.
        Senator Nelson. I appreciate that. I do not want to in any
    way preempt the Senate from that effort on confirmation or to
    get ahead of anything, but I am certain that that is in the
    near future.
        I also want to congratulate and acknowledge the hard work
    and dedication of your staff of 2,600 employees. We rely on
    these individuals for so many services around here, and this
    year, in particular, with the record snowfalls, I want to
    especially thank Ted Bechtol of your Capitol Grounds staff and
    his team for the long hours they put in removing more than
    11,000 tons of snow from the complex. We are deeply grateful
    for their dedication and for the commitment of your entire
    staff.

              AOC OOC deg.FISCAL YEAR 2011 BUDGET REQUEST

        Your budget request this year totals $755 million, an
    increase of $153 million, or 25.5 percent over current year.
    Now, I know you faced a difficult challenge when putting
    together your budget request, attempting to balance
    maintenance, security, energy efficiency, and new construction
    projects on an aging, historical infrastructure within limited
    resources. Hopefully, you understand the position the
    subcommittee is in, in trying to hold the line on spending
    while meeting the critical needs of your agency. So we
    definitely have our work cut out for us this year, and I look
    forward to hearing your testimony shortly.
        Ms. Chrisler, the fiscal year 2011 budget request for the
    Office of Compliance totals $4.7 million, an increase of
    $300,000, or 6.7 percent over the current year. We appreciate
    the efforts that both of your agencies have made to work
    cooperatively toward resolving the many fire and life safety
    needs around the complex, once again, within limited resources.
    So we look forward to your testimony as well and to discussing
    the status of health and safety conditions throughout the
    Capitol complex.

                   AOC deg.BUDGET INCREASE CONCERNS

        We held our first hearing of this fiscal year 2 weeks ago
    and just in case you missed it--I am sure you did not--I would
    like to reiterate a few concerns that were raised during that
    hearing. I am disappointed in some respects that this
    subcommittee has, once again, been presented with a large
    budget increase in fiscal year 2011. The fiscal year 2011
    legislative branch budget request totals $5.1 billion, or 10
    percent over current year. Given the fact that the President
    has made it clear about holding the line on spending, this
    increase is not acceptable and it is not doable. The fact is
    that this country remains in economic turmoil and the American
    taxpayers simply will not tolerate unnecessary Government
    spending at a time of unemployment. It is questionable whether
    they will tolerate necessary Government spending at this time.
        And last year, we received an overall increase of 5 percent
    in the legislative branch bill, including some fairly large
    ticket items for the House, over which we have no control. But
    that is history.
        And I have stated repeatedly that I am going to do
    everything I can to hold the legislative branch flat this year.
    I believe we need to lead by example in this subcommittee as
    part of the Government, and we cannot do that by appropriating
    large increases to our agencies. The President sent the message
    loudly and clearly in his State of the Union Address this year,
    noting that families across the country are tightening their
    belts and making tough decisions. The Federal Government must
    do the same, he said. And he announced a 3-year freeze on
    nonsecurity discretionary Government spending, and I think we
    need to do the same on this subcommittee.
        And arriving just in time for my comments, turning it over
    now to our ranking member of the subcommittee, Senator
    Murkowski, for her opening remarks. What great timing.

                      STATEMENT OF SENATOR LISA MURKOWSKI

        Senator Murkowski. Thank you, Mr. Chairman. And I have to
    tell you it is music to my ears. As I walk in, you are
    repeating the refrain that you and I have made these past 2
    years on these budget hearings about the need for fiscal
    discipline. If we cannot set the example, if we cannot set the
    standard here, how can we expect others outside of our
    institution to exercise that same level.
        But I want to thank you, Mr. Chairman, for calling the
    hearing as we consider the fiscal year 2011 legislative branch
    request from the Architect of the Capitol and the Office of
    Compliance.
        I would like to welcome both of our witnesses here today
    and look forward to the opportunity to discuss some pretty
    important issues on how the agencies that you both represent
    are planning to move forward in the fiscal year. I appreciate
    the way that your offices have continued to work to develop the
    relationship that is necessary for good communication,
    continued cooperation in the common goal that we ensure a safe
    environment for our employees and our visitors while we
    maintain the important historic nature of the surroundings.
        I will start by recognizing Mr. Ayers and congratulating
    you on your official nomination to be the next Architect of the
    Capitol. We anticipate that the confirmation hearing will be
    later on in the spring.

                AOC deg.FISCAL YEAR 2011 BUDGET REQUEST

        As the chairman has mentioned, the Architect of the Capitol
    is requesting $754.8 million, an increase of 25.5 percent over
    the fiscal year 2010 enacted level. Again, the chairman's
    remarks about how we are going to do more with less I think are
    appropriate. I do recognize that the AOC's significant increase
    is associated with $216 million requested for line item
    projects, a fair amount for deferred maintenance, capital
    renewal, capital improvement, capital construction.
        But I do think it is going to be important in our
    discussions here today to figure out how we prioritize these
    projects because it is just simply not going to be possible to
    advance all that is contained within the proposal that we have
    before us. We have got to look for the best possible solutions,
    but it is all about prioritization.
        Ms. Chrisler, I want to thank you for your leadership there
    at the Office of Compliance. While your budget increase is not
    on the level that we are seeing out of the Architect of the
    Capitol's Office, it still is a 6.8 percent increase. I know
    that you probably looked at that and said that this is a lean
    budget and the decisions that went into submitting a request of
    this nature are not easy. We appreciate what goes into it. But
    I think we need to recognize that we continue to pare down the
    agency's request and that we are going to be working to pare
    down the Architect's budget, and that you will be working with
    the Architect of the Capitol in reprioritizing the projects for
    the year ahead.
        I am anxious to hear from both of you this afternoon as to
    how we can all work together to ensure that we are taking care
    of the immediate needs of the historical structures that have
    been left to our care, how we minimize the risks to those who
    work here and to those who visit here every day. It is not an
    easy job, but we know we can do it.
        Mr. Chairman, I look forward to the opportunity to get some
    questions and answers from our witnesses.
        Senator Nelson. Thank you, and I continue to say how much
    of a pleasure it is to be able to work with you and to share
    many of the same ideas about an approach to dealing with the
    budgets and look forward to continuing this year.
        Now I would like to begin with witnesses. Because of the
    timeframe, if it is possible to keep the opening comments to
    somewhere around 5 minutes or something of that nature, the
    rest of your comments will be received and, if written, put
    into the record. So with that, Mr. Ayers, we will start with
    you and then we will hear from Ms. Chrisler. Thank you.

                     SUMMARY STATEMENT OF STEPHEN T. AYERS

        Mr. Ayers. Mr. Chairman and Senator Murkowski, thank you
    for the opportunity to testify today regarding the Architect's
    2011 budget request.
        I would like to first express my thanks to this
    subcommittee and the Congress for its support for the Architect
    over the past year, as we have worked to maintain and preserve
    the Capitol complex.

           AOC deg.ARCHITECT OF THE CAPITOL--PROUD STEWARDS

        Twenty-four hours a day, 7 days a week, and 365 days a
    year, the AOC serves as proud stewards of the most iconic
    buildings and grounds in the world. Nothing demonstrated our
    commitment more than our team's remarkable response to
    ``snowmageddon'' last month. AOC crews logged nearly 35,000
    hours to remove more than 11,000 tons of snow to ensure that
    the Congress could continue to conduct its business.
        The AOC had a very successful 2009, a year that began with
    the Presidential inauguration and ended with the first of three
    major blizzards to hit Washington. In between these major
    events, we welcomed more than 2.3 million visitors to the
    Capitol Visitor Center during its first year in operation and
    we carried out numerous projects designed to save energy and
    improve operations.

                   AOC deg.FISCAL YEAR 2011 PROJECTS

        In that regard, our fiscal year 2011 budget request focuses
    on projects that are necessary to attend to the critical needs
    of the Capitol complex, and specifically this entails
    addressing a significant backlog of deferred maintenance and
    capital renewal projects, as well as security, life safety, and
    accessibility requirements.
        Mr. Chairman, we are requesting $755 million in fiscal year
    2011, and the projects portion of this budget is devoted to
    addressing these critical issues needing the most urgent
    attention. Although every project on the list in our budget is
    necessary and will ultimately need to be done, we realize that
    not all can be funded in this fiscally challenging year.
        However, we do take our responsibility to identify,
    quantify, and report to the Congress the state of facilities
    and the extent of deferred maintenance very, very seriously.
    Most importantly, our project prioritization tools we believe
    provide the Congress with concrete and practical assessments of
    our infrastructure enabling good decisionmaking about our
    future investments.
        Over the past year, this process has matured to include a
    5-year capital improvements plan, which examines phasing
    opportunities and project sequencing and other factors to
    better facilitate the timing of projects.
        The AOC is committed to making the right choices by doing
    our part on energy savings on Capitol Hill. For 2009, the
    Congress met its energy reduction goals for the fourth year in
    a row and reduced energy consumption by 15.3 percent across the
    Capitol complex.

                      AOC deg.ENERGY CONSERVATION

        To help meet future energy reduction requirements, last
    summer we entered into our first energy-savings performance
    contract to implement energy-saving projects across the House
    office buildings, and in December, we entered into an energy-
    savings performance contract for the Senate and the Capitol
    Building. These public/private partnerships will help us
    achieve significant energy reductions over the next several
    years.
        On the operations side, we have been successful in our
    endeavors due to the professional men and women who make up
    this great AOC team. Their commitment to excellence allows us
    to provide exceptional service to the Congress and the visiting
    public every day. In that regard, our annual operating budget
    request for $443 million supports the critical activities
    necessary to support the Congress and the other legislative
    branch agencies.

                    AOC deg.CAPITOL VISITOR CENTER

        With regard to accommodating Members' and visitors' needs,
    the Capitol Visitor Center is top in its class. Now in our
    second year of operation, we continue to make improvements to
    our policies and tour procedures, including modifying the
    advance reservation system to give congressional offices more
    flexibility to modify, cancel, and reschedule tour
    reservations. We have also added a congressional staff line at
    the south information desk, increased the number of operators
    to ensure prompt response to phone calls, and are placing staff
    in strategic locations throughout the Capitol Visitor Center to
    improve visitor flow.
        In addition, we continue to hold monthly listening sessions
    with congressional staff to receive feedback and answer
    questions, and to date, more than 5,200 staff members have
    attended our Capitol Visitor Center training program.

                               PREPARED STATEMENT

        Mr. Chairman, the AOC is ready to do what is necessary to
    keep the Capitol complex open and operating every day of the
    year under any circumstances. I am honored and privileged to
    work alongside this great team.
        Thank you again for the opportunity to testify today.
        Senator Nelson. Thank you.
        [The statement follows:]
                     Prepared Statement of Stephen T. Ayers
        Mr. Chairman, Senator Murkowski, 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 2011 budget request.
        I would like to begin by expressing my thanks to this Subcommittee
    and to the Congress for its support of the AOC over the past several
    years as we worked to fulfill our mission of serving the Congress and
    the American people by maintaining and preserving the U.S. Capitol
    complex. I also very much appreciate, and I'm honored by, the trust the
    President and the Congress have placed in me to lead this dedicated
    group as the nominee to serve as the 11th Architect of the Capitol as
    we continue to address the challenges ahead. We are very aware of the
    need to preserve the historic infrastructure on Capitol Hill while, at
    the same time, recognize the need for fiscal responsibility. It is a
    tremendous honor to have the opportunity to continue to work with this
    very talented team of professionals.
        Twenty-four hours a day, 7 days a week, 365 days a year, the AOC
    team serves Congress as proud stewards of the most iconic buildings and
    grounds in the world. Through our work, we protect the past by
    preserving the historic integrity of the U.S. Capitol complex, we are
    boldly working today to promote a safe and sustainable workplace, and
    we continue to build a legacy of professionalism for generations to
    come.
        Nothing demonstrated our commitment to our mission more than our
    team's remarkable response to the back-to-back blizzards that hit the
    Washington, DC, metro area in early February--otherwise known as
    ``Snowmageddon.''

        Throughout both of these snow emergencies, AOC employees
    successfully cleared the streets, sidewalks, entryways, and parking
    lots across the Capitol complex in order to support the Congress as it
    conducted its business on the weekend and during the following week,
    keeping the complex cleared of snow and ice for Members, staff, and the
    public. At the same time, we continued to operate and maintain all our
    facilities, and the Capitol Power Plant's service continued
    uninterrupted.

        AOC crews logged in nearly 35,000 man hours to remove more than
    11,000 tons of snow. Once the snow had ended, our work did not. Our
    crews continued to remove piles of snow from across the complex, treat
    the sidewalks, streets, and parking lots as the snow melted and re-
    froze overnight, and attended to hundreds of trees that were damaged in
    the storms.
        This pride in our work extends throughout the organization.
    Stewardship of the Capitol complex is a unique challenge. The challenge
    is amplified by the historic significance of our buildings and
    landscape, aging physical infrastructure, and day-to-day operational
    requirements. We strive every day to improve the conditions of our
    facilities using innovative technologies and sustainable practices to
    ensure the U.S. Capitol remains the nation's most visible and treasured
    icon of our government for centuries to come.
        Our fiscal year 2011 budget request details a number of projects
    necessary to ensure we address the critical needs of the Capitol
    complex as quickly and effectively as possible. Specifically, this
    entails a significant backlog of deferred maintenance and capital
    renewal projects, as well as security, life-safety and accessibility,
    and environmental requirements. Although every project that we have
    listed in our budget request is necessary, we realize that not all can
    be funded in these fiscally-challenging times.
        However, we take our responsibility to identify, quantify, and
    report to Congress the state of our facilities and the extent of the
    deferred maintenance backlog very seriously. The prioritization tools
    we have developed and refined over the past several years provide
    Congress with concrete and practical assessments of our infrastructure.
    By using these tools, Congress can choose where best to make
    investments in the Capitol complex.
              capital budget request and project planning process
        We are requesting $755 million for fiscal year 2011. The majority
    of our capital budget request is devoted to addressing the critical
    projects we've identified as needing urgent attention, which are
    primarily classified as deferred maintenance. This portion of our
    budget is the most volatile. It fluctuates greatly from year to year
    based on the size and complexity of the projects that have been
    prioritized as having immediate urgency.

        Only a small percentage of our requested increase is non-
    discretionary for mandatory cost-of-living increases, and other
    operating expenses or contract price increases. We deliberately worked
    to keep the growth of this segment of our budget to a minimum in order
    to maximize the capital budget. This will enable the greatest
    investment as possible in our infrastructure and to allow us to ``buy
    down'' the deferred maintenance backlog.
        As I have discussed at previous hearings, we have successfully
    developed and implemented a robust and balanced process to prioritize
    projects based on the facilities' conditions and the level of
    maintenance required to ensure they remain functional and viable
    working environments.
        This process uses several tools in the formulation of the project
    prioritization list including Facility Condition Assessments, the
    Capitol Complex Master Plan, and Jurisdiction Plans. Over the past
    year, this process has matured to include a Five-Year Capital
    Improvements Plan, which examines phasing opportunities, project
    sequencing, and other factors to better facilitate the timing of the
    execution of major deferred maintenance and capital renewal projects.
    As I discussed earlier, these tools assist us and the Congress in
    looking ahead and enable us to plan when and where to make future
    investments in our facilities and infrastructure. We also took into
    consideration the challenge of executing required programs efficiently
    throughout this process.

        As this chart demonstrates, we continue to invest most of our
    resources in infrastructure projects that are designed to address the
    backlog of deferred maintenance.
        Tied into the overall planning process is the Line Item
    Construction Program. During this process, projects are scored against
    six criteria: preservation; regulatory compliance; mission; economics;
    security, and energy efficiency and environmental quality.

        As we developed our fiscal year 2011 budget, we considered $373
    million worth of capital projects, and are requesting $216 million for
    Line Item Construction Program projects. The remaining $157 million in
    projects were considered, but were not submitted in this budget
    request, and therefore remain on the deferred project list.
        As I mentioned earlier, our Capital Budget request is quite
    volatile from year to year based on the projects that rise to the top
    of the priority list. The AOC's fiscal year 2011 Capital Budget request
    includes nine projects that each requires an investment of $10 million
    or more. They are:
      --Utility Tunnel Improvement Program;
      --Egress Projects in the Thomas Jefferson Building;
      --Capitol Building Dome Skirt Rehabilitation;
      --Capitol Building Exterior Stone and Metal Preservation;
      --Copper Roof Replacement and Fall Protection System for John Adams
            Building;
      --Roof and Skylight Replacement for Hart Senate Office Building;
      --Refurbishment of Federal Office Building 8;
      --Task 9, Phase II Infrastructure Improvements in Dirksen Senate
            Office Building; and
      --Collection Storage Module V for Library of Congress.

        Mr. Chairman, I'm pleased to report that our Utility Tunnel
    Improvement Program is on schedule to meet the June 2012 completion
    date. In addition, by utilizing our comprehensive planning process, we
    have been able to further reduce the program's cost. This was
    accomplished by collecting new information from engineering studies,
    visual examination of the exterior of the tunnels, and additional
    structural testing. Funds were also saved through an efficient
    procurement process and execution plans that consolidated work
    elements, thereby saving contract overhead costs. These actions enabled
    the AOC to reduce our fiscal year 2010 request and re-phase some work,
    thereby reducing the total projected cost of the program from $186.4
    million to $176.13 million. We continue to seek additional ways to
    further reduce the program's total cost.
                energy conservation and sustainability programs
        The AOC is committed to making the right choices and doing our part
    to save energy on Capitol Hill. With Congress' support, we have
    implemented a number of programs and completed a variety of projects
    designed to produce significant results in saving taxpayer dollars and
    conserving our natural resources. One of our biggest challenges is
    ensuring that we preserve the historic elements of our buildings, while
    at the same time making them as energy efficient as possible. That's
    why the Architect of the Capitol is committed to using sustainable
    design practices whether we're building a new facility or maintaining
    one that's 100 years old, like the Russell Building.
        For fiscal year 2009, the Congress met its energy reduction goals
    for the fourth year in a row, and reduced energy consumption by 15.3
    percent across the Capitol complex. This exceeded the fiscal year 2009
    requirement of a 12 percent reduction (as compared to the fiscal year
    2003 baseline). For fiscal year 2010, a 15 percent reduction is
    required under the Energy Independence and Security Act of 2007, (3
    percent reduction per year for a 30 percent reduction by 2015), and in
    fiscal year 2011, an 18 percent reduction is required.

        To meet these requirements to further reduce energy consumption, we
    have requested $11.2 million in fiscal year 2011 for energy and
    sustainability projects. In addition, we're asking for an increase of
    nearly $10 million in operations funding for energy and sustainability
    purposes. These sustainable practices include using low-impact
    materials, installing energy efficient equipment, incorporating durable
    and high-performance systems and materials, investing in renewable
    energy, and encouraging and supporting a culture that promotes reuse
    and recycling. This includes using food waste, garden clippings, and
    other green waste, and repurposing it as compost for flower beds, and
    sustaining other plantings throughout the Capitol complex.
        To better identify and evaluate energy savings opportunities in
    Capitol complex facilities, we have been using energy audits since
    fiscal year 2007. The data collected help us realize better cost-
    benefit results, and determine where best to invest our resources.
        In December, the AOC entered into an Energy Savings Performance
    Contract (ESPC) in the Senate Office Buildings. The project includes
    nearly $42 million in facility infrastructure upgrades in the Hart,
    Dirksen, and Russell Senate Office Buildings, as well as the Senate
    Underground Garage, and Senate Employees' Child Care Facility.
        Highlights of this project include:
      --Energy-efficient lighting upgrades of nearly 31,000 fixtures in all
            buildings, with state-of-the-art lighting controls, expanding
            AOC/Senate's centralized dimming system, integrating occupancy
            and daylight sensors;
      --Upgrading of existing pneumatic and electric controls for heating,
            ventilating, and air-conditioning (HVAC) systems with direct
            digital controls (DDC) and providing an ongoing program to
            train building automation system operators specifically in the
            monitoring and diagnosis of energy-related controls
            deficiencies;
      --HVAC Testing, Adjusting, and Balancing to trim excessive outdoor-
            air ventilation, provide for high-efficiency cog belts (for fan
            drives), and add weather stripping to exterior doors to
            minimize infiltration;
      --Replacement of existing transformers with high-efficiency
            transformers; and
      --Installation of removable insulation covers for steam valves to
            reduce heat loss, improve comfort, and reduce the safety risks
            associated with the hot surfaces.
        After implementation of all energy conservation measures over the
    36-month construction period, the Senate Office Buildings are estimated
    to potentially realize: a 36 percent reduction in total energy
    consumption; and approximately $3.9 million in annual energy savings.
        We appreciate the support of the Senate Leadership, Chairman
    Schumer, and all of our Oversight Committees in our ongoing efforts to
    improve energy efficiency and reduce the carbon footprint of the
    Capitol complex. They have made clear their commitment to reduce energy
    consumption, conserve natural resources, protect the environment, and
    in the long term, save taxpayer dollars.
        Last year, the AOC also entered into an ESPC to implement energy
    savings projects in the House Office Buildings. The contract includes
    nearly $34 million in facility infrastructure upgrades in the Rayburn,
    Longworth, Cannon, and Ford House Office Buildings, as well as the
    House Page Dormitory.
        After implementation of all energy conservation measures over the
    30-month construction period, the House Office Buildings are estimated
    to potentially realize: a 23 percent reduction in total energy
    consumption; a 32 percent reduction in total water consumption; and
    approximately $3.3 million in annual energy savings.
        In our Energy Savings Performance Contract for the U.S. Capitol
    Building, nearly $17 million in facility infrastructure upgrades are
    planned for the Capitol Building. They include:
      --Upgrading existing light fixtures with high-efficiency lamps,
            ballasts and reflectors as well as new replacement fixtures;
      --A comprehensive Building Automation System modernization, including
            the upgrade of existing pneumatic and electric controls for
            heating, ventilating and air-conditioning (HVAC) systems with
            direct digital controls. These improvements will reduce energy
            consumption and improve temperature and humidity control;
      --Replacement of the air-handling systems with variable air volume
            (VAV) systems to reduce energy consumption while augmenting
            capacity and improving temperature and humidity control;
      --Replacement of existing electrical transformers with high-
            efficiency transformers; and
      --A comprehensive audit and repair effort to restore steam trap
            performance.
        After implementation of all energy conservation measures over the
    27-month construction period, the Capitol Building is estimated to
    realize: a 38 percent reduction in total energy consumption; and
    approximately $2.2 million in annual energy savings.
        In addition, we are continuing our efforts to complete the program
    to install steam, electricity, natural gas, chilled water, potable
    water, and condensate meters across the Capitol complex. This is a key
    effort in terms of being able to measure current consumption, look for
    improvement opportunities, and measure energy savings results. To date,
    approximately one-third of the meters have been installed. The
    remaining meters for facilities located outside the Capitol complex, as
    well as the rest of the Capitol complex, are included in our fiscal
    year 2011 budget request, with a final initial installation funding
    request projected for fiscal year 2012.
        Because the Capitol Power Plant (CPP) plays a critical role in our
    long-term energy conservation strategy, we are continually working to
    improve and upgrade operations there. The CPP has served the Capitol
    complex very well since 1910, but in order to continue to provide these
    services into the future, it is time to transform the CPP and its
    operations. We started this transformation last February when we began
    using natural gas as the primary fuel source. We are now studying and
    evaluating potential new technologies to implement at the CPP. We
    recently completed our Strategic Long-Term Energy Plan, which will help
    to determine our future Energy Program planning, and explore various
    options for continued energy efficiencies.
        Over the past several years we have been working to create a
    healthy and productive workplace where environmental awareness and
    sustainability are the normal ways of doing business in the Capitol
    complex. There are a number of initiatives that the AOC has been
    engaged in, and we continue to see results in our efforts to improve
    energy efficiency.

        Here are just a few of our ongoing sustainability initiatives and
    projects:
      --We recently renovated room G-50 in the Dirksen Building, to install
            new LED light bulbs that use over 80 percent less electricity,
            give off less heat, and have a life expectancy of 30 years. In
            addition, the carpet and paint used in the room has low or no
            volatile organic compounds (VOCs). We also use low-VOC and
            other green cleaning products throughout the complex to ensure
            we maintain excellent indoor air quality.
      --We installed nine solar panels in a Senate parking lot to power new
            lights which make the parking lot safer.
      --We have installed daylight harvesting systems in Member and
            Committee Offices that use electronic sensors to lower
            artificial lighting levels when enough natural light is
            available.
      --Nearly 35 percent of AOC employees use public transportation to get
            to work.
      --We are updating our 2006 Alternative Fuel Policy so, in addition to
            providing E-85 fuel to official government vehicles across the
            Capitol complex, we require the purchase or leasing of
            alternate fuel vehicles when replacing aging vehicles. To date,
            there are 40 flexfuel, hybrid, and electric vehicles in the
            AOC's fleet.
      --In September 2009, the American Lung Association of the District of
            Columbia (ALADC) commended the AOC for its use of B20 blend
            biodiesel fuel in its shuttle buses that service Capitol Hill.
            The ALADC's Chief Executive Officer thanked the AOC for its
            leadership in switching to biodiesel noting, ``The ALADC has
            long called for greater use of biodiesel to improve the air
            quality in our city, so it is particularly noteworthy that a
            highly visible location like the Capitol uses biodiesel to
            reduce emissions, including carbon monoxide, particulate matter
            and unburned hydrocarbons.''
      --The AOC recycles 100 percent of its e-waste in three basic ways.
            Computer equipment is donated by the Agency. If it's not
            donated, it is reused or resold. Any equipment that is not
            donated or reused is recycled by a commercial recycling
            company. Typically the equipment is either reused or broken
            down and its components are repurposed.
      --As part of Committee office renovations, the AOC has incorporated
            sustainable design features. The AOC installed lighting control
            systems where the electricity is metered, used rapidly
            renewable materials and certified wood, and recycled more than
            12 tons of construction waste in this Committee suite.
      --For construction projects, we regularly purchase materials
            containing recycled content such as acoustical ceiling tiles,
            resilient flooring, sheet rock, doors, low volatile organic
            compound materials, and medium density fiberboard. Whenever
            possible, construction materials are purchased locally.
      --We continue to install low-flow fixtures and automatic faucets in
            restrooms, convert from pneumatic to direct digital controls to
            maximize energy usage efficiency, and replace incandescent
            light bulbs with Compact Fluorescent light bulbs throughout the
            Capitol campus.
                u.s. botanic garden/sustainable sites initiative
        Because sustainable design, construction, and landscape management
    can have a significant and positive impact on our environment, in
    November 2009, the U.S. Botanic Garden launched the Sustainable Sites
    Initiative, in partnership with the Lady Bird Johnson Wildflower Center
    and the American Society of Landscape Architects.
        The goals of the Sustainable Sites Initiative encourage the
    sustainable design, construction, and maintenance of landscapes. These
    are the first national guidelines for building landscapes that will
    help to clean the air and water; mitigate temperatures; reduce
    flooding; provide more natural habitat for birds, insects, and animals,
    and help support our health and well-being.
        The effort to transform the way built landscapes are designed,
    constructed, and maintained for generations to come is a very important
    one, and the AOC is proud to be among those leading this national
    effort.
                        annual operating budget request
        Our fiscal year 2011 annual operating budget request for $443
    million provides funding for continuing the critical activities of
    operating and maintaining the infrastructure which supports the
    Congress, other Legislative Branch agencies, and the public, as well as
    other AOC essential mission support services. Some of these services
    include financial management, safety, human resources, project and
    construction management, planning and development, communications,
    information technology, procurement, and central administration.
        As I mentioned earlier, this non-discretionary spending has
    remained fairly constant over the past several years, and significant
    reductions in this portion of our budget would greatly impact our
    ability to provide day-to-day services and maintain our facilities at
    expected and acceptable levels.
        Other operating cost increases lie outside our control, including
    additional price increases that exceed inflation and are imposed by
    vendors as the cost of doing business. In addition, the cost of leases
    has increased, new technologies require investment in new networks, as
    well as hardware and software upgrades, and mandatory pay raises
    combined with the increase in costs for goods and services have added
    to the cost of our daily operations.
                capitol visitor center operating budget request
        At the opening ceremony for the Capitol Visitor Center (CVC) in
    December 2008, I noted that, ``Visitors now have a respectful and
    dignified way to come to the People's House, and I invite everyone to
    come and explore all that the Capitol Visitor Center and the U.S.
    Capitol have to offer.'' Little did I realize that 2.3 million people
    would take me up on my offer in just the first year.

        We are requesting $23.9 million for CVC operations and
    administration, and four FTEs to support operations including an
    interpretive curator.
        The CVC's first year of operation has been extremely successful.
    Average wait times continue to be 6 minutes versus the 3 or 4 hours in
    line in years past. More than 1,100 events have been held in the CVC's
    meeting spaces in the past year, and we're looking forward to large
    crowds again as Cherry Blossom season approaches.
        We continue to make improvements and adjustments to our policies
    and tour procedures including modifying the Advanced Reservation System
    to give Congressional offices more flexibility to modify, cancel, or
    reschedule tour reservations. We've also added a Congressional staff
    line at the South Information Desk, brought on more operators to ensure
    prompt responses to phone calls, and will be assigning staff to
    strategic locations in Emancipation Hall to help facilitate visitor
    traffic flow of staff- and guide-led tours.
        We continue to hold monthly listening sessions with Congressional
    staff to receive feedback and answer questions, and to date, more than
    5,100 staffers have participated in the CVC's training program.
        As a point of interest, I would like to note that in April we will
    install new documents into the CVC's Exhibition Hall. The new items,
    which include a map used by the National American Woman Suffrage
    Association showing their successful campaign for voting rights, the
    proclamation to residents of the Louisiana Territory that the United
    States had purchased the area from France, and the map showing the
    route of the Wilkes Expedition (the U.S. Exploring Expedition to the
    South Seas that brought to Washington a collection of living plants
    from around the globe) will be on display through early October.
                              aoc accomplishments
        Mr. Chairman, this past year we have recorded a number of
    significant achievements. The following is a list of just a few of our
    many accomplishments.

      --Our annual Building Services Customer Satisfaction Surveys for
            fiscal year 2009 again showed that a large majority of our
            customers are satisfied or very satisfied with the level of
            service the AOC is providing them.
      --We continued to improve our cost accounting procedures and internal
            controls, and received our fifth consecutive clean audit
            opinion from independent auditors on all of our financial
            statements. The Capitol Visitor Center construction project
            received a clean audit opinion; the third in 3 years. We
            submitted the first set of semi-annual financial statements for
            CVC operations in 2009, and received a clean audit opinion on
            those as well.

      --We made tremendous progress to close out the recommendations from
            the Government Accountability Office's (GAO's) General
            Management Review (GMR) of the Agency. Ninety-one percent of
            the recommendations are now closed (61 out of 67). Three of the
            items from the original GMR are pending closure, and expected
            to be completed in summer 2010. The remaining open items focus
            on long-term recommendations (not part of the original GMR). We
            are closely monitoring those activities and reporting status to
            GAO.
      --We activated our pandemic flu plan in response to the H1N1 Flu
            threat, including implementing action plans to address
            continuity of operations; educating staff on how to prevent
            getting sick; providing hand sanitizing stations across the
            Capitol complex, and doing regular cleaning with a focus on
            cleaning hard surfaces, such as desks and tables.

      --Worker safety remains one of our top priorities and our focus
            remains on decreasing our Injury and Illness Rate each year, as
            we have done since 2000. Safety training and education are keys
            to our success, with a particular emphasis on injury prevention
            through hazard recognition and elimination.
      --We will complete the initial phase of our preventative maintenance
            standardization program this month. Included in this effort is
            the identification of common preventative maintenance issues
            across jurisdictions, minimum corrective procedures to follow,
            and timelines for completion. This information will be
            automated in our facilities management information system and
            allow us to track metrics in the future to identify
            opportunities for improvement.

      --Since 2007, the Office of Compliance (OOC) has issued one citation
            to the AOC. AOC has worked collaboratively with the Office of
            Compliance to close older citations and has successfully closed
            21 citations since 2007. Eighteen Citations remain open today;
            four are scheduled for closure in 2010. The remaining address
            longer term utility tunnel (6) and fire and life-safety (8)
            matters.
      --During the 111th Congress, the AOC increased its emphasis on
            facility safety inspection, to include pre-inspections of
            Members' offices prior to the OOC's biennial inspections. As a
            result of the combined efforts of AOC and other employing
            offices, the OOC is reporting a decrease of 41 percent in the
            number of findings from fiscal year 2010 in the nine facilities
            in which the OOC has completed inspections to date.
      --The U.S. Botanic Garden (USBG) was recognized as one of
            Washington's best tourist spots in August 2009, by Nickelodeon
            Television. The USBG won its ``Parents' Picks Award,''
            garnering more votes than several other area attractions. In
            December, the USBG was voted one of the nation's best spots to
            ``catch the holiday spirit'' by the American Automobile
            Association (AAA).
      --The AOC team that managed construction of Modules 3 and 4 and four
            Cold Storage Rooms at the Library of Congress Fort Meade High-
            Density Storage Facility were honored with a national award in
            October from the Construction Management Association of America
            (CMAA), in the category of new construction for a project under
            $50 million. The new storage units will house 33 million items
            from the Library's special-format collections.
      --Later this month the AOC will be recognized by the Washington
            Building Congress with two awards that recognized special
            building skills. The House Office Buildings Sprinkler
            Installation Project will receive one award under the category
            of ``Decorative Plaster'' and the second under ``Plumbing,''
            which has also been nominated for a Star Award. The awards will
            be presented on March 26, 2010.
                                   conclusion
        Mr. Chairman, as ``Snowmageddon'' has shown, the AOC is ready to
    step up and do what is necessary to keep the Capitol complex open and
    operating every day of the year--under any circumstances.
        Today, we face a blizzard of deferred maintenance projects, and the
    forecast is not sunny. We do appreciate the investment Congress has
    made in our facilities over the past several years as we work to buy
    down the deferred maintenance backlog. The AOC has been successful in
    our work to be good stewards of the Capitol complex due to your
    support.
        We also have been able to accomplish much and experience numerous
    successes because of the dedicated, professional men and women who make
    up the AOC team. I have been 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 have been able
    prevent system and facility failure due to their skills and ingenuity.
        Once again, thank you for this opportunity to testify today. Mr.
    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, and continue to
    protect and preserve the U.S. Capitol for generations to come.
        I would be happy to answer any questions you might have.

                              OFFICE OF COMPLIANCE

    STATEMENT OF TAMARA E. CHRISLER, ESQ., EXECUTIVE
                DIRECTOR
        Senator Nelson. Ms. Chrisler.
        Ms. Chrisler. Thank you. Good afternoon, Mr. Chairman, Ms.
    Murkowski.
        I am honored to be here to appear before you today
    representing the Office of Compliance in support of our 2011
    fiscal year budget request.

     OOC deg.CONGRESSIONAL ACCOUNTABILITY ACT 15 YEAR ANNIVERSARY

        I would like to take a moment, though, before I go into the
    highlights of that request and note that the Congressional
    Accountability Act (CAA) celebrates its 15th anniversary this
    year, and it is not just a celebration for the Office of
    Compliance, but it is a celebration for the entire
    congressional community. The successes that are achieved under
    this Congressional Accountability Act are, in large part, due
    to the work of the member offices and the agencies and
    particularly this subcommittee. So we thank you for your
    support in the area of the work of our agency.

                       OOC deg.SAFETY AWARENESS

        Because of this subcommittee, the agency has been able to
    raise awareness of safety and health on the Hill, resulting in
    an increase of four times the Safe Office Awards in the 110th
    Congress. And congratulations to you, Mr. Chairman, and you,
    Ms. Murkowski, for being recipients of that award this
    Congress. We appreciate your leadership in this area.
        In addition, this subcommittee's active involvement in fire
    safety issues has led the Office of Compliance and the Office
    of the Architect of the Capitol to engage in collaborative
    discussions regarding the prioritization of open fire safety
    citations. These discussions have resulted in a prioritization
    schedule that is cost-efficient, practical, and mindful of the
    iconic nature of our environment.
        I highlight these areas not just to show the progress that
    has been made under the CAA, but to thank you for your support
    and to emphasize that the OOC will be carrying out these and
    other programs without asking for additional resources, except
    where absolutely necessary.

                OOC deg.FISCAL YEAR 2011 BUDGET REQUEST

        There are three areas where the OOC has requested
    additional funding for fiscal year 2011, one being safety and
    health to develop a risk assessment approach to inspections;
    two being IT infrastructure to update and enhance our IT
    security; and three, human capital to provide mandatory salary
    increases and minimal merit increases.
        The technical guidance we provide in the area of safety and
    health is well received and results in cost savings. We want to
    continue this type of service and increase cost savings within
    the legislative branch, and from the language in the fiscal
    year 2010 legislative branch appropriations conference
    committee report, you want us to continue that service too. In
    line with the conference committee's report, we anticipate
    developing a cooperative and cost-efficient approach to the
    identification and correction of safety and health hazards.
    This approach will be risk-based and, as the conference
    committee report indicated, focused on those areas which would
    yield the most reduction of risk to human health and safety. As
    we see it, those areas are work places and work activities that
    pose the biggest risk to safety. We will work very closely with
    employing offices as we develop this approach.

                  OOC deg.COMMUNICATIONS--IT SYSTEMS

        As my written statement indicates, our communications and
    IT systems are antiquated and do not provide a cost effective
    way of securing information. Our current system of two
    computers per employee is an administrative burden on our
    resources. It is not cost efficient and it is cumbersome for
    staff. The funding we seek will allow us to migrate the two
    networks into a single system while maintaining security of
    confidential information.
        The balance of our request is for mandatory cost-of-living
    increases, minimal staff increases, and associate benefits.
        We understand the fiscal constraints of our environment,
    and in the spirit of cooperation, we have presented a budget
    request which we believe only has minimal increases, only those
    necessary to allow us to continue to serve you, to focus
    attention on those hazards that are the riskiest, to protect
    confidential and sensitive information, and to retain the
    talented workforce that carries out the mandates of the CAA.

               OOC deg.ADDITIONAL RESOURCE AVAILABILITY

        Though we have a need for additional resources to assist
    with our inspections of over 17 million square feet of space in
    the D.C. Metro area alone, with an additional 1 million
    expected in fiscal year 2012 and 2013, we are not seeking those
    additional resources this year. Instead, we are working with
    OSHA to secure nonreimbursable detailees to fill the need. We
    are hopeful that a mutual exchange of services between the two
    agencies will be of benefit to both agencies at no cost to the
    Government.

                               PREPARED STATEMENT

        So on behalf of the Board of Directors and the entire staff
    of the Office of Compliance, I thank you for your support of
    the agency, and I am happy to answers any questions that you
    have.
        Senator Nelson. Thank you.
        [The statement follows:]
                    Prepared Statement of Tamara E. Chrisler
        Mr. Chairman, Ms. Murkowski, and distinguished Members of the
    Subcommittee, I am honored to appear before you today on behalf of the
    Office of Compliance (``OOC'' or ``Agency''). Joining me today are
    General Counsel Peter Ames Eveleth, Deputy Executive Director Barbara
    J. Sapin, Deputy Executive Director John P. Isa, Deputy General Counsel
    Susan M. Green, and Budget and Finance Officer Allan Holland.
    Collectively, we present to you the Agency's request for appropriations
    for fiscal year 2011, and we seek your support for our request.
        For fiscal year 2011, the Agency is requesting a total of
    $4,675,491, a $298,491 or 6.82 percent increase over the Agency's
    fiscal year 2010 appropriations level of $4,377,000. This funding would
    provide the Agency with the bare minimum resources necessary to
    continue its operations. This minimal increase includes funding for the
    development and roll out of a risk-based assessment, essential
    improvements to our quickly aging and increasingly inefficient IT
    infrastructure, and salary increases required by Federal law.
        Before I go into the details of our request, however, I would be
    remiss if I did not acknowledge the Subcommittee's continued support
    for this Agency. As you may be aware, the Congressional Accountability
    Act is celebrating its 15th anniversary this year. As we embark upon
    celebrating the successes Congress has achieved under this law, we must
    recognize the important role this Subcommittee has played: its vision
    and its support for this Agency and the work that we do. Because of
    this Subcommittee's steadfast assistance, the Office of Compliance has
    been able to continue to raise awareness of safety and health within
    our covered community. Just 2 weeks ago, the OOC presented four times
    as many Safe Office Awards as in the 110th Congress. These 154
    Representatives and Senators ensured that their employees could work in
    and that constituents could visit Washington, DC offices that are free
    from hazards. These increased numbers are a result of the daily
    education efforts of our staff, along with cooperation from staff of
    the Office of the Architect of the Capitol, House and Senate Employment
    Counsel, and the Chief Administrative Officer. Without the recognition
    from this Subcommittee of the importance of the OOC's safety and health
    services, and without substantial funding to provide these services, we
    would not be celebrating these safe and healthy Congressional
    workplaces.
        Because of this Subcommittee's dedication to safety issues, a Blue
    Ribbon Panel of architects and fire safety experts has been convened to
    provide an independent assessment of fire safety issues in the Russell
    Senate Office Building. This assessment will be instrumental in
    ensuring that fire safety hazards are abated in an effective and cost-
    efficient manner, while maintaining the beauty and history of the Halls
    of Congress. Indeed, this Subcommittee's active involvement in fire
    safety issues has lead the OOC and the Office of the Architect of the
    Capitol to engage in collaborative discussions regarding the
    prioritization of open fire safety citations. These discussions have
    resulted in a prioritization schedule that is cost-efficient,
    practical, and mindful of the iconic nature of our environment.
        This Subcommittee's interest in the work performed by the OOC does
    not end with its help in the area of safety and health. Because of this
    Subcommittee's support, the Office of Compliance has increased its
    educational workshops provided to sister agencies about our unique
    dispute resolution system. Our colleagues have taken an interest in our
    services because we implement and administer a dispute resolution
    system that focuses on resolving disputes at the front end of a case
    using mandatory counseling and mediation. This approach results in
    lower costs for all parties and less workplace conflict.
        We are providing training for new Congressional employees, and up-
    to-date publications for Members, employing offices, and Congressional
    employees about their workplace rights and obligations under the CAA.
    Training and knowledge of the law are a central part of our job on
    Capitol Hill. We are proud of the work we do for you, and we take pride
    in the fact that we do it nimbly and efficiently.
        In addition, the OOC has been working with the Office of the
    Architect of the Capitol to implement a cost-effective approach to
    improving public access to Capitol Hill facilities for persons with
    disabilities. The goal is, in cooperation with the Architect of the
    Capitol's Office, as well as other employing offices, to focus
    resources on removing the barriers that will most improve access to the
    facilities for the lowest cost.
        I highlight these programs to showcase the work that has been done
    and the progress that has been made in our legislative community
    because of this Subcommittee: your interest in our mission, and your
    support for our mission. We thank you. I also emphasize that we will be
    carrying out these programs in fiscal year 2011 without asking for
    additional resources except where it is absolutely essential.
                               strategic planning
        As the Office of Compliance celebrates these and many other
    accomplishments, we look forward to the next fiscal year, ready with a
    new 3 year Strategic Plan. Although the Plan covers fiscal years 2010
    through 2012, fiscal year 2011 will be the first fiscal year in which
    the Agency has requested funding in support of this Plan. The Strategic
    Plan focuses the efforts of the OOC on providing technical guidance to
    agencies and employing offices, serving as a resource to the covered
    community, expanding our outreach efforts to raise awareness of our
    services, and strengthening our infrastructure to improve the quality
    of service we provide to our constituents.
        Our fiscal year 2011 request for appropriations supports the
    initiatives in our new strategic plan. Specifically, our budget request
    focuses on three major areas that are designed to support needed
    technical assistance to employing offices, as well as upgraded
    infrastructure for the Agency, and mandatory salary increases for
    staff.
                         safety and health inspections
        In line with the goals and initiatives in our Strategic Plan, the
    OOC requests funding to continue its cooperative and cost-efficient
    approach to the identification and correction of safety and health
    hazards. If funded as requested, our 2011 budget would support the
    ongoing development and implementation of the risk-based inspection and
    abatement approach that the Conference Committee on fiscal year 202010
    Legislative Branch Appropriations directed OOC to institute.
        The OOC is completing its third successive wall-to-wall OSH
    inspection of legislative branch facilities on Capitol Hill. The area
    we inspect is vast: over 17 million square feet of property in the
    National Capital Area, including locations in Maryland and Virginia. As
    the covered community grows, so does the area we inspect. We do these
    inspections with a small staff of inspectors whose role is critical.
    You provided us with funds to hire them because you recognized that by
    finding hazards and alerting employing offices about them, employing
    offices can abate these hazards one-by-one. The abatement trends are
    overwhelmingly positive and exemplify swift progress. The OOC has found
    that the number of hazards has dropped substantially during the most
    recent three Congresses: from 13,000 in the 109th Congress, to 9,000 in
    the 110th Congress, to an estimated 6,000 in the present Congress.
        As you have recognized, there is still much to accomplish. At our
    last budget hearing, you challenged us, not just to point out hazards
    that need to be abated, but to target the most significant risks. In
    response to your directive, the Agency is developing an approach to
    target the riskiest workplaces and work activities in the 112th
    Congress. As we develop our risk assessment program, the OOC will be
    working very closely with the Office of the Architect of the Capitol's
    staff, as well as with other employing offices, to establish
    appropriate parameters. The OOC will work with employing offices to
    identify jobs and job sites that are inherently more dangerous: these
    may include, for example, the Capitol Power Plant and construction
    worksites. Our goal is to concentrate our limited resources where the
    risks are highest, to improve our ability to provide technical
    assistance focused on reducing on-the-job injuries and illnesses, and
    to remedy violations that pose serious threats to workers' safety.
        In light of the need to limit our appropriations request as much as
    possible, OOC has not requested funding for an additional safety and
    health inspector contractor, which we believe is needed. The
    authorization and funding provided in fiscal year 2010 for an OSH
    Program Manager to replace the retiring detailee equips the OOC with
    necessary resources to continue supervising our safety and health
    inspectors, working with outside OSH experts, and providing expert
    technical advice to the General Counsel and guidance to OGC staff
    regarding the application of OSHA standards. However, this position
    alone will not provide the resources needed to fully handle
    approximately one million additional square feet of Legislative Branch
    work space that is expected in fiscal year 2011 and 2012. Ever-mindful
    of the financial constraints facing our Government, and with an eye
    toward being cost-conscious, the OOC is asking the Occupational Safety
    and Health Administration to provide one or more safety and health
    inspectors on a short-term, non-reimbursable basis, to provide
    temporary inspection services at no additional expense to this Agency,
    while simultaneously providing on-the-ground experience for OSHA
    personnel.
                               ooc infrastructure
        The Office of Compliance's other focus during fiscal year 2011 is
    funding for OOC infrastructure. Communication and IT systems
    replacement/upgrades are at a crucial stage for agency efficiency and
    progress. Our IT systems impact all the programs discussed above, from
    dispute resolution, to education and outreach, to the protection of
    confidential information handled by our Agency. To ensure such
    confidential information is protected, the Agency maintains a dual
    computer network: an internal system which secures confidential
    information, and an external system through a server administered and
    maintained by the Library of Congress. The practice of maintaining two
    computers for each employee significantly decreases efficiency and
    increases costs and administrative burden on the Agency. In an effort
    to work more productively and reduce administrative costs, we seek
    funding to migrate the two networks into a single system.
        The balance of the increase that is being requested is for
    mandatory cost of living increases, minimal staff salary increases, and
    the associated benefits which allow the Office of Compliance to retain
    extremely high caliber employees to implement the programs described
    herein pursuant to the Congressional Accountability Act.
                                   conclusion
        The Agency approaches fiscal year 2011 with heightened fiscal
    responsibility and an understanding that only minimal funding essential
    to meeting our mission may be available. We have examined our programs
    in conjunction with our statutory mandates, and we have made
    significant efforts to streamline our appropriations request to reflect
    the country's and the Government's current economic difficulties. With
    that understanding, we present to the Subcommittee only those items
    necessary to meet our statutory mandates. The three items discussed
    herein--risk-based inspections' approach, IT improvements, and
    mandatory salary increases--are the three major items that comprise our
    minimal increase of $298,491. Funding for these items will allow the
    Agency to continue to provide needed services and technical assistance
    to the covered community.
        On behalf of the Board of Directors and the entire staff of the
    Office of Compliance, I thank you for your support of this Agency. I
    would be pleased to answer any questions.

                AOC deg.FISCAL YEAR 2011 BUDGET IMPACT

        Senator Nelson. Mr. Ayers, the subcommittee recently asked
    you to look at the impact of holding your agency to fiscal year
    2010 funding levels for fiscal year 2011. I know and appreciate
    the effort you have already put forward on this task, and I
    would like to ask you just a few questions about your efforts
    to do that.
        The first one, perhaps the most obvious one, is what would
    be the impact of zero growth on your budget in fiscal year
    2011.
        Mr. Ayers. Thank you, Mr. Chairman. As we approached that
    analysis to keep our 2011 budget at the 2010 levels, it
    required us to make a reduction of $154 million. So we took a
    three-pronged approach.
        The first part of that was to look at our existing budget
    to see if there was any money we could drive out of that
    existing portion of our budget, and we were able to drive $15
    million out of that budget, which is equivalent to taking 11
    projects off of the list of 46 projects that we have put forth.
        The second thing we did was to look at the operations
    portion of our 2011 request and see what made sense to reduce
    there, and we were able to drive another $14.5 million out of
    that portion of our request.
        And of course, the most volatile portion of our request is
    the projects budget that goes up and down every year depending
    upon what projects are there, and the remainder of the required
    reduction came out of the projects request.
        So the net result of being held to those levels is a couple
    of things. One, certainly with the rise in construction costs,
    ultimately the projects that are on our list will need to be
    done. They will simply cost a little more later.
        Second, keeping at a zero percent growth is actually a
    decrease because we have to pay mandatory price increases and
    mandatory payroll increases instead of furloughing people, and
    that would certainly be our objective to not furlough people.
        There are a handful of projects that we think are in our
    operations side that are not going to get done. There are a
    series of full-time equivalents (FTEs) that we will defer to
    next year or the year after. Refreshing our information
    technology resources will not get done in 2011. Replacement of
    security barriers on a regular interval will just be pushed out
    in another year or two. So I think those are some of the
    impacts that we could expect.
        Senator Nelson. In that regard, what method did you use to
    try to establish priorities there? Because obviously you are
    prioritizing. Did you have any particular methodology you used?
        Mr. Ayers. Mr. Chairman, the project prioritization process
    that we have been working on for nearly 5 years has matured
    year after year. It has really developed into an excellent tool
    for the Congress to use to make important decisions on our
    budget. So every one of those 46 projects that is on our list
    goes through a rigorous prioritization process. In the budget
    that we have put forth, they are in priority order. So
    theoretically, if you needed to reach a certain reduction, you
    could simply start at the bottom of that list and cut those
    projects as you work your way up.

                   AOC deg.PROJECT PRIORITY RANKING

        That process includes a number of factors. We look at
    mission, economics, energy, security, historic preservation,
    life safety. Every project gets a numeric score in each of
    those six categories. We also look at how urgent a project is,
    and every one of those 46 is measured against immediate, high,
    medium, or low urgency. And last, with the theory of you need
    to take care of what you have before you build new, every
    project receives a classification of either deferred
    maintenance, capital renewal, capital improvement, or capital
    construction. In our prioritization process a deferred
    maintenance project, which is something that is already broken
    and needs to be fixed, will move to the top of the list over
    new construction.

                      AOC deg.PRIOR YEAR BALANCES

        Senator Nelson. In trying to establish the budget now in
    terms of the zero growth, do you take into account what are
    generally referred to as prior year balances? For example, I
    believe there is somewhere in the neighborhood of $50 million
    that was appropriated in fiscal year 2010 for the House
    Historic Buildings Trust Fund. Do you take that into account as
    well?
        Mr. Ayers. We certainly did take that into account, and we
    did a comprehensive review of our prior year funds. We did
    drive $15 million out of what we thought was in excess to our
    needs. We were able to apply that to 11 projects that were on
    the list.
        We do think that keeping the House Historic Buildings
    Revitalization Fund at $50 million is a good thing for our
    budget. We have been working very hard with Congress for the
    last 3 years to make some seminal changes in our budget
    profile. We now have the tools available to look out 20 years.
    The future does not look good. So we have really been working
    to make a seminal change, and I think that change enables us
    not to cut off our nose to spite our face. So we make that
    investment later on.
        Senator Nelson. But as you do that, how do you choose then
    to defer immediate-need projects involving roof replacement and
    fire protection? How would that historic trust fund come ahead
    of what seem to be more basic needs?
        Mr. Ayers. It is making a down payment for the future. So
    we know, coming up in a few years, that we have over $100
    million in deferred maintenance in the Cannon House Office
    Building, which is the next building that we believe needs a
    top-to-bottom renovation. So we believe that we need to begin
    making that investment in 2016 or 2017. So without that money
    and building up a corpus of money, we are not going to be able
    to do that come 2016 or 2017. We are going to have to take that
    money out of the bandwidth that is available in this budget.
    That will prevent us from doing the projects on the list that
    given year. So we do think that the balance of projects we need
    to do now, as well as making investments for the future, is the
    right balance.
        Senator Nelson. Well, I think part of the challenge we have
    is the future needs and setting aside money, but I think the
    American taxpayer will have a challenge understanding socking
    away money for future needs if we cannot make ends meet on the
    immediate needs that we face right now, such as roof repairs
    and other deferred maintenance that may raise life and fire
    safety issues. So I raise that as a question for your
    consideration.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman. I will follow
    on here as it relates to the projects because I think it is
    such an important part of what we are dealing with here in
    terms of priorities and how we allocate the dollars that are
    available.

                 AOC deg.SUBSTANTIAL PROJECT INCREASE

        As I flipped through the various areas within the
    jurisdiction of the Architect of the Capitol, looking at the
    requests for general administration, you are looking for
    funding for three projects. That is an increase of 38.9 percent
    for those. Within the Capitol Building section, we have got
    nine different projects. This is an increase of 703 percent. In
    the category of Senate office buildings, you have got a number
    of projects, including what the chairman has mentioned, roof
    repairs, et cetera, waterproofing. But this is a 165 percent
    increase. In other categories under Library buildings and
    grounds, we have got 11 projects, a 279.7 percent increase in
    the projects. With the Capitol Police buildings, grounds, and
    security, we are looking at additional funding for six
    projects, 106 percent increase. The Botanic Garden--there are
    only three projects that are requested there. Still, that is an
    87.8 percent increase.
        I guess the question that I would have is, with these
    projects and a pretty substantial increase in terms of
    requested projects that now get on the to-do list, are these
    projects driven by citations that are coming out of the Office
    of Compliance or do they get on the list because they are
    deferred maintenance projects that the AOC is trying to work
    through? How do we get to this number of projects that are on
    the list?
        Mr. Ayers. Certainly primarily projects come from
    independent assessments of all of the facilities on Capitol
    Hill. So for the past several years, we have engaged an
    independent company that specializes in this kind of thing to
    review every piece of equipment, every building system, and
    give us an honest, third party, independent assessment of its
    condition and its useful and expected life, and to help us
    classify whether it is broken, needs to be fixed, deferred
    maintenance, or whether we really need to add onto a system or
    capital improvement. This is developed into a significant
    database that maps out what needs to be done in all of our
    buildings across Capitol Hill for the next 20 years. That comes
    into developing what projects are on the list.

                AOC deg.WHAT DRIVES THE BUDGET REQUEST

        Also, our 20-year Capitol complex master plan has projects
    in it that drive what is in our budget request.
        But certainly a small number of those--there are three of
    them this year. In fact, the top three are driven by citations
    from the Office of Compliance. So that will ebb and flow in any
    given year.
        Senator Murkowski. Are there only three that are driven by
    the Office of Compliance?
        Mr. Ayers. There are only three in fiscal year 2011 that
    are driven by the Office of Compliance.
        Senator Murkowski. And which are those projects?
        Mr. Ayers. The first is the utility tunnels and the second
    one is compartment barriers and horizontal exits in the Capitol
    Building. The third is a new exit stair in the Thomas Jefferson
    Building for the Library of Congress.

                  AOC deg.PROJECT LIST--SAFETY ISSUES

        Senator Murkowski. Well, I guess I want to understand more
    about the prioritization because I am engaged in overhaul of an
    old home myself, and believe me, my to-do list looks a heck of
    a lot different than my husband's to-do list who is doing all
    the work. Then when we go and we consult the checkbook and how
    we are going to pay for it, all of a sudden, the to-do list
    looks entirely different, and we are constantly resorting and
    reprioritizing.
        So I guess I am a little concerned that knowing that the
    chairman and I have been very specific in asking the agencies,
    the departments to give us your lean and mean budget, that we
    would be looking at a whole list of projects that while they
    will be important to do at some point in time or they are
    things that we want, that we really have not figured out how we
    can present a very clean and doable list of projects that we
    must address because of safety issues.
        So to know that of the many different projects in these
    various categories, we have got three that we have got Office
    of Compliance issues with or some form of citation that is out
    there, and that others that are on somebody's matrix of
    something that we want to have on the schedule, it does not
    give me a very clear picture of what we really think the
    priorities should be. I would hope that we will all be working
    together to perhaps give some more certainty as to where we are
    really going to go with projects for this year.

           AOC deg.BLUE RIBBON PANEL--FIRE CODE REQUIREMENTS

        I know that there are some things that we can start, and it
    does not foul the process if we do not have the full funding to
    complete it, but I know that there are other things that you
    need to be able to complete once you initiate those projects.
    We need to know and understand which fall into those categories
    as well.
        Senator Nelson. We talked about the Russell Building stairs
    and I think we were seeking a blue ribbon panel to review how
    the fire code requirements apply to historic buildings. Do we
    have the panel's findings with regard to the stairs in the
    Russell Senate Office Building? Has that blue ribbon panel
    study been completed?
        Mr. Ayers. No, Mr. Chairman, it is not complete yet, but we
    do expect it to be complete in April.
        Senator Nelson. Do you expect it to be helpful in assisting
    you in prioritizing the fire and life safety challenges that
    you face?
        Mr. Ayers. Absolutely. I think we have brought together a
    really stellar blue ribbon panel, the best minds that we know
    of in the country, to help us address this issue. We are
    looking forward to their thoughts and suggestions and
    recommendations.

                     AOC deg.PRELIMINARY FINDINGS

        Senator Nelson. Have you had any preliminary feedback from
    this panel?
        Mr. Ayers. Yes, we have. They did come and present to us a
    50 percent completion document, and the entire team got
    together. They made a great presentation for us, and all of us
    felt that they were on the right track. We were very encouraged
    with the level of effort, the level of detail and the level of
    professionalism and engineering judgment that they are bringing
    to the table. So we are really looking forward to the report in
    April.
        Senator Nelson. Have you included Ms. Chrisler in the
    development of the study and the preliminary findings? Ms.
    Chrisler.
        Ms. Chrisler. Yes. Actually the Office of Compliance was
    provided a copy of the report. We also attended the briefing,
    the 50 percent briefing. We were able to attend. We were happy
    to attend, and we also gave some comments based on the analyses
    that were conducted within the 50 percent report.
        Senator Nelson. Did you find it helpful to be able to work
    together in that sort of an environment with that kind of a
    project?
        Ms. Chrisler. Extremely helpful. As Mr. Ayers indicates,
    the expertise that sits on the panel will absolutely be
    instrumental to the addressing of these issues, and we
    appreciate the opportunity to sit down and consult with them,
    along with the Office of the Architect of the Capitol.
        Senator Nelson. You did not find it necessary to be
    adversarial in that environment, I am sure.
        Ms. Chrisler. Absolutely not. It is an independent
    assessment, and we appreciate the experts' opinion and we
    appreciate the time that they have taken, their perspective
    that they are bringing to the assessment of the issues, and it
    is very collaborative.
        Senator Nelson. Good, thank you.

                        AOC deg.UTILITY TUNNELS

        In terms of the utility tunnel repairs, Mr. Ayers, the
    request includes $14 million for the utility tunnel project and
    $20 million in other citation-related projects. I am glad to
    hear that things are pretty much on schedule to complete the
    repairs in 2012. When the repairs are completed, do you
    anticipate being in full compliance with the applicable health
    and safety standards, as we might hope that you would be?
        Mr. Ayers. Yes, we do, Mr. Chairman.
        Senator Nelson. Maybe since some of the repairs were
    considered to be an interim fix, how long do you expect those
    interim repairs to last? Are they very short term or are they
    intermediate term?
        Mr. Ayers. Our objective is to get another 20 years out of
    the utility tunnels. It is more of a longer-term approach we
    are taking.

                       AOC deg.REVIEW OF REPAIRS

        Senator Nelson. Ms. Chrisler, have you had an opportunity
    to review the repairs or some explanation of the repairs?
        Ms. Chrisler. We have consistent monitoring of the progress
    that is being made within the utility tunnels. We have a
    dedicated staff member who liaisons with the Architect's Office
    and is kept up-to-date and reviews the information and has
    weekly meetings and provides feedback. It is a very engaged
    effort on both agencies' parts. So yes, we are very, very much
    aware of the progress that is being made and the progress is
    very good, right on schedule.
        Senator Nelson. And then in terms of the other citations,
    are there other citation-related projects included in the
    fiscal year 2011 request?
        Mr. Ayers. We have three citation projects that are in our
    2011 request. The first, of course, is the utility tunnels, our
    most important work. The second is compartment barriers and
    horizontal exits in the Capitol Building, and the third is a
    new stair in the Jefferson Building. It is important to note
    that those three have risen to the top of our priority list,
    but it is also important to note that those three are in
    priority order. As you know, we worked together this summer to
    develop a prioritization process where we can now prioritize
    these citations. So what you see before you in our prioritized
    list is in priority order.

                  OOC deg.PRIORITIZATION OF CITATIONS

        Senator Nelson. Ms. Chrisler, are you comfortable with the
    effort that has been made and the results of that
    prioritization effort?
        Ms. Chrisler. We, being the Office of Compliance and the
    Office of the Architect of the Capitol, sat down pursuant to
    the direction given by this subcommittee and engaged in some
    very productive discussions regarding the prioritization of the
    fire safety citations. And during those discussions, we
    collaborated and agreed upon an applicable standard, and based
    on that application of the standard, together reached this
    prioritization that we have before us. So, yes, we are very
    much in agreement and we think that it is right on point.
        Senator Nelson. Well, I appreciate the collaboration and
    the spirit of cooperation there because it seemed to me a year
    ago that the Office of Compliance was more in the realm of a
    referee or an umpire throwing a flag here and throwing a flag
    there on a violation. And it is encouraging to see that there
    is more cooperation and collaboration on these projects so that
    the adversarial relationship is not necessarily helpful if you
    can go forward and work together.
        Ms. Chrisler. That is correct. And we see ourselves as a
    service agency and as a resource, and we cannot be the only
    ones that see ourselves that way. It is important for others to
    see us that way as well, and we understand that that
    perspective will only come from the work that we are doing and
    not just the dialogue that we are engaged in. So we are very
    much appreciative of the opportunity to be able to sit down and
    not just act as referee but to offer technical advice and
    technical assistance where necessary.
        Senator Nelson. Great, thank you.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.

    AOC deg.FEDERAL ACQUISITION STREAMLINING ACT AUTHORITY--LEASE
                                   AUTHORITY

        Mr. Ayers, let me ask you some questions about the two
    legislative language proposals that are contained within the
    budget request. The first is the Federal Acquisition
    Streamlining Act authority, the FASA authority, and long-term
    lease authority. And I understand that it would provide for
    procedures for commercial item acquisition, presumably to
    result in efficiencies and savings whether it is janitorial
    services or whatever.
        I am trying to understand exactly what the budgetary impact
    of something like these proposals would actually be and whether
    or not there will be cost savings if, in fact, these
    authorities are to be granted; whether there are savings in
    operations and contracts immediately or whether we are going to
    see this play out over time. Can you just kind of give me a
    better picture so I can understand what it is that you are
    anticipating with this authority?

                      AOC deg.FASA BUDGET IMPACT

        Mr. Ayers. Absolutely, Senator Murkowski. The Federal
    Acquisition Streamlining Act is an act that was enacted about
    10 years ago and it is widely used throughout the executive
    branch. We are looking to have that kind of procurement
    flexibility with the Architect's Office. And you are absolutely
    right. The purpose of this is to save money, save time, and
    create efficiencies in our procurement office.
        So what it does, is allows us to purchase commercial items
    up to $5.5 million using simplified acquisition procedures.
    Today we are only capable of using those simplified acquisition
    procedures for procurements up to $100,000. Those procedures
    are simply a purchase order, and maybe three or four or five
    pages tops of procurement and contract language to procure a
    commercial item today $100,000 and below. Today, above
    $100,000, we have to go through a contract procedure which is
    easily 100 pages of contract clauses to procure a commercial
    item up to $5 million. This would really significantly save
    time in our procurement office, allowing us to buy commercial
    things in a very simplified manner. It saves us money and
    prevents, I think the budget impact you were trying to get at.
    It prevents us from, in the future, having to come to you and
    ask for increases and increases in our procurement staff. We
    are gaining some efficiencies there and will not need to do
    that in the future.
        Senator Murkowski. So do you actually spend over $100,000 a
    year moving statues?
        Mr. Ayers. That is just one particular item.
        Senator Murkowski. I am just looking at it. I am thinking,
    okay, bulk fuel, yes; light fixtures, yes. And I was looking at
    the cleaning of the chandeliers----
        Mr. Ayers. Like toilet paper, paper, all of those types of
    things.
        Senator Murkowski [continuing]. And I decided those
    chandeliers have got to be really expensive to clean.
        But you do anticipate--I am assuming you have done some
    kind of a cost analysis that has said that consolidating these
    procurement policies is going to be beneficial in the short
    term and the long term.
        Mr. Ayers. Absolutely. We did go back to all of our
    procurements in 2008 and analyzed every one of them to
    determine how many of them we could have taken from this 100-
    page contract phase and used the simplified acquisition
    procedures. There were 35 of them, and for those 35, we believe
    we could carve out 20 man-days on each one. So it is a very
    significant savings.

                   AOC deg.SENIOR EXECUTIVE SERVICE

        Senator Murkowski. Let me ask you about the Senior
    Executive Service (SES). Again, this is an area that has been
    used within the executive branch, but I am trying to understand
    why you believe within the AOC we need to have or we need to
    create these Senior Executive Service, similar to executive
    branch authority. You are talking about 37 positions here,
    which seems like a lot of senior level positions for an agency
    that has about a three-fourths blue collar, one-fourth white
    collar workforce.
        So can you explain to me why you are seeking this
    authority, what you hope to gain from it, and give me a bird's
    eye view of what the 37 positions are again, that is a lot of
    folks here. What is the budgetary impact of converting 37
    positions into Senior Executive Service positions? Can you just
    speak to this issue for a moment, if you will?
        Mr. Ayers. Absolutely, Senator. First, our objective and my
    objective is to be the best. To be the best. To be able to
    recruit and retain the best people. I know that it is certainly
    your objective as well. We do not believe today we are poised
    to do that at the senior executive level because our pay and
    benefits package does not match those in the executive branch
    of the Government.
        Senator Murkowski. Should it?
        Mr. Ayers. I am sorry?
        Senator Murkowski. Should it?
        Mr. Ayers. I think it should, absolutely. Certainly not on
    the pay side. We recognize that our pay we cap below Member
    pay. So we are not seeking authority on pay, and we do not
    believe that this flexibility will have any impact in the short
    term on funding.
        I think it is important to note that when we go to recruit
    someone from the executive branch there are disparities, a
    great example of that is the amount of annual leave an
    executive can carry over. Today our executives can carry over
    240 hours. In the executive branch, all of them can carry over
    720 hours. So why would one of them be enticed to come work for
    the Architect of the Capitol when they are going to have to
    give up that benefit that they have, that the Government
    Accountability Office (GAO) has, that the Library of Congress
    has, but the Architect does not?
        So I think the facts are very clear that benefits packages
    do not match and we think they should. We really think that
    there should be this easy exchange of executive talent between
    the executive branch and the legislative branch.
        Senator Murkowski. What about the number, the fact that you
    have got 37? It seems like a high number of senior level
    positions, again in an area where most of your workforce is not
    the senior level. It is more the blue collar level.
        Mr. Ayers. Of those 37, all of them, I believe, are
    existing positions, and they are already paid at the Senior
    Executive Service level. The only thing that they would be
    affected by is a change in benefits' package for the annual
    leave carry over that I mentioned earlier. So they are not new
    employees.
        Senator Murkowski. These are existing people that you are
    just changing their ability to accrue annual leave, carryover,
    and bonuses. So what you are saying is that this does not cost,
    in terms of what you will see with your budget. It is more of a
    recruitment or a retention tool.
        Mr. Ayers. That is exactly right. I think it is important
    for transparency. There is no question in the first year it
    does not cost us. In ensuing years, when employees retire they
    are paid out for their annual leave that they still have on the
    books. So this would enable an executive to accrue a larger
    amount of leave on the books than one would normally have
    today, but that is many years down the road.
        Senator Murkowski. Would this have any impact on salary
    increases in future budget requests?
        Mr. Ayers. No, ma'am, it would not.
        Senator Murkowski. Mr. Chairman, thank you.

                    AOC deg.CAPITOL VISITOR CENTER

        Senator Nelson. The Capitol Visitor Center. You were
    provided $621 million for the construction, but due to reduced
    delay claims by sequence 2, a contractor, GAO currently
    estimates that the total cost to complete the Capitol Visitor
    Center is $591 million. This leaves you with a balance of
    approximately $31 million. Are those facts correct, and is
    there a remaining balance of $31 million from this project?
        Mr. Ayers. I do not believe that that is exactly correct,
    but there is no question----
        Senator Nelson. There is some money----
        Mr. Ayers [continuing]. That there will be at least $20
    million available for other priorities. I think that is a great
    testament to the team that negotiated the final claims on this
    project, and they did just a terrific job and saved us
    considerable money.
        Senator Nelson. Well, anything that comes under the
    ultimate price tag is a savings and it should be viewed that
    way. There is no doubt. I appreciate that.
        I guess the question I have is could the funding, that
    additional $20 million that is there--could that be applied
    toward your fiscal year 2011 needs?
        Mr. Ayers. Yes, Mr. Chairman, absolutely.

                       AOC deg.CVC FTE INCREASE

        Senator Nelson. Now, you request four FTEs for the Capitol
    Visitor Center. Does that mean you are not adequately staffed
    at the CVC now? For example, what are the duties of an
    interpretive curator? Are they not already available? Or is
    there a necessity to add that particular position or positions?
        Mr. Ayers. We are requesting an increase of four FTEs for
    the Capitol Visitor Center, and I view those in two groups. The
    first group and the highest priority, the must-haves, are
    converting our two congressional liaison positions that are
    currently on board in a temporary capacity to permanent
    positions. They really have shown that they are extremely
    beneficial, not just for us but for Members, in working and
    providing tours at the CVC. So we think those are must-haves.
        The second two are in a second tier of more improving
    operations and improving efficiencies. We think, certainly, a
    curator could help improve our operations in interpreting the
    things that are in the Exhibition Hall. But an interpretation
    curator and a special assistant do not rise up to the must-have
    level of our two congressional liaisons.

               AOC deg.CAPITOL POWER PLANT FTE INCREASE

        Senator Nelson. And then if we go to the Capitol Power
    Plant, your request there includes 3 additional FTEs for that
    plant, bringing the total to 98. Have you recognized any
    savings that would apply to reducing the number of FTEs as a
    result of the installation of a digitized control system at the
    plant? In other words, further use of technology should be able
    to help you reduce the reliance on human power. Have you
    realized anything or can you realize anything there?
        Mr. Ayers. Well, we do think that there are some savings to
    be realized there. The numbers you mentioned are our FTE cap.
    The FTE cap at the Power Plant is 95. These 3, which I will
    address in a moment, would increase to 98. But on-board
    strength, we have somewhere in the low to mid 70s. We have
    purposefully, for the past 2 to 3 years, held recruitment very,
    very low in the Power Plant to accommodate these efficiencies.
    I know when I became Acting Architect 3 years ago, I think we
    were at 85 on-board people and we are now about 10 less than
    that. So I think we have been driving some efficiencies out of
    there.

                        AOC deg.UTILITY METERS

        The three new positions are, interestingly enough, a new
    mission area for the Architect. The Energy Independence and
    Security Act required us to install utility meters throughout
    all of our facilities. That resulted in about 320 new utility
    meters, very high-tech pieces of equipment installed in all of
    our buildings. These three new employees would operate and
    maintain those meters, do the preventive maintenance on those
    meters, as well as read the results of those meters.

                    AOC deg.SUSTAINABILITY PROGRAM

        Senator Nelson. In that regard, you are requesting $11.2
    million worth of projects and $10 million in the operations
    budget with an energy reduction focus. Is that different than
    what we are talking about here with the Power Plant, or is it a
    part of it, or is it separate from it? I will ask it that way.
        Mr. Ayers. It is certainly separate from the Capitol Power
    Plant appropriation, but it is part of our comprehensive
    sustainability program to meet the Energy Independence and
    Security Act goals of a 3 percent energy reduction per year.
        Senator Nelson. Well, as you expect to use the $11.2
    million worth of projects and $10 million in the operations
    budget, if funded, what will that achieve in terms of overall
    reductions in costs to the budget? In other words, I think you
    are spending money to try to bring down the costs. What would
    you expect in the way of energy savings in terms of dollars?
        Mr. Ayers. In terms of dollars, I think a great example of
    that is the energy savings performance contract that we have
    awarded here in the Senate. This public/private partnership,
    where a private company is investing $42 million in the Senate
    office buildings, and ultimately, reducing energy by 36
    percent, which is almost $4 million a year in energy savings
    being driven out of the Senate office buildings. Of course,
    initially that money goes to repay this company that is doing
    the work and borrowing the money. In the end, we keep those
    investments, we keep the upgrades and we reap the benefits
    after they are repaid.
        Senator Nelson. How long will it take us to recoup the $22
    million? How many years do you think it is going to take us to
    where we have recovered that? It is good to reduce energy use.
    There is no doubt. And it is also good to reduce the cost that
    you get from energy reduction. As you try to correlate those
    two, how long will it take us to be neutral or have a net
    reduction in our costs?
        Mr. Ayers. I believe here in the Senate, the projection is
    18 to 20 years.
        Senator Nelson. What about other buildings or other
    facilities? Do you have anything that might--in other words, is
    this $22.2 million all in the Senate office buildings?
        Mr. Ayers. It is. It is $42 million, the investment they
    are making just in the Senate. We have a similar arrangement in
    the Capitol----

                        AOC deg.PROJECTS BUDGET

        Senator Nelson. Excuse me. That they are making. But you
    have got $22.2 million in your operations budget in projects.
    Maybe I am not understanding what those dollars are for.
        Mr. Ayers. Those dollars are primarily for two things. One
    is enabling us to manage these energy savings performance
    contracts across Capitol Hill. For these contracts that we have
    entered into, we are investing nearly $100 million. So we are
    looking for contract help: engineers to help manage that work
    and coordinate that work and be sure it is installed properly
    and commissioned properly. That is primarily what much of that
    money is for.
        Senator Nelson. And then it would take us about 18 years to
    get the full benefit of what it is we are trying to do in terms
    of dollars.
        Mr. Ayers. That is correct.
        Senator Nelson. Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.
        Ms. Chrisler, I do not want to have all the attention
    focused on Mr. Ayers here, so we will ask you a couple.

                       OOC deg.HAZARDS DECREASE

        You referred to the number of hazards that have been
    identified and the fact that we have seen a decrease from
    13,000 in the 109th Congress to 9,000 in the 110th to an
    estimated 6,000 in the 111th. And I think that is good. I would
    hope that given a level of outreach and education efforts, we
    would see the number of hazards continue to go down, and I
    think that is clearly the goal here.
        Can you tell me how we count hazards? Is it every
    overloaded outlet that is counted? And then when they unload it
    or put the power strip in or what have you, is it still
    counted? How do you account for these multiple hazards?
        Ms. Chrisler. Thank you, Senator. It is a very good
    question.
        What we do is we have inspectors that go out and inspect
    each office space and they identify the hazards, they identify
    violations of the Occupational Safety and Health Administration
    (OSHA) standards. Those are noted. Sometimes they are abated
    right on the spot.
        Senator Murkowski. And are they counted if they are abated?
        Ms. Chrisler. Yes, they are, but they are counted--if they
    are abated on the spot, no. So I am mistaken.
        Senator Murkowski. So if you unplug it, then you are good.
        Ms. Chrisler. You are good.
        Senator Murkowski. All right.
        Ms. Chrisler. If it takes something other than right on the
    spot, then yes, that is counted as a hazard within the
    findings.
        [The information follows:]

        During the hearing, I mistakenly indicated that the OOC
    does not record hazards found during biennial inspections if
    they are remedied immediately. In fact, OOC notes all hazards
    identified during a biennial inspection, whether they are
    abated on the spot or abated at a later time. This method of
    recording hazards is consistent with the longstanding practice
    followed by Occupational Safety and Health Administration
    inspectors. The OSHA Field Operations Manual provides: ``Safety
    and health violations shall be brought to the attention of
    employer and employee representatives at the time they are
    documented.'' Field Operations Manual, Directive No. CPL 02-00-
    148 at 3-20 (Occupational Safety and Health Administration
    November 9, 2009) (emphasis added). In addition, this method of
    recording hazards allows the OOC to provide Congress with
    consistent and reliable data, as explained below.
        The CAA requires the OOC to inspect legislative branch
    facilities for compliance with occupational safety and health
    standards at least once each Congress and report those results
    to the Speaker of the House, the President pro tempore of the
    Senate, and employing offices responsible for correcting
    violations. CAA Section 215(e), 2 U.S.C. 1341(e). As such, the
    OOC is required to notify Congress of the violations it
    identified irrespective of when those violations are remedied.
    Alongside the hazard findings, the OOC provides abatement
    information to provide context for the findings and establish a
    clear picture of what hazards remain. Although OOC encourages
    early abatement and applauds employing offices for their
    efforts to immediately abate hazards, OOC does not note a
    distinction in its identification of hazards if a hazard is
    abated immediately or if a hazard is abated at a later time: at
    the time of the inspection, a hazard that threatened workers'
    safety and/or health was present, and the CAA requires the
    identification of those hazards and a submission of same to
    Congress. The OOC is pleased with the continuing decline in
    hazards seen over the past three Congresses, and is hopeful
    that the abatement process continues to progress as well.

                     OOC deg.COMPLIANCE EDUCATION

        Senator Murkowski. Is it fair to say then that with
    continuing education and awareness, we are able to do within
    our own offices a significant level of compliance just on our
    own and we are learning so that as the years progress,
    hopefully, we will be near zero. I do not know if it is
    possible to eliminate all hazards, but I am assuming that is
    the direction that we are taking.
        Ms. Chrisler. Sure, absolutely it is. And that is part of
    where we are hoping to go in the future, as we see the decrease
    in hazards. And as you mentioned, it is partly due to the
    education efforts of our staff, the increased awareness of the
    staff and the Members' offices and the employing offices, and
    in part due to the employment counsel's offices as well in
    assisting us in conducting the inspections and providing the
    education that is necessary. So, yes, we are looking for the
    employing offices to be able to spot some of these hazards
    themselves and correct them right on the spot. That is part of
    our goal is to equip the employing offices with that type of
    knowledge so that they are able to utilize our office as a
    resource, as a kind of checkpoint to make sure that they are
    right on track.
        Senator Murkowski. Good. I appreciate that.
        I also appreciate the comment that you made in your opening
    statement about working in collaboration with OSHA to provide
    some assistance, rather than bringing on new or additional
    staff working with them in a collaborative effort. I think that
    that is good. If there are other opportunities to do similar
    collaborating efforts, I would certainly encourage that.

                           OOC deg.IT SYSTEM

        Let me ask you one more question about the IT system. You
    mentioned that you have got a somewhat unique system in that
    you are required to have two computers for each employee.
    Clearly inefficient. It obviously adds increased costs to the
    agency.
        What do you anticipate your cost savings to be once the new
    system is in place? What is the total request for the system
    upgrade? And if the funding in fiscal year 2011 does not
    support the full cost of the system, how much additional
    funding do you figure you need in the out-years to kind of take
    care of this?
        Ms. Chrisler. Yes, thank you. The system that we have is
    unique. Because of the confidential information that our office
    maintains with respect to our dispute resolution program, we
    have taken great steps to ensure that that type of information
    remains protected and remains secure. The system that we have
    currently in place provides that protection, but it also
    inhibits employees from being able to work as productively as
    they could. Literally, there is a switch box that is on
    everyone's work station and employees literally have to
    transfer back and forth between computers when they are wanting
    to work. One of the systems is an internal system where we can
    communicate internally and the other one connects to the
    outside world, the Internet. And the two systems are not
    compatible.

                        OOC deg.SYSTEM SECURITY

        Ms. Chrisler. We have obtained the technical skills of an
    IT staff who has developed a program and a system by which we
    would be able to maintain that level of security but eliminate
    the two computers. So that is something that will result in a
    cost savings, will result in efficiency, will allow us to have
    a complete COOP plan for teleworking purposes. The total cost
    of the program is something that I can provide to you for the
    record at a later date.
        [The information follows:]

        The total investment for new system upgrade equals
    $110,000, which encompasses the following: equipment ($60,000--
    fiscal year 2011 budget request) and installation ($50,000--
    fiscal year 2012 budget request). We expect to recoup the new
    system investment through cost savings over a 2\1/2\ year
    timeline ($110,000 total upgrade/$43,475 total savings equals
    2.53 years).

        Ms. Chrisler. Should we not receive the funding for the
    improvements, we will have to reevaluate how to go about
    developing this plan. Of course, it is not just a 1 fiscal year
    project. It is something that we can break into pieces, if we
    have to. Some things will have to be delayed. The
    implementation would be delayed, but perhaps the development
    could continue on some levels.
        Senator Murkowski. Well, if you could get that information
    and kind of lay that out, that would be helpful.
        Ms. Chrisler. Thank you.
        Senator Murkowski. Thank you.
        Senator Nelson. Thank you.
        [The information follows:]

        Ideally, OOC would purchase the equipment in fiscal year
    2011 for $60,000 and perform the installation in fiscal year
    2012 for $50,000. However, if funding is not provided in fiscal
    year 2011, OOC would have to delay the implementation of the
    new system. The cost would probably not increase dramatically
    if the timeline for implementation was delayed; the delay would
    simply move the cost to another fiscal year. However, not
    receiving the full requested budget for fiscal year 2011 and
    delaying the implementation increases the vulnerability of the
    agency for disaster recovery planning (COOP), reduces any
    efficiencies which could be gained through the ability to tele-
    work, and impacts the agency's cybersecurity initiatives.
        Because the new IT system will allow for the use of one
    computer per work station as opposed to the current use of two,
    the agency anticipates enjoying significant cost-savings, not
    only in physical equipment, but in human resources as well.
        The total annual estimated savings equals $43,475; $22,475
    of which is attributed to equipment and software, $21,000 of
    which is attributed to Human Capital. Because the new IT system
    will require the agency to maintain only one computer per work
    station, as opposed to the two it currently maintains, routine
    upgrades will be fewer, resulting in significant savings.
        Mindful of the costs associated with maintaining current
    technology for hardware and software compatibility, the agency
    looks to replace its employee PCs every 3 years. As such, once
    the system upgrades are in place, and only one PC per work
    station is being maintained, the agency will enjoy an annual
    savings of $7,950 or $23,800 over the 3-year replacement cycle.
    Annual software costs will result in a savings of $11,300; and
    purchases of peripheral equipment will yield an additional
    savings of $3,225.
        The new IT system contemplated by the agency will result in
    a $21,000 annual savings of IT staff resources. As the system
    currently operates, IT staff allocates 25 percent of their time
    annually for support and maintenance of the internal computer
    system. Once the new system is implemented, the staff would be
    able to utilize that 25 percent toward our IT Security and COOP
    initiatives, which have gone understaffed due to the time
    commitment necessary to maintain two computer systems.

                     OOC deg.HAZARD PRIORITIZATION

        Senator Nelson. Ms. Chrisler, in establishing the 6,000
    hazards, do you then categorize them as to priorities, priority
    1, 2, 3, 4, 5? I assume that not every hazard is co-equal with
    every other hazard. So do you have a system of prioritization?
        Ms. Chrisler. Yes, Senator, we do. What we have is what we
    call a RAC system, and it is R-A-C. It is a risk assessment
    code. And when the hazards are identified, they are labeled
    with this RAC: RAC 1 being posing life-threatening potential,
    life-threatening issues; RAC 2 being dangerous and could cause
    bodily harm; and 3 and 4 of lesser degree of severity.
        The majority of the 6,000 violations that we saw are not
    RAC 1. So that is very comforting to know. They fall more in
    the range of RAC 3, which is they are significant but they do
    not rise to the level of the immediate threat to life safety.
        Senator Nelson. Well, I know that you pay close attention
    to OSHA and their inspection programs. Do we know what changes
    are being planned in the 112th Congress on OSHA inspection
    programs?
        Ms. Chrisler. That is something that we certainly will look
    into, Senator, and be happy to provide to you for the record.
        Senator Nelson. Sure. That would be helpful. Thank you.
        [The information follows:]

        The Secretary of Labor (``Secretary'') is responsible for
    promulgating occupational safety and health standards under the
    Occupational Safety and Health Act of 1970, 29 U.S.C. sections
    651 et seq. Executive Order 12866 requires the Secretary to
    publish semiannually a Regulatory Agenda listing all
    regulations the Department of Labor expects to have under
    active consideration for promulgation, proposal or review
    during the coming year. The Department's most recent Regulatory
    Agenda was published on December 7, 2009 and can be found in
    its entirety at www.reginfo.gov. The Department's Regulatory
    Plan, which is a subset of the Regulatory Agenda, ``highlights
    the most noteworthy and significant regulatory projects that
    will be undertaken by its regulatory agencies,'' including the
    Occupational Safety and Health Administration (``OSHA''). 74
    Fed. Reg. No. 233 at 52 (Dec. 7, 2009). The most recent
    Regulatory Plan lists four OSHA regulations: a modification of
    OSHA's Hazard Communication Standard; a rule setting
    Occupational Injury and Illness Recording and Reporting
    Requirements; a health standard regulating Crystalline Silica
    exposure; and an update of the 1971 Cranes and Derricks
    standard applicable to the construction industry. Id.
        As certain OSHA standards apply in the legislative branch
    pursuant to section 215(d) of the Congressional Accountability
    Act (``CAA''), 2 U.S.C. section 1341(d), the OOC and its Board
    of Directors will continue its close monitoring of OSHA's
    regulatory activity in the coming year and assess its effect on
    the legislative branch.

                 AOC deg.CAPITOL POLICE RADIO PROJECT

        Senator Nelson. I do not know that I have any more
    questions to ask. I guess I could ask about the radio system
    here. I have got a question on that.
        The Capitol Police radio project. Mr. Ayers, I know you are
    responsible for the facilities portion of that project. Can you
    give us an outline of how the facilities portion of the project
    is undergoing--or how that is going on right now?
        Mr. Ayers. I would be happy to, Mr. Chairman. In support of
    the Capitol Police project, we are undertaking three activities
    on that project. The first is the design and construction of
    the primary site, which is where the radio operators and radio
    infrastructure will be, in Manassas. We are right on schedule
    and on track to complete that by December 2010. We have a
    contract awarded, and we are going through the contract design
    and submittal phase right now. So we see no issues there.
        The second portion is the design and construction and
    property acquisition of the mirror site, or the backup site,
    here just off of Capitol Hill. We are currently in negotiations
    with the leaseholder now, both negotiations on the lease, and
    on the construction side. We do not see any issues meeting a
    March 2011 completion date to enable the Capitol Police vendor
    to begin installing their radio equipment.
        And then last, and probably most importantly for me, is
    helping the Capitol Police contractors install and navigate
    through all of the office buildings and the Capitol Building
    and to installing their infrastructure, electricity, antenna
    wires, and antennas through the buildings. And we are working
    very closely with them now. I know that they have completed the
    design for the Senate office buildings. They are nearing
    completion of the design for the Capitol and House office
    buildings. We do not see any issues there as well.
        So things are progressing well and we are very confident
    about completing our three tasks on schedule.
        Senator Nelson. Well, I appreciate the update. It is good
    to know that it is on schedule and not slipping and staying
    within the budget as well?
        Mr. Ayers. Yes, sir.
        Senator Nelson. Well, if there is nothing else to ask,
    there is no reason to ask it. Right?
        So I appreciate very much your being here today, your work,
    and the work of all your associates who, together with you, are
    doing such an outstanding job for us. Thank you for your candor
    and for your willingness to work with us. I know with such
    difficult times that we face right now with unemployment at a
    high level, it has also been a very energizing time because
    with all the snow and with everything else, it seems to come
    all at one time when everybody is saying, well, we need to slow
    down our costs at a time when the activity is increasing. It
    seems like those should not cross. They should match. But we
    are faced with difficult times, and I appreciate the fact that
    everybody understands that and we will try to work our way
    through it.
        So thank you.
        Senator Murkowski, do you have any closing comments?
        Senator Murkowski. Thank you, Mr. Chairman, and I look
    forward to working with the Architect of the Capitol, the
    Office of Compliance, and others as we kind of slog through how
    we prioritize the needs again for those who are working and
    visiting our capital. Thank you.
        Senator Nelson. In addition to thanking our witnesses
    today, I want to thank Robin Morey, the Senate Superintendent,
    for keeping the room cool today.

                              SUBCOMMITTEE RECESS

        The subcommittee stands in recess until Thursday, April 15,
    when we will meet again in this room at 2:30 to take testimony
    on the fiscal year 2011 budget request of the Government
    Accountability Office, the Government Printing Office, and the
    Congressional Budget Office. Thank you.
        [Whereupon, at 4 p.m., Thursday, March 18, the subcommittee
    was recessed, to reconvene at 2:30 p.m., Thursday, April 15.]

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2011

                                  ----------

                            THURSDAY, APRIL 15, 2010

                                           U.S. Senate,
               Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 3:22 p.m., in room SD-138, Dirksen
    Senate Office Building, Hon. Ben Nelson (chairman) presiding.
        Present: Senators Nelson, Pryor, and Murkowski.

                        GOVERNMENT ACCOUNTABILITY OFFICE

    STATEMENT OF GENE L. DODARO, ACTING COMPTROLLER GENERAL

                    OPENING STATEMENT OF SENATOR BEN NELSON

        Senator Nelson. The subcommittee will come to order.
        Good afternoon to everybody, and welcome. We meet this
    afternoon to take testimony on the fiscal year 2011 budget
    request for the Government Accountability Office (GAO), the
    Government Printing Office (GPO), and the Congressional Budget
    Office (CBO).
        I would like to welcome our witnesses here today--Gene
    Dodaro, Acting Comptroller General; Bob Tapella, Public
    Printer; and Doug Elmendorf, Director of the Congressional
    Budget Office.
        I also want to welcome my good friend and ranking member,
    Senator Murkowski, as well as the other members of the
    subcommittee who will perhaps be joining us, Senator Pryor and
    Senator Tester. Senator Murkowski and I have enjoyed working
    with one another on these items of the legislative branch, and
    I know I look forward to continuing that effort.
        This is our third budget hearing of this fiscal year, and I
    would like to reiterate a few concerns that were raised during
    our first two hearings. I am disappointed that this
    subcommittee has once again been presented with a fairly large
    budget increase request in fiscal year 2011.
        And the fact remains that this country is in economic
    turmoil, and the American taxpayers simply are not ready to
    tolerate unnecessary Government spending. And some believe that
    any kind of Government spending is probably unnecessary, but
    particularly at a time of high major unemployment. And I have
    said repeatedly that I intend to do my best to hold the
    legislative branch flat this year.
        I believe that spending restraints start at home. We need
    to lead by example on this subcommittee, and we can't do that
    by appropriating large increases to our agencies, even at a
    time when they may be totally justified.
        I think the President sent the message loudly and clearly
    in his State of the Union Address this year, noting that
    families across the country are tightening their belts and
    making tough decisions. The Federal Government must do the
    same, he said, and he announced a 3-year freeze on nonsecurity
    discretionary Government spending. And I believe we must do the
    same with this subcommittee as well.
        Having said that, I want to also say that we still
    appreciate the contributions made by each of your agencies in
    assisting Congress in our service to the country. We are truly
    grateful for the work you do, and we look forward to hearing
    from you and to discussing your budget requests.
        I must say that I doubt there has ever been a time that
    staff for the Senate have ever had to work more lengthy hours
    and weekends than recently, and I am sure it is true with your
    departments as well. And so, at a time when we are looking to
    reward, it seems like the rewards are sort of fleeting away
    from us.
        Mr. Dodaro, GAO is requesting an overall increase of 8
    percent in fiscal year 2011, which includes funding for the
    continuation of your mandated requirements under the American
    Recovery and Reinvestment Act (ARRA), which I understand
    accounts for roughly one-half of your increase. And I look
    forward to discussing the specifics of your budget request, as
    well as GAO's latest findings on the American Recovery and
    Reinvestment Act effort.
        Mr. Tapella, I understand that GPO will soon be celebrating
    150 years of service to the Federal Government, and I would
    like to congratulate you and your entire staff on this
    accomplishment. GPO is requesting an increase of $19 million,
    or 13 percent, over current year. And I understand that much of
    this increase is directly related to the Federal Digital System
    (FDsys) and a few other information technology upgrades and
    infrastructure projects, which I look forward to discussing
    with you a little later on.
        Dr. Elmendorf, it is good to see you again. CBO is
    requesting $47.2 million in fiscal year 2011, an increase of
    roughly $2 million, or 4.7 percent, over the current year. And
    I understand that you feel this number is somewhat skewed by
    supplemental funding CBO received in fiscal year 2009, which
    you feel impacted your fiscal year 2010 appropriation.
        And I know better than to argue the numbers with you.
        So I look forward to discussing your budget and other
    obstacles that you face and your colleagues face.
        Now I would like to turn over to Ranking Member Senator
    Murkowski for her remarks.

                      STATEMENT OF SENATOR LISA MURKOWSKI

        Senator Murkowski. Thank you, Mr. Chairman.
        And my remarks will be very brief this morning because they
    mirror so closely those that you have just made.
        I would like to begin by welcoming the three of you--Mr.
    Dodaro, Mr. Tapella, Dr. Elmendorf. I think it is fair to say
    that you each, within your respective areas, are doing well by
    us, and we appreciate that. We do recognize that we task you
    with a lot, and I know certainly, Dr. Elmendorf, the requests
    that have been made on CBO just this past year with all of the
    legislative initiatives as they relate to healthcare have been
    daunting. And I don't know if you have any more hours in your
    day than I do, but I commend you for the work that you and all
    your staff have done.
        As the chairman has mentioned, each of you are requesting
    within your offices increases. The GAO increase at 7.9 percent,
    GPO at 13 percent, and then CBO, an increase of $2.1 million,
    or 4.7 percent. And we recognize that while you may feel that
    they are entirely justified and may be much smaller than you
    had wanted, that these are significant increases within the
    legislative branch budget.
        And the chairman's words, of course, come as no surprise,
    that we are looking for ways to demonstrate leadership by
    ensuring that our own budgets are tightened and trying to
    reduce those costs. So I will be curious to hear this afternoon
    how GAO, GPO, and CBO are prepared to make the adjustments in
    the fiscal year 2011 budget requests that have been submitted
    and do look forward to working with all of you to ensure that
    we can arrive on some mutually agreeable solutions to how we
    trim back the costs while at the same time providing the very
    essential services that all of you and your staffs provide.
        Thank you, Mr. Chairman.
        Senator Nelson. Thank you.
        I was going to call on Senator--my colleague to the right,
    but he assures me that he wants not to be associated with the
    skinflints to his left.
        Now I would like to call on Mr. Dodaro for your opening
    statement, followed by Mr. Tapella, and of course, then by Dr.
    Elmendorf. And if it is possible to keep your opening
    statements brief, around 5 minutes, we would obviously receive
    the rest of your statement for the record if there are
    additional statements to be made.

                      SUMMARY STATEMENT OF GENE L. DODARO

        Mr. Dodaro. Thank you very much Mr. Chairman, Ranking
    Member Senator Murkowski, Senator Pryor. I appreciate the
    opportunity to be here today to discuss GAO's budget request.
        As the investigative arm of the Congress and the auditor of
    the Government's financial condition, I certainly appreciate
    and commend your objectives toward fiscal prudence. And in that
    light, GAO's budget request, as you mentioned, Mr. Chairman, is
    really in two parts.
        The first part of our request is a 4.1 percent increase in
    our base appropriation that is intended to just maintain our
    existing staff levels in order to support our work for every
    standing committee of the Congress and about 70 percent of the
    subcommittees.
        When I came before this subcommittee in 2008, my first year
    as acting Comptroller General, I mentioned we were at our
    lowest staffing level in GAO's history. Thanks to the support
    of this subcommittee, we have augmented that slightly over the
    last couple of years. We are well positioned to help the
    Congress deal with the range of domestic and international
    challenges that it faces across the spectrum of its activities.
    This increase is just to maintain our current staffing level to
    support the Congress.
        We also have been given new responsibilities in the
    healthcare legislation. There will be many more
    responsibilities in the financial regulatory reform
    legislation. And in the latest increase to deal with the debt
    ceiling increase, we were given an annual mandate to recommend
    duplication and other areas where Government spending could be
    eliminated.
        In addition to GAO's normal responsibilities of responding
    to about 1,000 requests a year from the Congress, in the
    Troubled Asset Relief Program (TARP), we were given
    responsibilities to report every 90 days. Since we were funded
    through reimbursements from the Treasury Department, we will be
    in good shape to follow all those activities through until AIG,
    General Motors, and other arrangements work their way out and
    the Government returns them to their normal status.
        The Recovery Act is a little bit different. That act, as
    you know, is now estimated to be about $862 billion. We were
    charged with recurring responsibilities on bimonthly reviews of
    the use of that money by selected States and localities and
    quarterly reviews of the reports concerning the amount of jobs
    that were created and retained. So these are recurring
    responsibilities.
        In recognition of the large amount of spending, and it
    being out of the normal appropriation cycle when the
    legislation was passed, Congress gave us $25 million. That
    money expires at the end of fiscal year 2010, so by September
    this year we will have spent that money.
        Now the money to the States and localities will continue in
    fiscal years 2011 and 2012 and beyond, out to almost fiscal
    year 2019, according to CBO's estimates. That means that there
    will be over $120 billion that will still flow to the States
    and localities in fiscal year 2011 and beyond. The second part
    of our request provides funds for us to be in a position to
    continue to meet our mandates of bimonthly reviews.
        I am also concerned that the risk level associated with
    some of the spending in the next several years will be at least
    as great as, if not a little bit higher than, the spending that
    has occurred to date because there will be new programs and
    greatly expanded amounts of money for other programs. So I
    think it is important for us to be in a position to do what
    Congress asked us to do, which is to be out in the States and
    localities making sure the money is spent appropriately for its
    intended purpose.
        In closing, I know very well, as my colleagues do, the
    difficult fiscal challenges that await the country and the
    Congress, and there are a lot of difficult decisions. GAO is an
    important resource in helping Congress eliminate waste,
    increase revenues, and ensure programs are more efficient and
    effective. My colleagues and I are committed to making sure
    that whatever investment you make in GAO, that the dedicated
    people of GAO will give you a good return on that investment.

                               PREPARED STATEMENT

        I know you will give careful consideration to our request,
    and I look forward to addressing your questions when
    appropriate.
        Senator Nelson. Thank you, Mr. Dodaro.
        [The statement follows:]
                      Prepared Statement of Gene L. Dodaro
        Mr. Chairman, Ranking Member Murkowski, and Members of the
    Subcommittee: I appreciate the opportunity to be here today to discuss
    the U.S. Government Accountability Office's (GAO) budget request for
    fiscal year 2011. At the outset, I want to thank all the members of the
    subcommittee for your continued support of GAO. With your support of
    our fiscal years 2009 and 2010 funding levels, we have been able to
    address the steady decline in staffing that GAO had experienced since
    fiscal year 2003 and begin to reverse this trend by restoring our
    staffing capacity.
        This has put us in a better position to assist the Congress in
    confronting the many difficult challenges facing the nation. In fiscal
    year 2009, GAO supported congressional decisionmaking and oversight on
    a range of critical issues, including the government's efforts to help
    stabilize financial markets and address the most severe recession since
    World War II. In addition to providing oversight for the 2008 Economic
    Stabilization Act and the American Recovery and Reinvestment Act of
    2009 (Recovery Act), we continued to provide the Congress updates on
    programs that are at high risk for waste, fraud, abuse, and
    mismanagement or are in need of broad reform, and delivered advice and
    analyses on a broad array of pressing domestic and international issues
    that demand urgent attention and continuing oversight. These include
    modernizing the regulatory structure for financial institutions and
    markets to meet 21st century demands; controlling escalating healthcare
    costs and providing more effective oversight of medical products;
    restructuring the U.S. Postal Service to ensure its financial
    stability; and improving the Department of Defense's management
    approaches to issues ranging from weapons system acquisitions to
    accounting for weapons provided to Afghan security forces. Overall, we
    responded to requests from every standing committee of the Senate and
    the House and over 70 percent of their subcommittees.
        As a knowledge-based organization, our ability to timely assist the
    Congress as it addresses the nation's challenges depends on our ability
    to sustain our current staffing levels. We are submitting for your
    consideration a prudent request for $601 million for fiscal year 2011,
    which will allow us to maintain our capacity to assist the Congress in
    addressing a range of financial, social, economic, and security
    challenges going forward. This amount represents a 4.1 percent increase
    ($22.6 million) to maintain our fiscal year 2010 staffing level for
    ``base operations,'' cover mandatory pay and uncontrollable costs, and
    reinvest savings from nonrecurring costs and efficiencies to further
    enhance our productivity and effectiveness. We have also requested a
    3.8 percent increase ($21.6 million) to maintain the current staffing
    level of 144 FTEs to continue mandated Recovery Act oversight beyond
    the expiration of the funding we received to help offset the cost of
    this new responsibility. The total requested increase of 7.9 percent
    will allow us to continue to be responsive in supporting congressional
    mandates and requests.
     the nation's challenges shape gao's fiscal year 2011 expected workload
        GAO stands ready to continue assisting the Congress as it tackles
    the wide array of challenges facing the nation. Our past performance is
    evidence of the critical role our dedicated staff play in helping the
    Congress and the American people better understand issues, both as they
    arise and over the long term. These include:
      --Assessing the government's continuing response to the current
            economic situation, including: assessing the effectiveness of
            financial and regulatory reform efforts and plans to ensure the
            stability of the overall banking, housing, and financial
            markets; conducting oversight of proposed programs to boost the
            economy, including job expansion and investments in
            infrastructure; and continuing to perform our responsibilities
            under the Recovery Act, including bimonthly reviews of how
            selected states and localities use the funds provided and
            quarterly reviews of recipient reports on job creation.
      --Reviewing the government's efforts to identify and act on credible
            threats to homeland and border security, including to
            commercial aviation and seaports as well as those involving
            biological, chemical, and nuclear dimensions.
      --Reviewing U.S. efforts related to Afghanistan, Iraq and other
            regions in conflict, including reviewing the effect of drawing
            down resources in Iraq, providing more resources to
            Afghanistan, and retooling operations in Pakistan.
      --Supporting health care financing and reform efforts through
            analyses of Medicare, Medicaid, and other health programs.
      --Identifying elements to help address the nation's financial
            challenges including Social Security, tax reform, retirement,
            and disability programs; opportunities to reduce spending; and
            reducing the gap between taxes owed and taxes collected.
      --Performing specialized studies and technology assessments of a wide
            range of science and technology issues, such as climate change,
            the challenges of developing sophisticated space and defense
            systems, and green energy.
      --Focusing on major areas that are at high-risk, including the U.S.
            Postal Service's financial condition, oversight of food and
            drug safety, and cybersecurity efforts.
        GAO is uniquely positioned to support the Congress. For instance,
    pressures to reduce the federal deficit following an economic recovery
    will require a greater need for the type of analyses that are a
    hallmark of GAO. We recently were tasked by statute to provide an
    annual report addressing overlap and duplication among federal
    programs. Also, through our long-standing focus on high-risk programs
    and other activities, we can identify for policymakers the agencies and
    programs that require priority attention. These include helping focus
    on ways to help reduce improper federal payments, estimated at $98.7
    billion in fiscal year 2009, and the $290 billion estimated tax gap. In
    addition, our dedicated and multidisciplinary staff have substantive
    agency and program expertise, as well as expertise in conducting
    financial and performance audits, program evaluations, policy analyses,
    and technology assessments.
        In March 2010, GAO issued an exposure draft of our 2010-2015
    Strategic Plan for serving the Congress, which describes our proposed
    goals and strategies for supporting the Congress and the nation as the
    United States undergoes a period of transformation, daunting
    challenges, and opportunities. Our framework is attached as appendix I.
                   gao continues to be an employer of choice
        Recognizing that GAO's accomplishments are a direct result of our
    dedicated workforce, management continuously strives to maintain a work
    environment that promotes employee well-being and productivity, and to
    be a world-class professional services organization. In both 2007 and
    2009, GAO ranked second in the ``Best Places to Work'' rankings
    sponsored by the Partnership for Public Service. We are also proud of
    the current results from our 2009 annual employee feedback survey which
    indicate that employee satisfaction continues to increase. Importantly,
    the results of the 2009 annual employee feedback survey--the highest
    scores to date--provided GAO management with valuable information on
    how we can continue to attract and retain top talent.
        GAO regularly seeks and values the input we receive from our
    employee organizations: the Diversity Advisory Council, Employee
    Advisory Council, and GAO Employees Union, International Federation of
    Professional & Technical Engineers, Local 1921 (the Union).
    Collaboration with these organizations has resulted in a number of
    improvements in GAO processes, including improved field-office working
    conditions; enhanced quality-control documentation that help staff
    ensure that our practices follow GAO policy and generally accepted
    government auditing standards; and new demographic questions on the
    annual GAO employee feedback survey that allow GAO management to track
    the views of certain employee populations. Also, GAO and the Union have
    made significant progress toward developing a master collective
    bargaining agreement.
        GAO continues to make progress toward our goal to create a more
    inclusive work environment. The most recent data show that
    representation of minority groups in our workforce equals or exceeds
    the representation in the relevant civilian labor force. As of April
    2009, minorities represented about 30 percent of GAO's total workforce
    and women constituted nearly 60 percent. By comparison, in the civilian
    labor force minorities represented about 27 percent and women about 47
    percent. With our approach to continuous improvement, several areas
    merit continued attention, such as increasing the representation of
    Hispanics and the disabled in the total workforce. Looking forward, our
    action plan focuses on three areas: recruitment and hiring, staff
    development, and efforts to create a more inclusive work environment.
    We will continue to consult with the Union and all employee groups as
    we implement this action plan.
        Our fiscal year 2011 budget provides funds to continue to
    strengthen employee development and benefits programs. We have also
    identified savings and efficiencies within our budget and plan to
    reinvest these resources to implement enabling technologies, such as
    energy improvements.
                     gao's fiscal year 2011 budget request
        As a people-intensive organization, about 80 percent of GAO's
    budget funds compensation and benefits for over 3,300 employees, with
    the balance funding mandatory operating expenses, such as rent for
    field office locations, security services, and other critical
    infrastructure services required for ongoing operations.
        GAO is requesting an increase of $22.6 million to maintain our
    current capacity to provide timely, high-quality responses to
    congressional requests for assistance, and $21.6 million to support
    staff currently working on mandated Recovery Act oversight. About 90
    percent of the requested increase supports mandatory compensation and
    benefits.
        A summary of our fiscal year 2011 request is shown in the following
    table and explained in further detail below.

                                 TABLE 1.--FISCAL YEAR 2011 SUMMARY OF REQUESTED CHANGES
                                                 [Dollars in thousands]
    ----------------------------------------------------------------------------------------------------------------
                                                                                                        Cumulative
                                                                                                       percentage of
                                                                                                        change from
                            Budget category                               FTEs            Amount        fiscal year
                                                                                                      2010 to fiscal
                                                                                                         year 2011
    ----------------------------------------------------------------------------------------------------------------
    Fiscal Year 2009 actual costs..................................           3,141        $529,526   ..............
    Fiscal Year 2010 enacted level.................................           3,221         556,849   ..............
    Changes to the base:
        Maintaining staff capacity.................................              49          20,444              3.7
        Nonpay inflation and annualization.........................  ..............           6,420              4.8
        Change in offsetting collections/reimbursements............  ..............          (4,225)             4.1
        Efficiencies/savings and nonrecurring costs................  ..............          (8,032)             2.3
        Resource reinvestment......................................  ..............           8,030              4.1
                                                                    ------------------------------------------------
          Subtotal--changes to the base............................              49          22,637              4.1
                                                                    ================================================
    Recovery Act (to maintain existing staff) \1\..................             144          21,631              7.9
                                                                    ------------------------------------------------
          Total appropriation--salaries and expenses...............           3,414         601,117              7.9
    ----------------------------------------------------------------------------------------------------------------
    \1\ These staff are funded in fiscal year 2010 by Recovery Act resources provided to GAO to help offset costs
      for mandated oversight. While the oversight continues, the funds expire at the end of fiscal year 2010.

    Source: GAO.

        Maintaining staff capacity includes $20.4 million to maintain our
    projected fiscal year 2010 onboard staff at a full-time equivalent
    (FTE) level of 3,270 FTEs to enable GAO to continue to meet our
    increased responsibilities in a timely manner. The requested increase
    primarily includes: the full-year cost to maintain the workforce in
    fiscal year 2011 resulting from fiscal year 2010 hiring and pay
    actions; mandatory January 2011 pay increase at 1.4 percent based on
    Office of Management and Budget guidance; and performance-based pay
    increases in lieu of executive branch General Schedule within-grade
    increases.
        Nonpay inflation and annualization includes $6.4 million to
    maintain purchasing power, sustain fiscal year 2010 operating levels,
    and cover projected inflationary increases in common carrier
    transportation costs, travel per diem rates, training, supplies and
    materials, and other essential mission-support services based on
    negotiated contracts, vendor notification, or historical trend data.
        Change in offsetting collections/reimbursements reflects an
    increase of $4.2 million in rental income and reimbursement from
    financial audits that reduces our request for appropriated funds.
        Efficiencies and nonrecurring costs reflect $8 million of
    efficiencies and nonrecurring fiscal year 2010 costs resulting from:
    technology consolidations, such as our new core human capital system
    and integrated E-Gov travel solution; and enhanced building operations,
    including the installation of a gas- and solar-powered water boiler to
    improve energy efficiency.
        Resource reinvestment reinvests $8 million of nonrecurring fiscal
    year 2010 costs and operational efficiencies to: further enhance our
    information technology programs to enhance productivity and
    effectiveness; continue to address management challenges through
    increased information and physical security, enhanced appraisal
    systems, and retention incentives; continue cyclical building
    maintenance and repairs and enhance energy efficiency; and bolster
    support for audit engagements and technology assessments.
        Recovery Act includes funds to continue the 144 FTEs necessary to
    help offset the cost to conduct the mandated oversight of the use of
    the funds provided in the Recovery Act to help ensure transparency and
    accountability. No new staff would be hired.
                               concluding remarks
        With the strong support of the Congress and this subcommittee, in
    fiscal years 2009 and 2010 GAO increased our staff capacity. Our fiscal
    year 2011 budget request is prudent and essential to ensure that we can
    maintain this capacity and continue to provide timely, high-quality
    assistance to the Congress in confronting the critical economic,
    financial and security challenges facing the nation.
        We have a proven track record of helping the Congress evaluate
    critical issues of national importance and improving the transparency
    and accountability of government for the American people. For example,
    our work in the banking sector provided a framework that can be used to
    help reform the financial regulatory system and to evaluate proposals
    to ensure that any new regulatory system is sufficiently comprehensive,
    addresses risks, and adequately protects consumers. Over the past 2
    fiscal years our work yielded significant results. For example, during
    this period we delivered expert testimony on average at about 250
    congressional hearings. We also documented on average over 1,300
    actions taken by agencies and the Congress in response to our
    recommendations for improvements in government services and operations
    and changes to law. In addition, we recorded on average about $50
    billion in financial benefits, resulting in a return on investment in
    fiscal year 2009 of $80 for every dollar the Congress invested in
    us.\1\
    ---------------------------------------------------------------------------
        \1\ For additional information on GAO's fiscal year 2009
    accomplishments, see GAO's Performance & Accountability Report, Fiscal
    Year 2009, and Summary of GAO's Performance and Financial Information,
    Fiscal Year 2009, available at [hyperlink, http://www.gao.gov/about/
    strategic.html]. Examples of how GAO assisted the nation and selected
    issues on which senior GAO officials testified at congressional
    hearings in fiscal year 2009 are included in appendixes II and III.
    ---------------------------------------------------------------------------
        We remain committed to providing accurate, objective, nonpartisan,
    and constructive information to the Congress to help it conduct
    effective oversight and fulfill its constitutional responsibilities. I
    appreciate, as always, your careful consideration of our submission and
    look forward to discussing our proposal with you.
        Mr. Chairman, Ranking Member Murkowski, this concludes my prepared
    statement. We would be pleased to respond to any questions that you or
    other members of the subcommittee might have.
    appendix i.--serving the congress and the nation: gao's strategic plan
                                   framework
        Mission.--GAO exists to support the Congress in meeting its
    constitutional responsibilities and to help improve the performance and
    ensure the accountability of the federal government for the benefit of
    the American people.
        Trends.--National Security Threats; Fiscal Sustainability
    Challenges; Economic Recovery and Growth; Global Interdependence;
    Science and Technology; Networks and Virtualization; Shifting Roles of
    Government; Demographic and Societal Change.

    ------------------------------------------------------------------------
                       Goals                             Objectives
    ------------------------------------------------------------------------
    Provide Timely, Quality Service to the
     Congress and the Federal Government:
        to Address Current and Emerging         Health care needs; Lifelong
         Challenges to the Well-being and        learning; Benefits and
         Financial Security of the American      protections for workers,
         People related to                       families, and children;
                                                 Financial security;
                                                 Effective system of
                                                 justice; Viable
                                                 communities; Stable
                                                 financial system and
                                                 consumer protection;
                                                 Stewardship of natural
                                                 resources and the
                                                 environment;
                                                 Infrastructure.
        Respond to Changing Security Threats    Homeland security; Military
         and the Challenges of Global            capabilities and readiness;
         Interdependence involving               Advancement of U.S.
                                                 Interests; Global market
                                                 forces.
    Help Transform the Federal Government to    Government's fiscal position
     Address National Challenges by assessing.   and options for closing
                                                 gap; Fraud, waste, and
                                                 abuse; Major management
                                                 challenges and program
                                                 risks.
    Maximize the Value of GAO by Enabling       Efficiency, effectiveness,
     Quality, Timely Service to the Congress     and quality; Diverse and
     and Being a Leading Practices Federal       inclusive work environment;
     Agency in the areas of.                     Professional networks and
                                                 collaboration;
                                                 Institutional stewardship
                                                 and resource management.
    ------------------------------------------------------------------------

        Core Values.--Accountability; Integrity; Reliability.
          appendix ii.--how gao assisted the nation, fiscal year 2009
        Strategic Goal 1.--Provide timely, quality service to the Congress
    and the federal government to address current and emerging challenges
    to the well-being and financial security of the American people:
      --Highlighted weaknesses in the Food and Drug Administration's
            oversight of medical devices;
      --Helped to improve the healthcare provided wounded soldiers
            returning home;
      --Investigated the death and abuse of children at public and private
            schools;
      --Recommended additional oversight and controls of voluntary
            workplace safety and health programs administered by some
            companies;
      --Enhanced management at the Pension Benefit Guaranty Corporation;
      --Enhanced federal efforts to combat drug trafficking;
      --Identified ways the Department of Housing and Urban Development
            could promote energy efficiency and green building in federal
            public housing programs;
      --Informed the debate on hardrock mining reform;
      --Reported on the Environmental Protection Agency's reforms of its
            toxic chemical assessment process;
      --Informed the Congress about the U.S. Postal Service's deteriorating
            financial situation.
        Strategic Goal 2.--Provide timely, quality service to the Congress
    and the federal government to respond to changing security threats and
    the challenges of global interdependence:
      --Recommended actions to improve the Department of Defense's (DOD)
            management of contractors in Iraq and Afghanistan;
      --Helped the Congress assess DOD's ability to provide trained and
            ready forces for military operations;
      --Recommended that the State Department develop outcome measures for
            its capacity-building program in Iraq;
      --Helped to improve DOD's accounting of weapons provided to Afghan
            security forces;
      --Helped to strengthen aviation security through improved passenger
            watch-list matching;
      --Developed a framework to help the Congress evaluate proposals for
            revamping the U.S. financial regulatory system;
      --Helped to assess the implementation of TARP;
      --Informed the Congress about weaknesses in lender data that limit
            regulators' ability to identify financial institutions at
            higher risk of discriminatory lending practices.
        Strategic Goal 3.--Help transform the federal government's role and
    how it does business to meet 21st century challenges:
      --Helped to track how states and localities are using Recovery Act
            funds;
      --Strengthened federal planning and preparedness efforts for the
            influenza pandemic;
      --Helped DOD and the Department of Veterans Affairs better share
            electronic health records;
      --Identified shortcomings in the Department of Homeland Security's
            management of major acquisitions;
      --Tested the adequacy of the complaint intake process at the
            Department of Labor's Wage and Hour Division;
      --Helped to reduce governmentwide improper payments;
      --Recommended ways to reduce tax noncompliance.
        Strategic Goal 4.--Maximize the value of GAO by being a model
    federal agency and a world-class professional services organization:
      --Mobilized staff quickly to conduct mandated oversight work and
            ensure accountability of the federal assistance available
            through the Recovery Act;
      --Contributed to enhancing the ability of the domestic accountability
            community to prevent fraud, waste, and abuse of federal funds;
      --Helped enhance international accountability organizations' capacity
            to implement strong professional standards by sponsoring
            training and participating in international forums.
           appendix iii.--selected testimony issues, fiscal year 2009
        Goal 1.--Address Challenges to the Well-Being and Financial
    Security of the American People:
      --Auto industry bailout;
      --Nonprime home loans and rising foreclosures;
      --Pension Benefit Guaranty Corporation financial challenges;
      --Social Security Administration challenges with disability claims
            processing;
      --Wildland fire management;
      --Mental health services for Hurricane Katrina's youngest victims;
      --Clean water trust fund;
      --Department of Veterans Affairs (VA) healthcare for women veterans;
      --Corporate crime and deferred prosecutions;
      --D.C. public school reform efforts;
      --Limiting United States Postal Service losses;
      --Reverse mortgages;
      --Crime victims' rights;
      --Federal Protective Service.
        Goal 2.--Respond to Changing Security Threats and the Challenges of
    Globalization:
      --U.S. strategies and plans in Iraq, Afghanistan, and Pakistan;
      --Reforming U.S. defense acquisitions;
      --Planning future army combat systems;
      --DOD's business transformation;
      --Financial regulators' oversight of large financial institutions;
      --Security and Exchange Commission enforcement resources;
      --TARP;
      --U.S. cybersecurity strategy;
      --Screening air cargo on passenger aircraft;
      --Post-Katrina Emergency Management Reform Act;
      --Climate change trade measures;
      --Small Business Administration Disaster Loan Program reforms.
        Goal 3.--Help Transform the Federal Government's Role and How It
    Does Business:
      --Recovery Act;
      --Influenza pandemic;
      --Health IT;
      --Management of DOD contractors;
      --Key National Aeronautics and Space Administration challenges;
      --U.S. government financial statements;
      --2010 Census preparations;
      --Improper federal payments to suspended businesses;
      --Offshore financial activity and tax enforcement;
      --VA and DOD electronic health records;
      --Illegal export of military technology.

                           GOVERNMENT PRINTING OFFICE

    STATEMENT OF ROBERT C. TAPELLA, PUBLIC PRINTER
        Senator Nelson. Mr. Tapella.
        Mr. Tapella. Chairman Nelson, Senator Murkowski, and
    members of the subcommittee, thank you for inviting me here
    today to discuss GPO's appropriations request for fiscal year
    2011.
        I have submitted my prepared statement for the record, and
    I would just like to make a few brief remarks with your
    permission.
        I want to begin by thanking the subcommittee for your
    support for GPO's appropriations request last year, fiscal year
    2010. In addition to funding our congressional printing and
    documents distribution operations, these appropriated funds
    included working capital for critical IT projects, including
    our Federal Digital System, and Oracle financial system, as
    well as the initiation of our composition system replacement
    project.
        It also provided funds for the ongoing renovation of GPO's
    elevators, both passenger and freight. Your recommendation of
    these funds is deeply appreciated both by me and the 2,300
    employees at GPO.
        For fiscal year 2011, we are requesting a modest increase
    of 3 percent for our congressional printing and binding funds
    to cover projected volume requirements for a first session
    year. As you are aware, GPO does not control the amount of
    printing Congress requires. We simply fulfill your needs and
    use historical data to project workloads.
        For our Superintendent of Documents programs, we need to
    fund mandatory wage and price level requirements, ongoing
    projects supporting depository libraries, and operating
    expenses for the Federal Digital System that are attributable
    to this program. For this account, we have about $1.5 million
    available in prior year unspent funds that could be transferred
    forward with your approval. So we will be requesting your
    approval. That transfer would reduce our requirement for new
    funds to an increase of only 4 percent.
        For our revolving fund, we are seeking an addition to
    working capital that would cover a range of investments in IT,
    continuity of operations, facilities repair, and workforce
    retraining programs. As you know, our revolving fund was
    created in 1953, and Congress periodically has provided working
    capital to ensure the operation and maintenance of the
    Government Printing Office.
        In view of the state of the economy and the constraints on
    the Federal budget, we fully understand there are limitations
    on what this subcommittee can recommend. And so, I would like
    to briefly discuss our priorities. Chief among these is the
    need to continue the development of FDsys, our world-class
    content management system, as well as our project to replace
    the last of GPO's legacy automated systems with Oracle-based
    systems.
        Both of these investments are already yielding improvements
    in service and cost reductions. Our project to implement a
    digitally based advanced print technology at GPO, along with an
    automated workflow management system, is critical to achieving
    future economies in the production of congressional printing.
        As GPO's experience has shown perhaps better than any
    legislative branch agency, investments in technology made today
    will yield significant and lasting savings tomorrow. We have
    clearly shown that in the chart on page A2 of the budget
    justification submitted to this subcommittee, and the
    Congressional Research Service shared similar findings to
    Congress in a report last year.
        In addition to continuing repairs on our aging buildings,
    especially our elevators, ensuring the continuity of
    operations, or COOP, in support of congressional and other
    agency activities is an important priority. Recently, we
    brought a systematic approach to COOP planning, and we are
    working very closely with the House and Senate, as well as
    other entities like the Office of the Federal Register.
        Our focus is to prepare GPO to respond to a spectrum of
    emergencies from the purely local--such as severe weather, a
    power outage, or a fire--to the catastrophic. Though not
    specified as such in our original submission, I consider it a
    top priority among our COOP projects to complete the work on a
    full system failover capability for FDsys, a need that was
    accurately pointed out during the public hearings before the
    House Legislative Branch Appropriations Subcommittee in
    February.
        One final note. This is going to be another tough year for
    GPO, as it is for other agencies and businesses across America.
    We are continuing to cut costs and scale back expenditures to
    ensure we live within our budget.
        Last year, with your understanding and support, we finished
    on a sound financial basis, generating a modest net income
    before other operating expenses. We are targeting a similar
    financial performance this year--positive, but very modest.

                               PREPARED STATEMENT

        Chairman Nelson, Senator Murkowski, and members of the
    subcommittee, this concludes my remarks.
        Thank you.
        Senator Nelson. Thank you.
        [The statement follows:]
                    Prepared Statement of Robert C. Tapella
        Chairman Nelson, Senator Murkowski, and Members of the Subcommittee
    on Legislative Branch Appropriations: It is an honor to be here today
    to discuss the appropriations request of the Government Printing Office
    (GPO) for fiscal year 2011.
                          results of fiscal year 2009
        Fiscal year 2009 began with a flood of activity associated with
    completing the necessary printing, binding, and related work supporting
    the impending transition of Administrations. For the Presidential
    inauguration, GPO completed a broad variety of printed materials, which
    for the first time included the production of secure credentials for
    law enforcement personnel involved with the event.
        We also issued the quadrennially popular ``Plum Book'', known
    officially as ``Policy and Supporting Positions'', which was printed on
    behalf of the Senate Committee on Homeland Security and Governmental
    Affairs. Following the inauguration, GPO printed the official portraits
    of President Obama and Vice President Biden for placement by the
    General Services Administration (GSA) in more than 7,000 Federal
    Government installations around the globe. Rounding out this effort,
    during the year GPO produced the Congressional Directory for the 111th
    Congress, issued by the Joint Committee on Printing, which includes a
    comprehensive directory to both the Senate and the House of
    Representatives as well as the officials of the incoming
    Administration.
        Throughout the year, GPO worked to fulfill its pledge of support
    for President Obama's Open Government Initiative. In February, we
    launched our Federal Digital System (FDsys, at www.fdsys.gov), a world-
    class information management system developed to authenticate,
    preserve, and provide permanent public access to official Federal
    publications. We also offered a number of suggestions to the
    Administration to help implement the President's initiative, including
    providing public documents housed on FDsys in XML format to facilitate
    a greater range of user options. In partnership with the National
    Archives and Records Administration's Office of the Federal Register,
    we carried out this suggestion by offering the Federal Register in XML.
    By the year's end we were poised to follow up making the Code of
    Federal Regulations available in XML as well.
        In addition to migrating the databases housed on GPO Access to
    FDsys, GPO also worked with staff from the Library of Congress, the
    Secretary of the Senate, and the Clerk of the House to develop a report
    on bulk data downloads of legislative information, and during the year
    we worked toward a plan for digitizing printed documents within the
    Federal depository library collection for online public access.
        To fully support the commitment to environmental sustainability
    announced by the President and Congress, GPO is developing its future
    based on environmental sustainability. This means more than just going
    green: it means expanding our digital operations and making changes in
    paper, inks, equipment configurations, and energy sources so that we
    can support our customers in Congress, Federal agencies, and the public
    in a more efficient and environmentally responsible way.
        During the year, with the help of funding provided to the GSA
    through the American Recovery and Reinvestment Act, we upgraded GPO's
    vehicle fleet with more fuel efficient and environmentally friendly
    vehicles. With the approval of the Joint Committee on Printing, we
    increased the postconsumer waste content of the newsprint we use to
    print the Congressional Record and the Federal Register from 40 percent
    to 100 percent. We also began an evaluation of how digital printing
    technologies can help us meet our production requirements in the 21st
    century.
        GPO continued making progress in providing new options to meet the
    Government's secure credential needs. Along with the credentials
    supporting the Presidential inauguration, we designed, printed,
    encoded, personalized, and shipped more than 500,000 Trusted Traveler
    Program cards (NEXUS, SENTRI, and FAST) for the Department of Homeland
    Security's Customs and Border Protection, and developed additional
    cards to support the Western Hemisphere Travel Initiative, the Medicare
    program in Puerto Rico, and other Federal identification programs. Our
    smart card production operation is a rapidly growing segment of GPO's
    Secure and Intelligent Documents business unit, building on the
    expertise and capabilities we bring to our longstanding passport
    production operations.
        Historically, the events dominating Congress and the Administration
    are reflected in the work produced by GPO, and 2009 was no exception.
    During the year, GPO recorded the debates and printed the legislation
    resulting in the American Recovery and Reinvestment Act, as well as the
    documents associated with consideration of healthcare reform in the
    House and the Senate and the various appropriations bills and other
    business before Congress. We also completed production of the main
    edition of the U.S. Code. GPO worked through the year to produce the
    documents required for the upcoming decennial census, and also produced
    thousands of traveler cards providing information on the H1N1 (swine
    flu) virus on behalf of the Centers for Disease Control.
        To help the public find access to these and other documents, we
    created a new e-mail alert system that attracted thousands of
    subscribers, and we upgraded GPO's online Catalog of Government
    Publications to help users find documents in nearby depository
    libraries. We also carried on a longstanding GPO responsibility by
    updating and issuing a new edition of the GPO Style Manual, a
    publication that has served as a guide to the form and style of Federal
    printing for more than century.
        GPO's process improvement initiatives focused on obtaining
    certification under the International Organization for Standardization
    (ISO) 9001, a quality management system, and the implementation of 5S,
    a lean manufacturing program. ISO 9001 certification will ensure GPO's
    continued delivery of products and services that meet customer
    expectations, conserve agency resources, increase efficiency, reduce
    waste, and improve quality. The 5S program instills employee process
    ownership and communicates and maintains organization of workspaces.
        I'm pleased to report that the audit of our financial reports and
    systems for fiscal year 2009 conducted by KPMG LLP resulted in an
    ``unqualified,'' or clean, opinion for GPO. We completed the year with
    a net income of $1.2 million on total revenues of $934.1 million,
    excluding Other Operating Expenses of $4.1 million for an adjustment to
    GPO's long term workers' compensation liability and $1.2 million for a
    capitalized software impairment loss.
        The change in business from the previous year was attributable
    primarily to a reduction in overall passport production operations. The
    adjustment to workers' compensation liability and the capitalized
    impairment loss did not place GPO in an anti-deficiency position or
    require additional appropriations, and the state of GPO's finances
    remains sound, particularly as the result of increased new business
    opportunities in the secure and intelligent documents arena and
    continuing efficiencies achieved as a result of the sustained
    transformation GPO has undergone over the past decade.
        GPO made substantial progress in 2009. By the end of the year, we
    began developing plans for the observance of our 150th anniversary,
    dating to the enactment of the congressional resolution of June 23,
    1860, which established the Government Printing Office, and to March 4,
    1861, the day we first opened for business. We look forward to
    celebrating a century and a half of accomplishment in the coming year.
                    fiscal year 2011 appropriations request
        For fiscal year 2011, we are requesting a total of $166,560,000,
    which will enable us to:
      --meet projected requirements for GPO's congressional printing and
            binding operations during fiscal year 2011 and recover the
            shortfall in this account accumulated in fiscal year 2009 and
            projected for fiscal year 2010;
      --fund the operation of GPO's Superintendent of Documents programs
            and provide investment funds for necessary information
            dissemination projects;
      --continue the development of FDsys and implement other improvements
            to GPO's information technology infrastructure, perform
            essential maintenance and repairs to our aging buildings,
            undertake necessary continuity of operations (COOP)
            initiatives, and provide funding for employee retraining and
            workforce development.
                       congressional printing and binding

    ------------------------------------------------------------------------
                                                                  Amount
    ------------------------------------------------------------------------
    Fiscal year 2010 approved..............................     $93,768,000
    Fiscal year 2011 request...............................      96,652,000
                                                            ----------------
          Change...........................................       2,884,000
                                                            ================
    Change includes:
        Price level changes................................       4,192,000
        Volume changes.....................................      (2,844,000)
        Elimination of shortfall...........................       1,536,000
    ------------------------------------------------------------------------

        This appropriation pays for the printing and binding for Congress
    as authorized by Title 44, U.S.C., and related statutes. GPO produces
    the daily and permanent editions of the Congressional Record, bills,
    resolutions, amendments, hearings, committee reports, committee prints,
    documents, stationery, and a wide variety of other products, in both
    print and online formats, that are essential to the legislative process
    in Congress. GPO provides Congress with immediate, reliable service in
    a work environment under its direct control.
        For fiscal year 2011, we are requesting $96,652,000 for this
    account, representing an increase of $2,884,000 over the level approved
    for fiscal year 2010.
        Included in the increase is $1,536,000 to fund the shortfall in
    this appropriation accumulated in fiscal year 2009 and projected for
    fiscal year 2010. The shortfall occurred primarily due to increased
    volume for bills, resolutions, amendments, and hearings over our
    original estimates.
        The balance represents a combination of price level increases that
    are attributable primarily to existing wage contracts and projected
    cost increases for materials and supplies, as well as estimated volume
    changes in certain workload categories based on historical data for
    first session years.
        GPO projects an overall volume decrease due to projected workload
    decreases for the daily Congressional Record, business calendars,
    document envelopes and franks, and hearings. These decreases are offset
    in part by projected increased volume for miscellaneous printing and
    services, which will include funding for content management services
    provided for congressional documents maintained on FDsys; committee
    prints; miscellaneous publications including the Congressional
    Directory for the 112th Congress; bills, resolutions, and amendments;
    committee reports; details to Congress including funding for details to
    House committees; documents; and the Congressional Record Index.
            salaries and expenses of the superintendent of documents

    ------------------------------------------------------------------------
                                                                  Amount
    ------------------------------------------------------------------------
    Fiscal year 2010 approved...............................     $40,911,000
    Fiscal year 2011 request................................      44,208,000
                                                             ---------------
          Change............................................       3,297,000
                                                             ===============
    Change includes:
        Mandatory requirements..............................       1,452,000
        Investment requirements.............................       1,845,000
    ------------------------------------------------------------------------

        Under the relevant provisions of Title 44, U.S.C., GPO carries out
    its mission to Keep America Informed through the information
    dissemination programs of the Superintendent of Documents. These
    programs include the distribution of publications to approximately
    1,250 Federal depository libraries nationwide (averaging nearly 3 per
    congressional district), cataloging and indexing, distribution to
    recipients designated by law, and distribution to foreign libraries
    which provide the Library of Congress with copies of their official
    Government documents in exchange. In addition, GPO's Government
    documents Web site, GPO Access, and its successor, FDsys, provide free
    online access to nearly a quarter million titles, including the
    Congressional Record, the Federal Register, Supreme Court opinions,
    congressional bills and reports, and other publications, from both
    GPO's servers and links to servers in other Federal agencies.
        For fiscal year 2011, we are requesting $44,208,000 for this
    account, an increase of $3,297,000 over the level approved for fiscal
    year 2010. The increase is requested to cover mandatory pay and price
    level increases and continue improving public access to Government
    information in electronic formats.
        Of the total increase, $1,452,000 is for mandatory requirements,
    which include $715,000 for pay and price level changes and $737,000 for
    the level of overhead required to be distributed to Salaries and
    Expenses programs (the pay raise as submitted was calculated at an
    increase of 1.6 percent; an adjustment of this increase to 1.4 percent,
    the amount included in the President's budget, would result in a
    decrease of $26,000 from pay and price level changes).
        The increase includes $1,845,000 for continuing investment
    requirements. This includes $2,000,000 for FDsys annual operating costs
    attributable to Superintendent of Documents programs, offset by a
    reduction of $155,000 in the continued costs of specific projects
    supporting the Federal Depository Library Program and the Cataloging
    and Indexing program, including the modernization of legacy systems,
    expansion of cataloging and indexing services, establishment and
    utilization of outcomes-based performance measures for depository
    libraries, and funds supporting the digitization of historical print
    documents pending approval of a project for that purpose by the Joint
    Committee on Printing.
        GPO has the authority--with the approval of the Committees on
    Appropriations--to transfer forward the unexpended balances of prior
    year appropriations to the revolving fund, provided the funding is used
    to carry out the purposes for which it was originally appropriated. At
    this date there is approximately $1,500,000 remaining unexpended from
    the Salaries and Expenses Appropriation from fiscal year 2005. These
    funds could be transferred forward to offset part of the new funding
    requested for this account for fiscal year 2011.
                                 revolving fund

    ------------------------------------------------------------------------
                                                                  Amount
    ------------------------------------------------------------------------
    Fiscal year 2010 approved..............................     $12,782,000
    Fiscal year 2011 request...............................      25,700,000
                                                            ----------------
          Change...........................................      12,918,000
                                                            ================
    Change includes:
        Investments in information technology..............        (782,000)
        Facilities maintenance and repair..................       6,250,000
        Continuity of operations (COOP)....................       4,200,000
        Workforce retraining...............................       3,250,000
    ------------------------------------------------------------------------

        All GPO activities are financed through a business-like revolving
    fund. The fund is used to pay all of GPO's costs in performing
    congressional and agency printing, printing procurement, and
    distribution activities. It is reimbursed from payments from customer
    agencies, sales to the public, and transfers from the Congressional
    Printing and Binding Appropriation and the Salaries and Expenses
    Appropriation of the Superintendent of Documents. The basic purpose of
    the revolving fund is to provide temporary financing for GPO operations
    pending the collection of funds for work performed. Whenever GPO has
    significant investment projects that require additional working
    capital, we seek appropriations to the revolving fund to cover the cost
    of those projects.
        For fiscal year 2011, we are requesting $25,700,000 for this
    account, to remain available until expended, to fund essential
    investments in information technology development, facilities
    maintenance and repair, COOP projects, and workforce retraining. This
    represents an increase of $12,918,000 over the level of funding
    provided for fiscal year 2010.
        The request includes $11,000,000 for information technology
    development. This is a decrease of $782,000 from the amount of funding
    provided for this purpose for fiscal year 2010. It includes $6,000,000
    to continue developing FDsys; $2,000,000 for our Advanced Print
    Technology project, which is reviewing the potential for increasing the
    use of digital printing and automated workflow technologies to meet
    congressional and agency printing needs; $1,500,000 to continue work
    with our project to replace GPO's aging automated composition system;
    and $1,500,000 to continue replacing GPO's legacy business systems with
    an integrated network of Oracle systems.
        We are requesting $7,250,000 for facilities repair and related
    projects, an increase of $6,250,000 over the amount provided for this
    purpose for fiscal year 2010. It includes $2,000,000 for continued
    elevator repairs; $2,000,000 initiate the process of relocating
    production operations from GPO's building 4 to the main GPO complex;
    $2,000,000 to begin the systematic upgrade of GPO's electrical,
    plumbing, and structural infrastructure; $1,000,000 for utility
    monitoring and controls to improve energy efficiency; and $250,000 to
    design and install a public exhibit in support of the observance of
    GPO's 150th anniversary in March 2011 and to serve as continuing
    exhibit space.
        We are requesting funding for COOP and workforce retraining
    projects for fiscal year 2011, and have submitted the necessary
    language changes for this purpose. For COOP, we are requesting
    $2,200,000 to locate and begin equipping a remote COOP operating and
    command center, pending approval by the Joint Committee on Printing,
    and $2,000,000 for an onsite generator at GPO to supply power to the
    data center supporting production of congressional and agency
    requirements.
        We are requesting $3,250,000 for several workforce retraining and
    development programs, including $1,000,000 for a Plant Operations
    Curriculum to build digital competencies; $500,000 for supervisor
    development; $500,000 for continuing education for basic skills
    development; $500,000 for certification programs in finance and
    accounting; $500,000 for a marketing curriculum; and $250,000 for a
    technology integration program for training needs assessments and the
    provision of specialized training to operators and users of business
    support technology programs.
        Chairman Nelson, Senator Murkowski, and Members of the
    Subcommittee, we look forward to working with you, and with your
    support we can continue GPO's record of achievement. This concludes my
    prepared statement, and I would be pleased to answer any questions the
    Subcommittee may have.

                          CONGRESSIONAL BUDGET OFFICE

    STATEMENT OF DOUGLAS W. ELMENDORF, Ph.D., DIRECTOR
        Senator Nelson. Dr. Elmendorf.
        Dr. Elmendorf. Thank you, Chairman Nelson, Senator
    Murkowski, and Senator Pryor. I appreciate the opportunity to
    testify today about the CBO's budget request for fiscal year
    2011.
        We are celebrating our 35th anniversary this year. It seems
    like a long time to us, although it pales next to my colleague
    from the Government Printing Office.
        This has been a very challenging congressional session for
    us. We have produced hundreds of written cost estimates and
    reports, had uncounted conversations with congressional staff
    about the analysis we are doing on proposed legislation and on
    the budget and economic challenges that face the country.

                            CBO deg.HEALTH

        In particular, as you know, and Senator Murkowski
    mentioned, we have devoted a vast amount of time and energy to
    analyzing alternative proposals for reforming the Nation's
    healthcare and health insurance systems. In all of that work,
    the people who are the Congressional Budget Office have
    enhanced CBO's reputation as a provider of analysis that is
    objective, insightful, timely, and clearly explained.
        For fiscal year 2011, we are requesting an appropriation of
    $47.3 million. I have brought along some pictures I think you
    have in front of you to put that request in the context of the
    past few years' appropriations.

                         CBO deg.SUPPLEMENTAL

        For fiscal year 2009, you appropriated $44.1 million to
    CBO. Last year, I came before you and requested $46.4 million.
    While that request was working its way through the
    appropriations process, certain Senators proposed a
    supplemental appropriation for CBO of $2 million. This was not
    our idea. It was intended to bolster our ability to complete
    health estimates rapidly, and the money was put to that
    purpose.

        Because it came late in the fiscal year, we spent just
    $300,000 in fiscal year 2009 and are spending the remaining
    $1.7 million in fiscal year 2010. With this supplemental money
    on the table, our regular appropriation was cut back to $45.2
    million.
        We entirely understand that the supplemental should not be
    a mechanism for CBO to have a permanently higher level of
    appropriations. However, we are concerned that if this year's
    appropriation process begins from last year's regular
    appropriations amount, which was reduced in light of the
    supplemental, then CBO will end up with a permanently lower
    level of appropriations.
        For example, if our budget for fiscal year 2011 were set at
    last year's regular appropriations level of $45.2 million, we
    would need to cut our staff.
        To remove the distorting effect of the supplemental, our
    perspective on this year's request was to begin with our
    request to you last year. Relative to that request of $46.4
    million, this year's request of $47.3 million represents an
    increase of $900,000, or about 2 percent.
        Apart from the complications introduced by the
    supplemental, we view this year's request as the culmination of
    a multiyear plan presented to you 2 years ago to increase the
    size of the agency by roughly 10 percent. The goal, as my
    predecessor described it to you, was to enable CBO to better
    meet the needs of the Congress for analysis related to
    healthcare, financial issues, and other policy areas.

        Indeed, that increase in staffing has been absolutely
    critical to our ability to provide sufficient analyses of these
    topics and others in the past couple of years. Our aim now in
    completing this plan is to increase our full-time equivalents
    (FTEs) from 254 to 258, roughly in line with the 259 that my
    predecessor suggested to you 2 years ago.
        One might wonder why we are not reducing our staff if a
    central rationale for the increase was the demand for analysis
    of health proposals and the current cycle of health reform
    efforts appears to have drawn to a close. One reason is that
    congressional demand for health analysis remains strong. We
    need to incorporate the recently enacted legislation in our
    baseline projections this summer and in all subsequent baseline
    projections.
        We also need to analyze proposed changes in the law, and we
    have already received such proposals from both sides of the
    aisle. The other reason that we cannot reduce our staff without
    hampering our ability to produce analysis is that we simply
    cannot maintain the quantity and the quality of analysis we
    have produced over the past year on an ongoing basis with the
    existing number of people.
        The extraordinary pressure and 7-day a week nearly around-
    the-clock workload of the past year will soon drive good people
    away and diminish the effectiveness of those who stay. It
    really is a choice for us of having additional people or
    reducing the amount of output that we can provide on a year-to-
    year basis.

                               PREPARED STATEMENT

        In closing, though, I would like to thank all of you for
    your strong support of CBO's work in the past. Your support of
    our budget request this year will help us to continue to meet
    our responsibilities to the Congress to the high standards that
    we and you expect.
        Senator Nelson. Thank you.
        Thank you very much.
        [The statement follows:]
                   Prepared Statement of Douglas W. Elmendorf
        Mr. Chairman, Senator Murkowski, and Members of the Subcommittee,
    thank you for the opportunity to present the fiscal year 2011 budget
    request for the Congressional Budget Office (CBO).
        CBO's mission is to provide the Congress with timely, objective,
    nonpartisan analyses of the budget, the economy, and other policy
    issues and to furnish the information and cost estimates required for
    the Congressional budget process. In fulfilling that mission, CBO
    depends on a highly skilled workforce. Approximately 90 percent of the
    agency's appropriation is devoted to pay and benefits; the remaining 10
    percent is for information technology, equipment, supplies, and other
    services.
        The proposed budget for fiscal year 2011 totals $47,289,000, a $2.1
    million or 4.7 percent increase over CBO's regular appropriation for
    fiscal year 2010. CBO also received a supplemental appropriation in
    2009 that was intended to cover additional costs in both 2009 and 2010
    related to the analysis of healthcare legislation. After accounting for
    the portion of that supplemental appropriation that is being used in
    2010 (about $1.7 million), the 2011 request amounts to an increase of
    0.9 percent over CBO's total 2010 funding.
        The proposed $2.1 million increase in CBO's regular appropriation
    is the net of changes in three broad categories:
      --$2 million is for rising mandatory pay and related costs for
            existing staff (including the costs of added staff funded
            through the supplemental);
      --$0.7 million results from CBO's request to increase its number of
            full-time-equivalent positions (FTEs) by 4, from 254 to 258;
            and
      --$0.6 million is cut from nonpay expenditures, made possible
            primarily because CBO will no longer be represented on, and
            providing resources to, the Federal Accounting Standards
            Advisory Board (FASAB).
                       growing demand for cbo's analyses
        The proposed increase in FTEs is the culmination of a multiyear
    plan to enable CBO to better meet the needs of the Congress for
    information and analyses related to healthcare and a broad range of
    other policy areas.
        Between fiscal year 2001 and fiscal year 2008, the number of FTEs
    at CBO averaged 230, and the number varied little from year to year. In
    2008, however, the agency became concerned that it did not have
    sufficient resources to analyze policy changes regarding the delivery
    and financing of healthcare, which were emerging as a critical issue in
    the Congress. In addition, the agency was providing an increasing
    number of testimonies and formal cost estimates and engaging in a
    growing amount of informal analyses for Congressional staff on a wide
    range of topics, so redirecting a significant number of positions
    toward analyzing healthcare did not seem feasible. Accordingly, CBO
    proposed to the Congress a multiyear plan to boost the size of the
    agency to 259 FTEs, an increase of a little more than 10 percent.
    The First Phases of the FTE Increase
        The Congress approved the first phase of the proposed increase for
    fiscal year 2009, and CBO averaged 242 FTEs that year. Analysis of
    competing healthcare proposals absorbed a huge share of the agency's
    resources, and CBO analysts in that area have worked flat out for more
    than a year. At the same time, the financial crisis led to a jump in
    the Federal government's involvement in the financial sector (including
    the creation of the Troubled Asset Relief Program, the conservatorship
    of Fannie Mae and Freddie Mac, and expanded activities of the Federal
    Reserve and the Federal Deposit Insurance Corporation), which increased
    Congressional demand for pertinent analysis, budget projections, and
    cost estimates. Therefore, CBO proposed a further increase in staffing
    for 2010, and the fiscal year 2010 appropriation included an increase
    in funding sufficient to provide for 249 FTEs.
    The 2009 Supplemental Appropriation
        The Congress later approved a 2-year supplemental appropriation
    totaling $2 million, which was designed to enhance CBO's ability to
    provide faster analysis of complex healthcare proposals. That
    supplemental funding covered 5 additional FTEs for 2010, bringing the
    total for this year to 254 FTEs. On the basis of staffing to date, CBO
    appears to be on track to have roughly 254 FTEs, on average, this year.
    The Proposed FTE Increase for Fiscal Year 2011
        For fiscal year 2011, CBO is requesting funding to support 258
    FTEs, 4 more than are funded in fiscal year 2010. That level of
    staffing would essentially complete the multiyear increase that CBO
    proposed 2 years ago.
        In developing its request for 2011, CBO recognized that the current
    surge of demand for analysis of healthcare proposals would probably not
    be sustained. Taken by itself, that point might justify a reduction in
    the number of positions devoted to analyzing healthcare. However, the
    agency is actually requesting a small increase in the number of such
    positions--three FTEs. That request reflects two considerations--first,
    that considerable Congressional interest in analysis of healthcare
    issues is likely to persist, and second, that the almost round-the-
    clock schedule maintained this past year by CBO's current staff cannot
    be maintained.
        Let me elaborate on those points. Now that comprehensive health
    legislation has been enacted, CBO will need to make regular budget
    projections for the new and expanded Federal healthcare programs, and
    it will need to estimate the budget costs and other consequences of
    contemplated changes to those programs. In addition, CBO will probably
    need to respond to Congressional interest in exploring other possible
    changes to the healthcare system. Continued large Federal budget
    deficits and the key role of rising Federal healthcare spending in
    boosting future deficits ensure that health issues will remain central
    to the Congress's deliberations.
        With the current staffing level, CBO cannot continue to produce the
    quantity of health analysis that it completed under the extraordinary
    pressure and almost round-the-clock, 7-day-a-week workload of the past
    year. That work schedule cannot be maintained if CBO is to retain the
    skilled and knowledgeable staff that have been working on health
    analyses. And even with the extraordinary effort of this group during
    the past year, the quantity of analysis that has been produced has not
    been sufficient to meet the needs of many Members of Congress.
        The additional staff CBO is requesting will go, in some
    combination, to the Budget Analysis Division and the Health and Human
    Resources Division. If the needs for health analysis permit, CBO might
    reallocate some analysts in the Health and Human Resources Division
    from work on healthcare to work on income security and education--an
    area in which CBO has fewer analysts than necessary to meet
    Congressional needs.
        The fourth additional FTE requested is for the Management,
    Business, and Information Services Division. That group includes
    information technology (IT) personnel, editors, Web personnel,
    financial managers, and others. As CBO has expanded its analytic staff
    in the past couple of years, the agency has added some staff in those
    support functions as well. The additional position would provide
    administrative support to enable senior members of the staff to focus
    more effectively on their core responsibilities.
             some details of cbo's fiscal year 2011 budget request
        In fiscal year 2011, CBO will continue to focus on its core
    functions of providing budgetary information to the Congress, including
    budget and economic outlook reports, cost estimates, mandate
    statements, and scorekeeping reports. CBO expects to continue its work
    on healthcare, government interventions in financial markets, and
    climate change--providing major policy studies on those topics and
    others--and to further improve its long-term analyses of legislative
    proposals for healthcare and Social Security through the continued
    development of budgetary and economic models.
        CBO's request would fund the following:
      --A workload of roughly 600 formal cost estimates (most of which
            include both estimates of Federal costs of legislation and
            assessments of the cost of mandates included in the legislation
            that would affect state and local governments, Indian tribes,
            or the private sector) and hundreds of informal estimates,
            approximately 100 analytical reports, a variety of other
            products, and a substantial schedule of Congressional
            testimony;
      --A projected 7.3 percent, or $2.2 million, increase in base pay, of
            which $0.5 million would support the four new FTEs and $1.7
            million would support a combination of across-the-board
            increases, promotions, performance bonuses, and merit increases
            for current staff (the across-the-board increase is budgeted at
            1.6 percent for staff earning a salary less than $100,000,
            which is consistent with the pay adjustment requested by most
            other legislative branch agencies);
      --A projected 4.8 percent, or $0.5 million, increase in the cost of
            benefits, of which $0.2 million would go toward the four new
            FTEs and $0.3 million would go toward current staff;
      --The replacement of obsolete office equipment, desktop computers,
            and network servers, at $0.6 million--a decrease of $0.7
            million, based on CBO's current replacement cycle;
      --The acquisition of commercial data necessary for CBO analyses and
            studies, at $0.6 million--an increase of $0.5 million over the
            2010 funding level (partially due to the fact that a portion of
            the agency's current needs in this area are being met through
            the 2-year supplemental appropriation provided in fiscal year
            2009);
      --IT system development, at $0.3 million--the same amount as in
            fiscal year 2010, based on anticipated requirements;
      --Essential software purchases, at $0.3 million--about the same sum
            as in fiscal year 2010, based on anticipated requirements;
      --Telecommunications and telephone services, at $0.3 million--an
            increase of roughly $50,000 to support expanded requirements;
      --Equipment maintenance, at $0.3 million--a little above the fiscal
            year 2010 funding, based on current contracting data;
      --Temporary IT and clerical support, at $0.2 million--the same amount
            as in fiscal year 2010;
      --Expert consulting, at $0.3 million--about the same funding as in
            fiscal year 2010;
      --Purchases of office supplies and subscriptions, at $0.6 million--an
            increase of roughly $70,000, primarily attributable to an
            increase in costs for online subscriptions;
      --Financial management services, including support for auditing,
            payroll, and financial systems, at $0.4 million--a small
            increase from 2010, primarily because of anticipated price
            hikes when renewing option-year contracts (I am pleased to
            report that CBO received its sixth consecutive clean opinion in
            the latest audit of its financial statements);
      --Office furniture and equipment, at $0.3 million--a slight decrease
            from the fiscal year 2010 funding;
      --Travel, at $0.2 million--the same level as fiscal year 2010; and
      --Management and professional training, at $0.2 million--roughly the
            same sum as in fiscal year 2010.
        Because CBO withdrew from the Federal Accounting Standards Advisory
    Board in fiscal year 2010, CBO's request incorporates a savings of $0.5
    million in support previously provided to that body.
        One further consideration in this request for funding for four
    additional FTEs is the capacity of CBO's assigned space in the Ford
    House Office Building. CBO currently has only a handful of unused
    offices, which must accommodate temporary workers (like contractors,
    auditors, and interns). During the past few years, CBO has created a
    number of additional offices by reconfiguring underutilized space, and
    the agency is currently undertaking further modifications in its
    configuration and utilization of space. As a result, a sufficient
    number of new workspaces can be created for all of the FTEs that CBO is
    requesting in this budget.
        In closing, I would like to thank the Committee for the support it
    has provided CBO, enabling the agency to carry out its responsibilities
    to provide information and analysis to the Congress as it grapples with
    the critical issues facing the nation.

                      GPO deg.FACILITIES REPAIRS

        Senator Nelson. Let me start with Mr. Tapella. Your request
    for revolving funds totals $25.7 million and includes
    everything from workforce retraining to building repairs. Are
    any of these items a matter of life and health and fire safety
    priorities that can't be put forward into another year?
        Mr. Tapella. I would say----
        Senator Nelson. Like the elevators in the past, yes.
        Mr. Tapella. What I would say is the continued elevator
    repair is a life and safety issue. GPO has 33 elevators, 31 in
    current operation. Several of them we have shut down over the
    years. We just reopened the first two from funding two cycles
    ago, and it is a serious issue.
        We manufacture on multiple levels. So the freight elevators
    moving congressional work up and down are important. And also,
    as we experienced this year, when we have an emergency
    situation, for example a medical emergency, being able to get
    personnel in and out of the building in a timely fashion is
    absolutely critical.
        And so I would put, in terms of the building projects, the
    elevator repair as our highest priority.

                      GPO deg.INCREASING REVENUES

        Senator Nelson. In terms of increasing revenues, what
    actions have you taken that would result in increasing
    revenues? In other words, getting paid for certain publications
    in the past that have perhaps been free or subsidized as to
    their costs, what actions have you been taking?
        Mr. Tapella. Our greatest area for revenue generation has
    been in our security and intelligent document business, which
    is where we produce the United States passports. We also
    produce the trusted traveler cards for Customs and Border
    Protection. We have made some significant investments in
    infrastructure and equipment for so-called ``smart cards'', and
    among other things, we produced the credential used by law
    enforcement officials for the 2009 inauguration. We are working
    right now with the Department of State to produce credentials
    for diplomats.
        We are working to try to get into the HSPD-12 business,
    which is the identification cards for Federal Government
    employees, and I see that as our greatest growth business. In
    fact, a small piece of it, we have also produced a credential
    for inspectors general in Government.
        I believe that credentials are something that are
    inherently governmental and belong in a Government-owned,
    Government-operated secure facility, and that is where we have
    been focusing. And we have been seeing great results.

                 GAO deg.GAO'S REQUESTED FTE INCREASE

        Senator Nelson. Okay. Mr. Dodaro, can you explain why the
    fiscal year 2011 request includes 49 additional FTEs to
    maintain current staffing levels? I am not sure I understand
    why additional FTEs are necessary to maintain current staffing
    levels.
        Mr. Dodaro. My understanding is that we are requesting
    enough to keep our existing staffing onboard for our base
    request. We are not asking for additional support. Let me just
    clarify that with my team to make sure I give you the proper
    answer.
        Senator Nelson. Okay. Sure.
        Mr. Dodaro. The 49 FTEs are needed to annualize the hiring
    and attrition that will occur throughout the year. It is just
    for the people that we project to have onboard in fiscal year
    2010, to annualize their time through next year. It is not
    needed for additional people, Senator.
        Senator Nelson. So it is not a net increase of FTEs. It is
    what it takes to replace as you have turnover, and is that it?
        Mr. Dodaro. Yes. We have had a little less turnover than we
    had in the past this year due to the economy and the other
    issues, as I am sure you are aware of. But that is just to
    annualize those people that we will have onboard.
        Senator Nelson. Okay. So the attrition rate has declined as
    a result of the economy, and----
        Mr. Dodaro. Yes. And we have adjusted our hiring
    accordingly.

     GAO deg.GAO'S INVOLVEMENT WITH ADMINISTRATIVE ISSUES FACING
                               THE CAPITOL POLICE

        Senator Nelson. Sure. Okay. And let me say that we
    appreciate your work for the subcommittee and helping us with
    your sister legislative branch agencies. For example, I know
    you have done extensive work on the challenges facing the
    Capitol Police, particularly in identifying weakness in the
    Capitol Police's financial management operations.
        What would you say from your standpoint is the biggest
    challenge facing the Capitol Police at the present time, and
    particularly in terms of the accounting issue that they have
    had?
        Mr. Dodaro. We are looking at that issue a little more
    carefully to identify exactly what the root causes of the
    problems are. There are budget formulation issues that we have
    identified in terms of how they prepare the budget, but there
    are also questions about how they execute and keep track of the
    budget and issues that have been raised by their financial
    auditors in the past.
        We are working with their inspector general very carefully.
    We are also going to be meeting with their financial auditors.
    We discussed this with the House Appropriations Committee, and
    I agreed that we would look at this and try to advise the
    Congress on exactly what to do.
        I am confident that over the next couple of months, we can
    figure out exactly what the root causes of the problems are.
    They will need to have the issues documented so they can get
    the proper procedures and controls in place. They also will
    need the proper people to execute those controls to make sure
    there aren't breakdowns again as they have had over this past
    year.
        I am committed to helping the police and you make sure that
    these issues are addressed.
        Senator Nelson. So you would conclude that it is
    essentially an accounting and process and procedures challenge
    that they face, rather than something that would be criminal
    activity?
        Mr. Dodaro. I am not aware of anything right now that would
    fall in that category. I mean, some of our early findings were
    that they had misclassified some things as benefits instead of
    salaries, and because of that, you didn't have the compounding
    of the salaries plus the benefits. And that accounted for some
    of it.
        But we are going to be looking more carefully at it, and if
    there are issues like that, obviously, we would pursue them
    with the inspector general over there. But so far, there is no
    indication of that type of activity.
        Senator Nelson. Thank you.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.
        And I will just be a little bit sarcastic here, but I think
    that we could have avoided some of these budget increases had
    we not been dealing with healthcare reform. Because you look at
    it, Mr. Tapella would not have had to be printing multi-
    thousand pages bills. Dr. Elmendorf would not have to be
    staying up every single night, 7 days a week, analyzing this.
    And Mr. Dodaro would not be having to do the auditing. So I can
    help you with how we deal with the budget increases.
        Senator Nelson. Well, we learn from the past.
        Senator Murkowski. Yes, we do. Well, I think it was you,
    Mr. Dodaro, that said that you anticipate that you will have
    more on your plate in terms of the assessments, the analysis,
    whether it is ongoing with healthcare or what may come ahead
    with financial regulatory reform. I think, again, that is why
    we recognize the importance of all that they do within their
    respective offices.

                    GAO deg.RECOVERY ACT OVERSIGHT

        Mr. Dodaro, let me ask you about the ARRA dollars that you
    received, recognizing that you got the $25 million to help
    offset this additional workload. Did I hear you correctly that
    that either has all been obligated or will be obligated by the
    end of this fiscal year? Is that correct?
        Mr. Dodaro. That is correct. So far, we have obligated
    about $14 million of the $25 million, and we expect to use the
    rest of the money throughout the year. We have also used some
    of our base appropriation.
        Senator Murkowski. Right.
        Mr. Dodaro. But, yes, that money expires, and we will have
    used it all.
        Senator Murkowski. So then with the $21.6 million that you
    are now requesting, do you believe that this is going to be
    sufficient to carry you through 2014, or do you see that there
    is going to be a need for an additional request to help you
    bridge that?
        Mr. Dodaro. Yes. The money we requested this year was for
    the 2011 budget cycle. We will probably need some additional
    bridge money later, given the fact that there is going to be
    money spent beyond fiscal year 2011. But we will have to see in
    terms of the spend-out rates.
        The estimates from CBO, which have been fairly reliable so
    far, are that the outlays for 2011 would be about $63 billion
    additional, and then from 2012 through 2019, another $60
    billion. I think most of that will occur in 2012.
        Senator Murkowski. Let me ask you then----
        Mr. Dodaro. Yes.
        Senator Murkowski [continuing]. Because it speaks to an
    issue that Dr. Elmendorf is dealing with in CBO. You want to
    make sure that these not necessarily one-time, but short-term
    dollars that you had received through ARRA are not going to be
    a permanent part of your base funding and your FTE level.
        So how can we ensure that that is not the direction that we
    are going? Because essentially, here you have got a couple of
    years going forward now with these increased levels. Does that
    then not become your base?
        Mr. Dodaro. We are not intending for that to happen,
    Senator. From the very beginning, what we have done is we have
    brought back some reemployed annuitants. We have had term
    appointments. So we have, from the beginning, structured it so
    that most of the people who we are bringing back to work on
    this are temporary people who will go away as the work goes
    away over time.
        That is why we segregated it in our budget submission. We
    wanted to be very transparent. We are not intending this as a
    backdoor way to increase the base for our appropriation.

                    GAO deg.GAO'S OVERSEAS PRESENCE

        Senator Murkowski. Okay. Let me ask about the engagement
    support costs. I understand that you are working with the State
    Department to establish these field presences in Afghanistan,
    Iraq, and Pakistan. Will these be permanent presences in these
    countries then? And if so, what is that arrangement, and are
    you getting any contribution from the State Department with
    these particular engagement supports?
        Mr. Dodaro. They are not intended to be permanent. They
    will only be there during the buildup in Afghanistan, and the
    drawdown in Iraq. We have had three people on 6-month
    rotational assignments in Baghdad now for about a year or so.
    We are getting security support, obviously, from State
    Department and the Department of Defense (DOD). They have been
    very cooperative. We don't get any financial support.
        Senator Murkowski. But any money?
        Mr. Dodaro. No.
        Senator Murkowski. Should we, in your opinion?
        Mr. Dodaro. Well, it is really a policy issue. The Congress
    granted us authority to be reimbursed for our oversight of the
    TARP program. We have to be careful that we don't go too far in
    receiving financial support from agencies we audit, rather than
    funding from the Congress. This could compromise our
    independence.
        But in extraordinary circumstances we have received
    additional financial support. For example, now that aid will be
    going to Haiti. I am sure we will be asked to audit that
    assistance over the next few years. In the past, when we were
    auditing the recovery from Hurricane Mitch in Central America,
    we were given travel money separately in an appropriation from
    the State, Foreign Operations Appropriations Subcommittee.
        So sometimes we are given these special appropriations. I
    certainly would welcome your support in this regard because it
    is really intended to just provide a base. A lot of our travel
    is done because we need to go where the money is being spent,
    and we have had teams going back and forth to Iraq and
    Afghanistan for a while now.
        Senator Murkowski. Do you have any permanent presence in
    any of these countries where you are involved?
        Mr. Dodaro. No. Many years ago, we had offices in
    Frankfurt, and we based out of there. We also had an office in
    Honolulu to do the travel in Asia. But we don't anymore. We
    have consolidated, so we only have domestic locations.
        Senator Murkowski. Thank you.
        Thank you, Mr. Chairman.
        Senator Nelson. Senator Pryor.
        Senator Pryor. Thank you, Mr. Chairman.
        I want to thank all of you for all of your help last year
    because healthcare was a very, very tough strain on all the
    resources around here. So I want to thank all of you.
        And I know, Dr. Elmendorf, you were in the bull's eye for
    quite a bit of that process. So I just appreciate what
    everybody has done and everybody's team did to get us through
    that.

                           CBO deg.COMPUTERS

        Let me ask you, Dr. Elmendorf, if I can, about your
    computers. I don't know how accurate this is. But either on
    this subcommittee or just in conversations in the past, we have
    talked about maybe you have a computer system that maybe takes
    longer to do some of the calculations, and I know you do a lot
    of complex modeling and all that kind of thing.
        But tell me about your IT needs right now. Are you in good
    shape, or do you need to modernize what you have?
        Dr. Elmendorf. Senator, I think at this point, we are
    actually in good shape. We did buy faster computers last
    summer.
        Senator Pryor. And did that make a difference?
        Dr. Elmendorf. And that made a real difference. These very
    complicated proposals, we often would set a computer running
    overnight, and if we set it up--the program up wrong, we could
    not discover until the next day. And we shortened the time
    required for some of those estimates for a computer run very
    dramatically. So it made a real difference in what we did.
        We also, in the request that you approved for us beyond the
    supplemental, just the regular appropriations enabled us to
    catch up on what had been a large amount of deferred IT work.
    So we have replaced the entire network that we have, which had
    not been done for a number of years. And we have replaced a
    number of the machines on people's desktops.
        So, at this point, we think we are doing pretty well. And
    in fact, our request for IT support is coming near, for
    purchases of equipment is below what we are spending in fiscal
    year 2010.
        Senator Pryor. When you have technology improvements like
    you have had, does that help you in terms of your man-hours
    needed to do the various tasks that you are asked to do?
        Dr. Elmendorf. It doesn't--not really. It is not really a
    substitute for our staff. It is a complement. It is a tool that
    they use. Ninety percent of the CBO budget is staff. We luckily
    don't have some of the problems of the physical plant that the
    Government Printing Office does. Ninety percent of our budget
    is for staff, about 6 percent for IT, and 4 percent for
    everything else.
        So the computers don't really--that is what the people need
    to work with. I mean, it is better to have them working, not
    sitting, waiting for a program to finish. But the programs
    still sometimes finish in the middle of the night, and we have
    people get up and pass results on to somebody else in the
    middle of the night.

                           CBO deg.WORKLOAD

        Senator Pryor. Do you--I know last year, the last couple of
    years with healthcare reform have just been extraordinary in
    terms of your workload. Do you think you will go back down to
    kind of a pre-2009 workload, or do you think the Congress will
    continue to do complicated pieces of legislation, and they will
    continue to need more and more of your expertise and time?
        Dr. Elmendorf. I think it is unlikely that we will face a
    year again like this past year, and I can only express my
    gratitude for that.
        But, of course, once a program is in place, the Congress
    rarely leaves it alone. The passage of Medicare and Medicaid
    many years ago did not--CBO didn't exist at the time, but of
    course, much work has been done after that on those programs.
        The passage of the Children's Health Insurance Program
    (CHIP) did not end our work analyzing CHIP proposals. We hired
    people who became experts in that program, and we analyze a
    vast number of proposed changes to it. So this large new
    program that has been put in place will require us to do
    ongoing work in our baseline projections and also in analysis
    of proposed changes to it and some changes one might think of
    as additions and some changes that are being proposed in the
    public sphere at least at this point are taking away some of
    what is there.
        What exactly will happen, I don't--what will come to us in
    legislative terms, I don't know. But I expect a significant
    amount of ongoing work. In addition, for all of the health
    changes in that legislation, projected Federal health spending
    is very high and growing very rapidly, and the Federal budget
    deficit is large and projected to be large. The debt projected
    to grow rapidly, and the growth in Government health spending
    and the growth in the Federal debt are related phenomena, of
    course.
        So I expect even beyond analysis related to this
    legislation that was enacted to have a lot of congressional
    interest and a lot of work on our part in pursuing further
    changes that might be made in the Government's budgetary
    commitment to healthcare.

                    CBO deg.FOREIGN NATIONAL HIRING

        Senator Pryor. Mr. Chairman, I had one last question for
    Dr. Elmendorf, if I could? And that is a little different track
    here. But in section 704 of the 2010 omnibus appropriations
    bill, there is a restriction on the hiring of foreign
    nationals. Can you tell me why that is detrimental to your
    agency?
        Dr. Elmendorf. About two-thirds of people getting Ph.D.s in
    economics in the United States today are foreign nationals.
    About 40 percent of CBO staff are economists, people with
    Ph.D.s in economics.
        Now, in a number of fields in economics, there are most of
    the job candidates, people we look to hire, are U.S. citizens.
    But there are some particular fields where the proportion of
    foreign nationals is especially high. And if you look at the
    CBO staff today, a good share of the people we have working on
    finance and in some areas of macroeconomics, especially when we
    try to model the effects of growing Federal debt on the economy
    and alternative policies for addressing that growing debt, a
    lot of the people we have now are foreign nationals.
        Now this legislation grandfathers existing employees. So it
    doesn't affect them. But as we try to hire people to work in
    those areas, not being able to hire foreign nationals
    significantly restricts the pool of people we can look to and
    hampers our ability to hire the very best available people.
        And before this change was made, we, and other parts of the
    Government, were able to hire foreign nationals not from every
    country, but from a significant set of countries, essentially
    those with whom the United States has a defense agreement. So
    there were certain limitations, but the pool was large enough
    that we could do the hiring we thought we needed. And this
    restriction really does hamper our ability to maintain the
    highest-quality staff in some of those very critical areas for
    us.
        Senator Pryor. Thank you.
        Dr. Elmendorf. Thank you, Senator.
        Senator Nelson. Thank you, Senator Pryor.

                        CBO deg.SHIFT RESOURCES

        Dr. Elmendorf, in addition to hiring or besides hiring
    additional FTEs and the faster computers, has there been any
    other--have there been other efforts to try to shift internally
    resources within your agency where you get better results with
    lower costs?
        Dr. Elmendorf. So, Senator, we work very hard to try to
    move resources to where the greatest need is and not to just
    stay stuck in existing patterns of spending or resource
    allocation. And in fact, over the past few years, more of the
    existing slots for staff at CBO have moved in the health
    direction, anticipating demands in that area.
        I think our ability to do that, though, is limited by the
    demands of Congress in other areas. Over the past--during this
    congressional session, the past year and a quarter, we released
    more than 600 formal cost estimates, which only a few are
    actually in health. Much of the work that we did was informal
    developmental work. So most of that, those estimates are in
    other areas.
        With the Government's increasing involvement in the
    financial sector, we have, over the past few years, devoted
    additional resources so we can provide you with appropriately
    high-quality estimates of the effects of TARP, of the effects
    of the Government's conservatorship of Fannie Mae and Freddie
    Mac, of the greater demands on the Federal Deposit Insurance
    Corporation (FDIC), the Federal Reserve, other aspects in which
    the Government is engaged in the financial system.
        Congress is considering very important changes in climate
    and energy policy. We have a large group of people who have
    been devoted to analyzing various different approaches that
    have been proposed. They are dealing with a set of energy
    problems and climate problems. And we are being asked to do
    increasingly sophisticated analysis of the effects of those
    sorts of proposals in terms of their effect on overall economic
    output, the effect on the well-being of households in different
    parts of the country, different income levels, and different
    years.
        So we feel that we are pressed on a whole range of fronts,
    on national security work that we do. I promise you, Senator,
    there is nobody at CBO who is just sitting and waiting for
    something to come across their desks. We take very seriously
    the stewardship of the resources that you provided to us.

             GAO deg.GAO HIRING FOR RECOVERY ACT OVERSIGHT

        Senator Nelson. Mr. Dodaro, how many people have you hired
    using the stimulus funding, the special additional funding to
    deal with the ARRA expenditures?
        Mr. Dodaro. We have hired about 70 people as term employees
    and reemployed annuitants. We have tried to hire people who are
    living in some of the States that we are auditing in order to
    reduce our expenditures even further, and make the money go
    further.
        We then increased our normal hiring by about 70 people with
    the belief, and we still believe this, that we will be able to
    absorb them through normal attrition over time. We also used
    some additional people within GAO because we had to get started
    right away. As soon as the act was passed our first report was
    due 2 months after the law was passed, and so, we redeployed
    some of our people. So collectively there is the equivalent of
    144 FTEs that were charged to this account, but the number of
    people that we hired was about 70.
        Senator Nelson. In recognizing that after these initial 2
    years, the actual amount of money that will be going out is
    reduced significantly, as you point out. It is still a
    significant amount of money, but as a percentage, it drops.
    What would you estimate your hiring needs or your staffing
    needs for, let us say in terms of numbers of people, FTEs, in
    fiscal year 2011 and fiscal year 2012?
        Mr. Dodaro. We have proposed 144 FTEs during that period of
    time. I think that would be the appropriate level for fiscal
    years 2011 and 2012. After that, I think we can clearly phase
    down because there will be fewer programs at that point in
    time, and the money is spread out over a number of years.
        What I am concerned about, Senator, is the fact that States
    are under a lot of fiscal stress at this point, and we have
    seen them cut back in the management of the programs and also
    their auditing capacities over a period of time. For instance,
    the weatherization program is almost quadrupling the amount of
    money that would be spent there. There are new programs that
    are getting started. We have urged the OMB to use their power
    to require better audits of money through the single audit
    approach that is used over Federal programs.
        But I am just concerned that a lot more money is flowing
    directly to the localities. And so, the States need to have the
    ability to track these funds. We have made a lot of
    recommendations to the Federal agencies that they monitor the
    use of the money at sub-recipients and sub-award levels. And
    so, I think the risk is there.
        States, as well as the Federal departments and agencies,
    are going to remain under fiscal stress collectively for the
    next couple of years. I think that attention needs to be paid
    to this money to make sure it really achieves the desired
    effect and is used appropriately. And so, I take that
    responsibility very seriously, and that is why we are asking
    for these resources and help.

         GAO deg.STATES' ABILITY TO MANAGE RECOVERY ACT FUNDS

        Senator Nelson. And I would agree with you on that as well.
    Have you had or found many instances where the State thus far
    wasn't managing or supervising the delivery of the funds and
    programs that were under their control?
        Mr. Dodaro. I have been pleased early on that they have
    taken it seriously and responsively. But a lot of the monies in
    the early years are being delivered through existing programs
    such as the Medicaid program. They have rules and procedures in
    place. The highway programs have well-established procedures.
    And so, in the first couple of years, given the fact that the
    money is going through existing programs, it hasn't proven to
    be yet as stressful as it will be in the coming years.
        Now, that being said, when we find occasions where things
    are going to ineligible recipients or there are ways the States
    could tighten up their programs, we are giving them
    suggestions. We also created a special hotline where any
    citizen can call in with complaints or allegations of fraud. We
    are currently following up on about a dozen of those examples.
    We have referred many others to the inspectors general.
        We are looking at contracts both at the Federal level and
    at the State level. We are looking at whether or not the
    reporting coming back is accurate. I mean, this is a huge,
    decentralized set of programs and activities throughout the
    country. And so, I think our presence there also has had a
    deterrent effect to some extent because the States know that we
    are there.
        We picked 16 States and the District of Columbia. They are
    going to receive two-thirds of the amount of money, and we
    announced to them we were going to be there for 2 or 3 years
    while the money was being spent. So they know we are there, and
    we have got good cooperation. I am pleased with that. But we
    need to keep a wary eye on the expenditures, and that is what
    you fund us to do.
        Senator Nelson. I appreciate that.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.

                          CBO deg.FLAT BUDGET

        Dr. Elmendorf, I would like to go back to you. Your
    increase here is primarily for salaries and benefits. Six-
    point-five percent of it is for that. The balance then is for
    other nonpay-related expenses and information technology that
    we have talked about here.
        The question is if we were to move toward a flat budget
    from last year, how do you do that? Because you clearly need
    the employees. You have already trimmed the funding level for
    the nonpay and related expenses. Tell me what your operations
    look like if we go flat funding.
        Dr. Elmendorf. So can I ask back first, flat relative to
    just the regular appropriations or flat----
        Senator Murkowski. Well, that was how you started at your
    opening statement.
        Dr. Elmendorf. It makes, as you know, it makes a
    significant difference.
        Senator Murkowski. Sure, it does.
        Dr. Elmendorf. If you fund us at our regular, the same
    level as the regular appropriations from last year, then we
    would reduce staff. We have hired people using some of the
    supplemental money, and we would not, I think, have to lay them
    off. There is attrition at CBO. But we would end up reducing,
    taking those slots back, and we would go back to a level that
    was below the level we have today.
        And we would set priorities in our work, and we do that
    now. Of course, in the health reform process for all of the
    work, I had an awful lot of angry phone calls from your
    colleagues asking why we couldn't do their--analyze their
    proposal, and they were right to be unhappy about that. And I
    kept telling them we were doing the best that we could.
        So it is always a matter of prioritizing, but the
    constraints, of course, get much tighter if we end up going
    backward in the number of people that we have.
        Senator Murkowski. So would you lose four? Is that what you
    would anticipate? Because that is what you are asking for in
    this----
        Dr. Elmendorf. So I think we have hired five. I think we
    have hired five people. I think that supplemental, with the
    part of supplemental devoted to personnel amounted to five
    additional FTEs. So we would go backward by five FTEs from
    where we are now. That would be nine FTEs below where we would
    be if you funded our full request.
        Senator Murkowski. I see. Okay, I understand that. Thank
    you.

                   GPO deg.REVOLVING FUND PRIORITIES

        The chairman asked you, Mr. Tapella, about the revolving
    fund and if there were any projects on here that are life/
    safety, and you discussed a little bit about the elevator.
    Recognizing that this funding request represents over 100
    percent increase over the fiscal year 2010 enacted level, you
    have got 17 projects. Some I am assuming are ongoing, some
    perhaps are new.
        If you were held to the fiscal year 2010 level of $12.8
    million for the revolving fund, how do you prioritize this list
    of projects? Because you kind of got off easy on the last one,
    talking about the elevator.
        And I am sure that we have got to have those elevators
    working to move those documents up and down. But how would you
    make this a prioritization?
        Mr. Tapella. I would look at our total budget request and
    not look at the individual ones the way that we have them
    segregated into the three accounts.
        And so, looking at that, I would request full funding for
    congressional printing and binding. For salaries and expenses
    of the Superintendent of Documents, I would request full
    funding less the $26,000 adjustment because we used the
    original rate of 1.6 percent for the mandatory pay increases,
    and the President announced 1.4 percent. That is roughly
    $26,000 that we could reduce. And if we can, with your
    permission, move forward the prior year funds of $1.5 million,
    we basically request a reduction of $1.526 million from the S&E
    appropriation.
        When we go to the revolving fund, flat funding would
    provide $8.127 million. With that, as I look at our priorities,
    I would request roughly $5.127 million for FDsys development,
    $1 million for our advanced printing technology initiative, $1
    million for COOP, and $1 million for the continued repairs of
    elevators because that is a life and safety issue.

                GPO deg.NEW VERSUS CONTINUING PROJECTS

        Senator Murkowski. Are there any new projects that are on
    this list? And I really appreciate what you have just run down
    there because you were really able to give some definition
    there. Are most of these ongoing, or do you have some new that
    we can look to at a later point in time?
        Mr. Tapella. When you look at the Government Printing
    Office's appropriation for fiscal year 2010, at $147 million,
    that represents roughly 12 percent of our gross revenue. The
    remainder we receive from the executive and judicial branches
    as reimbursement for the products and services we provide to
    them, as well as the general public through GPO's publications
    sales.
        When we fund initiatives, typically the revolving fund is
    paying for a portion of it, if it is a congressional
    appropriation, and then the remainder coming out of our
    retained earnings. Last year our retained earnings were $1.234
    million, very, very slim. The prior year, it was in the $30
    million range, which means that our ability to self-generate
    investment capital has gone down considerably.
        For the Federal Digital System, to date, roughly two-thirds
    of the spending has come from appropriations, primarily from
    unspent appropriations that were moved forward from previous
    years. The remainder came out of our revolving fund from
    retained earnings from all of GPO's operations.
        The advanced printing technology assessment is new.
    However, GPO has always had continuous improvement in our
    technologies, whether we funded them from the revolving fund or
    asked for direct appropriations. And so, while that is a new
    initiative, I think it is absolutely critical if we want to
    continue driving the costs out of our congressional printing
    budget moving forward.
        Up to this point, GPO has funded COOP through our revolving
    fund. We have significantly stepped up our COOP efforts. This
    past year has been a very rough year for GPO. We have had three
    fires, which we had to deal with, and we had a power outage in
    our data center, which threw off production by nearly a full
    day.
        And that affected Congress. It particularly affected the
    House of Representatives because we were many, many hours late
    with the Congressional Record. And so, when you ask the
    question about new versus old, I don't think it works the same
    way as it does when Congress completely funds an initiative
    fully with appropriations.
        Senator Murkowski. Thank you, Mr. Chairman.
        Senator Nelson. Senator Pryor.
        Senator Pryor. Thank you, Mr. Chairman.

                 GPO deg.ENVIRONMENTAL SUSTAINABILITY

        I would like to start with you, Mr. Tapella, about the GPO
    and a little bit on the money, but also just on your policy.
    And I am curious about what your agency is doing to support
    environmental sustainability? Because it seems to me that you
    have a lot of opportunities there with the volume of paper that
    you are using, the types of ink, the energy required to do all
    the printing, the recycling.
        The fact that a lot of this is available online now, and
    you may not have to print as many copies, like you did in the
    old days. Your vehicles, building modifications, you have an
    old building. I mean, do we need to talk about the HVAC system
    there? Do we need to do like an energy contract there to try to
    save some money through that?
        So could you give us just a few minutes on what you have
    got going on your environmental sustainability side?
        Mr. Tapella. Thank you for the question, Senator Pryor.
        Sustainable environmental stewardship has been one of my
    top priorities since becoming Public Printer in October 2007.
    And this past year, GPO made history by working with the Clerk
    of the House and the Secretary of the Senate, as well as the
    Speaker and Majority Leader, to increase the amount of recycled
    fiber in the newsprint used to produce the Congressional Record
    to 100 percent. And that was significant.
        We are also now working on looking for more sustainable
    copier papers, seeing what we can have available. When it comes
    to Congress and the letterhead we can make available for
    Congress to use, it can be 100 percent recycled. It is a
    combination of rag, plus pulp, and that is new this coming
    year.
        When we look at, for example, other items----
        Senator Pryor. I don't want to interrupt you on that, but--
    --
        Mr. Tapella. Yes?
        Senator Pryor [continuing]. As you are going through this,
    give us a sense of--I know all that is good for the
    environment, but does that also save money to do that, or is it
    more expensive to do that? Or give us a sense of how that
    works, too.
        Mr. Tapella. Okay. When it comes to the Congressional
    Record, we were able to negotiate the exact same price for the
    paper that had been 40 percent recycled for what is now 100
    percent recycled newsprint. So that does not cost Congress any
    more.
        When it comes to the one-star, I think it went up just
    marginally, but not much. I would call it a relatively
    insignificant amount.

                  GPO deg.SUSTAINABILITY ACHIEVEMENTS

        Some of the areas where we are seeing significant success
    is in the area of recycling. GPO has been recycling since 1861,
    when we opened our doors for business.
        When we look at diverting waste that would ordinarily go to
    the landfill, back in fiscal year 2008, my first full year as
    Public Printer, we were able to divert roughly 65 percent of
    the waste from GPO from going to the landfill. This past year,
    we were able to divert 87.5 percent of the waste leaving GPO,
    right down to the desks. Old wood desks are now ending up in
    Maryland and are being converted to mulch.
        We have seen a reduction in volatile organic compounds, and
    that has to do with some changes we have made in the solvents
    we are using on our presses. We have removed all of our
    underground storage tanks, and we had fuel under there as well
    as solvent, and those have been removed.
        The Environmental Protection Agency has lowered GPO status
    from being a large quantity producer of hazardous waste to a
    small quantity producer of hazardous waste. In fact, even
    though we are a 1.5 million square foot factory, probably the
    13th largest printing house in the world, we are producing less
    hazardous waste than the typical mom-and-pop shop on the
    corner. And I am very, very pleased about that.
        I want to thank the subcommittee for some of the funding
    for our new roof. We have replaced the majority of the roof on
    GPO, all of the flat portions of the roof. It doesn't cover
    elevators and a few appendages to GPO, but roughly 100,000
    square feet are new, and that is a new biomass roof that is
    white. It is reflective.
        It will not only have twice the life expectancy of a
    standard roof, but it also will reduce our energy consumption.
    And so, those are some of our sustainability achievements.
        We have over 40 vehicles in our fleet, which includes
    trucks, vans, and cars. Thanks to funding provided to the
    General Services Administration, we were able to replace 21 of
    our vehicles. Eighteen of them are Flex Fuel E-85, and 2 of
    them are hybrid. These are what we use to make deliveries to
    and from the Hill.
        That was at no cost to us. It was funded through the
    Reinvestment Act, and I am sorry I can't get the name correct.
    But we were able to take advantage of that.
        Senator Pryor. So it sounds like a lot of that will save
    the taxpayers money, if not in the first year, but in the out-
    years you will save?
        Mr. Tapella. Absolutely. I have appointed an executive to
    be in charge of sustainable environmental stewardship at GPO,
    and everything we are doing we are looking at the return on
    investment. We are typically looking for a less than 5-year
    return on investment in any investment we make when it comes to
    sustainability.
        With the Federal Digital System, when we bought the servers
    for it, instead of the standard 80-watt processor servers, we
    used 50-watt processor servers to significantly reduce energy
    consumption without losing any of its capacity.
        Senator Pryor. All right. Good.
        Well, I am glad I asked that question then because you have
    a lot going on there, and it is good for us to be aware of
    that.

                     GAO deg.GAO'S DIVERSITY PLAN

        Mr. Dodaro, I do have a question for you about diversity
    there in your office, in your agency. And I guess I would like
    to ask all three if you have a diversity plan, but specifically
    for you, I would like to know how your efforts at diversity are
    going?
        Mr. Dodaro. We are very committed to diversity at the GAO.
    Right now, 30 percent of our workforce are minorities. Women in
    our workforce are approaching 60 percent of the workforce. We
    have produced a diversity plan over the last 2 years which has
    goals that we set for ourselves in terms of focusing in on
    additional training.
        Right now, most of the workforce at the GAO either equals
    or exceeds the relevant labor force numbers in those areas. We
    need to increase the number of Hispanics that we have in the
    organization, particularly in the administrative areas, but
    also throughout the rest of the organization. We are focused on
    that. We are focused on people with disabilities as well. We
    just entered into an agreement with the Library of Congress to
    use some of their facilities for testing out devices to help
    people who are disabled to go forward. I am personally
    committed to it. I am very committed to it. I think the effort
    is going well.
        We created a diversity advisory council at GAO that has
    representatives from all the different employee groups. We are
    working very well with our union on collective bargaining
    agreements. We have an employee advisory council for people who
    aren't in the bargaining unit within GAO. We are making
    headway.
        We have hired trainers and have developed diversity
    training programs that will become an integral part of our
    training curriculum at the GAO. I think it is very important
    for us to be reflective of the society of the American people,
    and their elected representatives and so I think we are doing
    well. But like everything else, you have got to keep working at
    it, and we intend to do so.
        Senator Pryor. And are you seeing your management workforce
    becoming more diverse as well?
        Mr. Dodaro. Oh, definitely.
        Senator Pryor. Now I would like to hear from the other two
    as well, but since I have way exceeded my time, maybe we could
    just submit those for our review. But I would like to see that.
        Thank you.
        Dr. Elmendorf. Yes, Senator, we will do that.
        Senator Nelson. Thank you, Senator Pryor.

                  GAO deg.GAO LABOR RELATIONS AND PAY

        Mr. Dodaro, I understand that the GAO and the union
    recently reached an agreement on fiscal year 2010 performance-
    based pay increases. How will this agreement affect the
    performance-based pay increases already awarded to, let us say,
    the non-union workforce within the agency?
        Mr. Dodaro. We have a commitment that everybody is treated
    equally. So we are going to adjust the pay increases of the
    people in the nonbargaining unit to be the same as the people
    in the bargaining unit. It is important to be equitable, to be
    fair to all our employees, and we are committed to that.
        Senator Nelson. What impact will that have on your budget?
        Mr. Dodaro. According to the agreement, some of the costs,
    such as permanent pay increases will roll forward to the budget
    for fiscal year 2011. And a lot will depend on what the
    Congress and the President agree for the across-the-board
    increase for fiscal year 2011. Part of the issue is not only
    what we carry forward, it is what we are going to be obligated
    to give by law next year in the 2011 budget.
        So a very important principal that we had in the union
    negotiations was to not carry forward more cost than need be to
    get an agreement, and we achieved that goal.
        Senator Nelson. And as you say, that will apply equally to
    those who are outside the union, as well as those in the union?
        Mr. Dodaro. Yes.
        Senator Nelson. And will depend on what the budget of 2011
    truly applies to?
        Mr. Dodaro. Yes. In terms of what the pay increase will be
    for next year. In our budget submission we are assuming a 1.4
    percent across-the-board increase and then some other
    incremental increase for performance on top of that. But the
    across-the-board figure will be determined by the Congress and
    the President, and that was what was assumed in the budget.
        For next year we have got to pay 9 months of the cost of
    the across-the-board increase. And by law, we have to give the
    same across-the-board increase to our employees as is set for
    the executive branch, which will be a compounding factor. That
    is why in terms of your questions about a flat budget for next
    year, a lot of that would have to be absorbed in addition to
    carrying the costs forward from employees.
        In an organization like ours where 80 percent of our costs
    are people costs, a flat budget would have an impact in terms
    of hiring. We would have to scale back our hiring dramatically.
    We would have to release all of our temporary employees and
    even consider some furlough days next year if we were flat-
    lined.

                   GPO deg.GPO'S PERFORMANCE SYSTEM

        Senator Nelson. Mr. Tapella, how would it affect you? I
    mean, I don't know that you have the same union issue, but do
    you have any performance-based plans in place that you have to
    account for as well?
        Mr. Tapella. We do have performance plans in place. Do I
    understand the question correctly in terms of the flat-lining
    of the budget?
        Senator Nelson. Yes.
        Mr. Tapella. The only program that is funded directly with
    appropriations is our salaries and expenses appropriation of
    the Superintendent of Documents. We have a few vacancies there.
    So any reduction we would basically have to flat-line and not
    allow hires in that area.
        The rest of GPO is covered under the revolving fund. So we
    can manage it appropriately.
        Senator Nelson. Dr. Elmendorf.

                         CBO deg.PAY INCREASE

        Dr. Elmendorf. Senator, CBO employees who are paid less
    than $100,000 a year receive an across-the-board increase and
    potentially also merit-based increases. Employees above that
    level receive only merit-based increases. We believe very
    strongly in rewarding the performance of the top performers the
    most. And people who are not--luckily, at CBO, we have a
    terrific group of people. But people who, for some reason or
    other, do not perform don't receive increases.
        I think it is vitally important for us to continue to
    reward the people who are putting their hearts into this work.
    When we are hiring people, we are competing, of course, with
    other potential employers. We try very hard to keep CBO as a
    desirable place to work. I think we, in fact, won an award for
    being the third best small agency to work for, and the work is
    very exciting and important.
        But at some point, people do take account of what they are
    getting paid. The starting salaries for new Ph.D.s in
    economics--again, Ph.D.s in economics represent about 40
    percent of our workforce. The starting salaries on average in
    the country for that group has increased 5.7 percent per year
    for the last 4 years. Our salaries have not increased at that
    rate.
        So we are losing ground as it stands, and we lose people to
    other--to the private sector or to universities. We just lost a
    terrific person to the IMF, International Monetary Fund, where
    she is being paid a substantially higher salary. So I think we
    could not maintain the quality of our work without maintaining
    the quality of our people, and that requires not falling too
    far behind too quickly what they can get paid other places.
        Senator Nelson. Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.
        I think that is an important consideration for us. And it
    is difficult at a time when we are trying to crank in on the
    budget and expenditures. But I think we realize that we are
    asking an awful lot from these professionals, and you could
    probably work some better hours out in the private sector there
    and probably make comparable or well beyond.
        So I think that is important for us, and I think that is
    one of the issues that we are seeing with the reality that we
    are facing or that we are hiring as many foreign nationals as
    we are. We can't keep our own here.
        Mr. Tapella, I have one last question, and this is as it
    relates to the Federal Digital System, the FEDsys. I don't know
    what they call it, FEDsys or FDsys, just to understand a little
    bit more about what you are doing with this digital repository
    for all Federal documents.
        With the $6 million that is requested now, will this get
    this system up and running? Where are we in understanding what
    it is going to cost us to maintain on an annual basis? Do we
    have all the technology in place to capture all that we are
    looking to with this system? Just give me an assessment of the
    readiness of this digital system.

                    GPO deg.FEDERAL DIGITAL SYSTEM

        Mr. Tapella. I call it FDsys, other people call it FEDsys.
        Senator Murkowski. Okay.
        Mr. Tapella. We launched it this past year. So it has been
    in operation now for more than 1 year. We are doing it in
    phases. We have release 1, release 2, and then we will have
    some future releases beyond that. And as much as my inspector
    general hates the idea of it, we actually don't believe that
    FDsys will ever be done.
        When you have an electronic system that you are going to
    use as a system of record, you need to always keep it current
    and flush. As we look at technology, for example, who uses a
    floppy disk anymore? The same thing is true as we build the
    Federal Digital System. And we are building it with technology
    that can regularly be refreshed as technology changes.
        The funding that we are looking at right now for this year
    will just about what we call ``finish'' the Federal Digital
    System. We will still need one more infusion after that. The
    total cost would be $49 million we believe to ``finish the
    system,'' which is release 1, release 2, and will allow us the
    ability to submit, as well as the output.
        There are other things that we could be doing with the
    Federal Digital System, such as digitization, bringing in more
    content, and making certain that the search capabilities
    continue to improve. The Federal Digital System is replacing
    GPO Access, which was built in 1993. That was viewed as a
    closed system, and nobody thought about what would happen when
    you need to do technology refreshes. We have actually built
    that into our design map for the Federal Digital System.
        Senator Murkowski. So we have got the technologies now, but
    the technologies tomorrow may be changing is what you are
    saying. So we have got to stay on top and current with----
        Mr. Tapella. Correct. We believe that we must stay on top
    and current as we move forward with the Federal Digital System.
    And it is one of the greatest concerns I know that is facing
    many in the library community, and obviously, one of our
    programs is the Federal Depository Library Program. We know
    today that a book will last 500 years if it is properly cared
    for. What happens to electronic systems?
        And so, we have purposely built the system to make certain
    that it will never die. We have the responsibility under title
    44 to make certain that the documents of our democracy are made
    widely available to the public and kept in perpetuity. That is
    the reason why I don't believe the system will ever ``be
    done.'' However, we have designed it in such a way that we can,
    with each release, declare success.
        Senator Murkowski. Thank you, Mr. Chairman.
        That is all the questions that I have.

                         ADDITIONAL COMMITTEE QUESTIONS

        Senator Nelson. I believe I have asked all the questions
    that I had wanted to ask. And so, I want to thank you for being
    here today, for your continuing service to the many taxpayers
    who support our Government and to our colleagues as you support
    them as well.
        [The following questions were not asked at the hearing, but
    were submitted to the agencies for response subsequent to the
    hearing:]
                     Questions Submitted to Gene L. Dodaro
                   Questions Submitted by Senator Ben Nelson
                            fiscal year 2011 request
        Question. Mr. Dodaro, I have made it clear that I intend to hold
    the Legislative Branch to fiscal year 2010 levels in fiscal year 2011.
    What will be the effect of a flat funding rate on the operations of
    GAO?
        Answer. A flat funding rate would significantly impair GAO's
    ability to serve the Congress on the full range of issues and
    negatively impact our timely provision of services. In order to operate
    at a flat funding level (fiscal year 2010 level) in fiscal year 2011,
    GAO would need to significantly reduce planned hiring and staffing
    levels by up to 150 staff through fiscal year 2011, beginning in fiscal
    year 2010. This staffing reduction will negatively impact our ability
    to respond in a timely manner to continuing and new mandates, such as
    the Recovery Act and the annual report to the Congress on duplicative
    and wasteful programs. This would not only reduce the staffing
    resources devoted to Recovery Act oversight by almost 60 percent, it
    would also severely impact staff available to support other
    congressional engagements. In order to even maintain this reduced
    staffing level and absorb mandatory pay and non-pay inflationary
    increases in fiscal year 2011, we would also need to reduce or defer
    critical infrastructure investments including security improvements in
    our field locations and potentially implement up to 6 furlough days in
    2011.
        Question. It is not my intention to fund additional FTE during a
    flat budget year. How much additional funding would you require in
    fiscal year 2011 to maintain your current workforce--that is the number
    of employees you currently have on board?
        Answer. Our fiscal year 2011 budget request seeks only the funds
    needed to maintain our fiscal year 2010 workforce, including $579.5
    million for base staffing and $21.6 million for Recovery Act oversight.
    The requested fiscal year 2011 FTE level represents annualization of
    fiscal year 2010 activity (the full-year equivalent of maintaining our
    current staffing level in fiscal year 2011), not an increase in the
    number of employees.
        Question. Can you explain why your fiscal year 2011 request
    includes 49 additional FTE to ``maintain current staffing levels''?
    Once again, I do not intend to increase our agencies' workforces during
    the next fiscal year.
        Answer. Our fiscal year 2011 budget submission seeks only to
    maintain our fiscal year 2010 workforce. The additional 49 FTEs
    represent the annualization of fiscal year 2010 activity. There is no
    increase in staffing planned for fiscal year 2011.
        When staff come on board and leave the agency at various times
    throughout the year, this results in less than a full year's cost and
    associated FTE usage in the year that the activity occurs--in this case
    fiscal year 2010. In fact, as most of our entry level staff start in
    the 4th quarter after graduation, while our attrition occurs throughout
    the year, this usually equates to a lower FTE in the first year of
    hiring, but requires a funding and FTE increase in the follow-on year,
    to ensure we have full costs/FTEs for the on-board workforce.
        Question. Has GAO's attrition rate declined as a result of the
    current economic situation and unemployment rate? Have you taken any
    discrepancy in your attrition rate into account since putting together
    your fiscal year 2011 budget request?
        Answer. Yes, attrition has declined over the last few years and we
    have considered this in our budget request. GAO experienced an annual
    attrition rate of 10 percent of our staff between fiscal years 2004 and
    2008. In fiscal year 2009, attrition dropped to 6 percent (190 staff).
    Our fiscal year 2010 operating plan assumed a slight increase in
    attrition to 225 staff and our fiscal year 2011 budget request assumed
    an increase in attrition to 235 staff. However, based on current
    activity in fiscal year 2010, we have revised our attrition assumptions
    and reduced the fiscal year 2010 estimate to about 200 staff. This
    change increases our costs by about $2 million a year and we've taken
    appropriate steps to adjust for this in our operating plan. Our fiscal
    year 2011 estimate remains at 235 staff.
                      gao's work on capitol police issues
        Question. Mr. Dodaro, we appreciate your agency's work for this
    subcommittee in assisting us with your sister Legislative Branch
    agencies. Your staff has done extensive work on the many challenges
    facing the Capitol Police, particularly in identifying weakness in the
    Capitol Police's financial management operations.
        What would you say is the biggest challenge facing the Capitol
    Police right now?
        Answer. The Capitol Police currently face three significant
    challenges--
      --Effectively managing its workforce and other resources to satisfy
            security requirements and protect members and the Capitol
            Complex within available resources.
      --Effectively formulating, approving, and executing reliable and
            supported budgets.
      --Establishing and maintaining an effective internal accounting and
            administrative control framework.
        Question. Did your review of the Capitol Police's fiscal year 2011
    budget request, conducted at this subcommittee's direction give any
    indication that they had under-budgeted their personnel needs in fiscal
    year 2011?
        Answer. GAO's review detected indications of problems with under-
    budgeting for salaries for fiscal year 2011. During the course of our
    work, we detected three errors: (1) a discrepancy between the budget
    request Capitol Police submitted to Congress and what it submitted to
    OMB to be included in the President's budget, (2) a calculation of
    salaries that did not include pay differentials, and (3) a potential
    compounding of these errors across fiscal years.
      --After comparing information provided by USCP as support for what
            was reported in the President's Budget Appendix, we identified
            a discrepancy between the two documents. The amounts reported
            in the President's budget were $5 million higher for benefits
            and $5 million lower for salaries than what were shown in the
            supporting information provided by the USCP. The Capitol Police
            officials's February 17 explanation was incomplete and, after
            we asked further questions, we were told that the information
            reported in the President's budget was wrong.
      --We found a second error when we reviewed a breakdown of benefits
            for fiscal year 2009 which was used in developing the fiscal
            year 2011 budget request. The benefits information provided to
            us by the USCP included amounts for night, Sunday, and holiday
            pay differentials that should have been reported as salary.
            This error resulted in an under-budgeting for salaries. In
            addition, since amounts requested for certain benefits are
            calculated as a fixed percentage of salaries, understating the
            amount requested for salaries also leads to understating the
            amount needed for benefits.
      --The error in fiscal year 2009 information raised questions about
            whether it was repeated and carried forward into fiscal years
            2010 and 2011. To the extent this occurred, the understatement
            would have been repeated.
        Question. What can you do to further assist us in straightening out
    the Capitol Police's financial issues?
        Answer. GAO has several efforts underway to assist the Congress and
    the Capitol Police Board in overseeing the Capitol Police's efforts to
    assess security requirements, manage its workforce, and identify and
    resolve internal accounting and administrative control weaknesses and
    deficiencies.
      --GAO is assessing how the Capitol Police plans, tracks, and manages
            use of its sworn officers, including overtime and the Capitol
            Police's process to determine security requirements. GAO will
            also identify what existing security technologies could enhance
            the Capitol Police's ability to protect the Capitol Campus. In
            a related effort, GAO will review the processes and controls
            associated with authorizing, recording, and approving employee
            time charges, including overtime charges, and how resulting
            salary amounts are charged to available appropriations and
            accounted for and reported by the Capitol Police.
      --GAO in coordinating with the Capitol Police Inspector General will
            monitor and review the Capitol Police Inspector General's
            ongoing audit of problems and related weaknesses with the
            Capitol Police's process for formulating and approving its
            fiscal years 2010 and 2011 budget requests.
      --GAO will review recently identified internal control weaknesses and
            deficiencies to determine their current status and to identify
            underlying causes for their often persistent and pervasive
            nature. In doing so, GAO will consider the Capitol Police's
            internal accounting and administrative control framework;
            evaluate the status of corrective actions to deal with control
            deficiencies, including those associated with prior GAO
            recommendations; and explore systemic reasons why control
            weaknesses and deficiencies are not promptly resolved.
                                  arra funding
        Question. When we included $25 million in the American Recovery and
    Reinvestment Act, it was not intended to permanently augment GAO's core
    base. It appears that your request for $21.6 million to cover ARRA-
    related work is moving us in the direction of expanding your base.
        How did you arrive at the $21.6 million figure to continue ARRA-
    related work?
        Answer. GAO's staffing strategy to meet the ARRA mandates
    recognizes the temporary nature of these oversight responsibilities and
    assumes that there will be no increase in base resources. While the $25
    million included in the Recovery Act is only available through
    September 30, 2010, our statutory oversight responsibilities for
    billions of dollars of funding to the states and localities continue
    until all funds have been distributed--estimated through 2019. For that
    reason, about 50 percent of the staff devoted to ARRA work are
    temporary staff (reemployed annuitants and term hires) who can be
    released once the mandates are completed. The remaining staff are
    permanent GAO staff. Our staffing strategy in the out-years assumes
    that the permanent GAO staff will be reabsorbed in our base by not
    fully hiring behind future attrition.
        Our fiscal year 2011 request includes funds to maintain the current
    staffing level of 144 FTEs consistent with the funds provided in fiscal
    year 2009 and spent in fiscal year 2010. GAO expects to maintain this
    staffing level through fiscal year 2012 to address the mandatory
    oversight of the largest amount of the remaining Recovery Act funds
    estimated to be outlayed during that time. As approximately 85 percent
    of Recovery Act funding to programs administered by the states and
    localities is estimated to be paid out by the end of fiscal year 2012,
    GAO would start to reduce the staffing below the 144 FTE level by
    absorbing GAO staff back into the base behind attrition and phasing out
    the staff necessary to address the changing nature of the Recovery Act
    funding. Our expectation is that by the end of the required mandates,
    all permanent GAO staff will have been absorbed back into our base with
    no increase to the base resources to accommodate this approach.
        Question. How much of the $25 million included in the ARRA
    legislation have you already spent? My understanding is around $4
    million. Can you realistically spend the remaining $21 million by the
    end of this fiscal year?
        Answer. In fiscal year 2009, GAO spent $4.2 million. Through the
    2nd quarter of fiscal year 2010, we have spent $13.7 million and expect
    to spend the remaining $11.3 million to cover costs through the end of
    fiscal year 2010.
        Question. How much of the ARRA workload could you absorb within
    your own workforce?
        Answer. GAO could not absorb any of the ARRA workload within our
    own workforce without severely impacting our current workload to meet
    other congressional mandates and requests. We would need to seek
    legislative relief to the existing mandates in the Recovery Act to
    align with available staffing and funding.
        Question. What will you do if this Committee does not provide the
    $21 million for recovery-related work?
        Answer. We are happy to work with the committee to identify
    alternative funding vehicles. In the event that we do not receive
    funding for the statutorily-mandated recovery-related work, GAO would
    first reduce the FTEs devoted to Recovery Act oversight by almost 60
    percent by eliminating temporary staff. This would negatively impact
    our ability to meet the reporting requirements of the Act and require
    that we seek legislative relief to the Recovery Act mandates to align
    with available staffing and funding.
        We would also need to absorb the permanent GAO staff currently
    devoted to Recovery Act oversight back into the GAO base which would
    impact our ability to maintain our planned workforce levels necessary
    to be responsive to other congressional requests and mandates.
        Question. How many people have you hired using stimulus funding?
    How many of these hires do you anticipate bringing onboard as permanent
    GAO staff?
        Answer. We have hired 74 temporary reemployed annuitants and staff
    under term appointments. A handful of temporary staff have been
    identified as potential candidates to fill existing GAO vacancies
    behind attrition. However, it is not our intention to bring the
    majority of these staff onboard as permanent GAO staff nor grow the
    base.
        Question. You identified $8 million in savings from non-recurring
    items funded in fiscal year 2010 which you assigned to ``reinvestment
    of savings'' in your budget request. These items include upgrades to
    your information technology systems and repairs to your building. Could
    this funding be assigned to ARRA mandated work instead?
        Answer. We do not believe this to be in the best interest of the
    agency. In order to maintain the technology infrastructure supporting
    our staff and to address our management weaknesses in information
    security, human capital and physical security, it is essential that we
    be able to reinvest savings from non-recurring items and efficiencies
    in these areas. Planned investments will allow us to protect the safety
    and security of field-based staff, further enhance our information
    technology programs to gain productivity and increase effectiveness,
    and continue our efforts to enhance the energy efficiency of our
    facilities.
                                   gao union
        Question. I understand that GAO and the Union have recently reached
    an agreement on the fiscal year 2010 performance-based pay increase.
    How will this action affect the performance-based pay increases already
    awarded to your non-union workforce? How much will this additional
    increase cost?
        Answer. To treat all employees equitably, GAO extended the
    provisions of the Union agreement on fiscal year 2010 performance-based
    pay increases to non-Union staff. This will cost GAO an additional
    $724,000.
                                     ______

                    Questions Submitted to Robert C. Tapella
                   Questions Submitted by Senator Ben Nelson
                                     budget
        Question. Mr. Tapella, how will GPO respond to no funding increase
    in fiscal year 2011? Can you continue to run your agency on the fiscal
    year 2010 level?
        Answer. GPO will be able to conduct operations with funding at the
    fiscal year 2010 level, or $147.5 million. At this level, full funding
    should be provided for our request for the Congressional Printing and
    Binding Appropriation. For the Salaries and Expenses Appropriation of
    the Superintendent of Documents, our request could be reduced by
    $26,000 to reflect a pay raise factor or 1.4 percent as requested in
    the President's budget, instead of the factor of 1.6 percent we used.
    Our request for this account could also be reduced by $1.5 million if
    the Appropriations Committees approve our request to transfer forward
    this amount in the unexpended balance of this account from fiscal year
    2005. Funding at the fiscal year 2010 level would provide approximately
    $8.1 million for GPO's revolving fund.
        Question. Your fiscal year 2011 request for the revolving fund
    totals $25.7 million and includes everything from workforce retraining
    to building repairs. Are any of these items critical needs for your
    agency given that we're trying to maintain a flat budget this year?
        Answer. With approximately $8.1 million for the revolving fund for
    fiscal year 2011, we would fund the Federal Digital System (FDsys) at
    $5.1 million and provide $1 million each for our advance printing
    technology, continuity-of-operations (COOP), and elevator repair
    projects.
        Question. Please explain the $3.2 million request for workforce
    retraining and development programs. Can this be deferred?
        Answer. Our request for employee retraining projects includes $1
    million to ensure that all personnel involved in the printing process
    receive training to maintain core competencies in related crafts and to
    build on new competencies as emerging technologies are identified;
    $500,000 for provide a curriculum for supervisors to hone leadership
    and management skills and incorporate the latest trends from throughout
    public and private sectors; $500,000 provide basic-skills training for
    our workforce. as we modernize our technology and implement our vision
    of GPO's digital future; $500,000 for courses to develop specialized
    experience and technical skills in financial management; and $500,000
    to equip employees with the skills needed to communicate GPO's mission
    in the production of secure and intelligent documents, identify
    potential revenue streams, identify future trends within the industry,
    and offer these new products to congressional and agency customers, and
    $250,000 to provide annual training needs assessments and program and
    curriculum evaluation for all training provided, develop models to
    target specific training modules for just-in-time instruction, and
    provide specialized training to operators and users of business support
    technology programs. These programs have not been identified as
    priorities under GPO's flat funding scenario for fiscal year 2011.
                             federal digital system
        Question. GPO is requesting over $6 million in fiscal year 2011 for
    the Federal Digital System--its new online data system. What is the
    status of the implementation of this system?
        Answer. Release 1, which is the foundational content management
    system assuring preservation and permanent public access to online
    Federal information, is nearing completion. The content from GPO Access
    will be completely migrated to FDsys in the next 2 months and a
    failover instance for continuity of access, or backup system, will be
    completed in August. At that point, we will start decommissioning GPO
    Access, making FDsys the system of record, with shutdown of GPO Access
    targeted for December 2010.
        Question. How much has been spent on this effort so far?
        Answer. Approximately $37.5 million has been spent so far, with a
    projection of $41 to $42 million to complete Release 1 by the end of
    fiscal year 2010.
        Question. How much more funding does GPO need to complete this
    system?
        Answer. Approximately $8 million will be required to complete
    Release 2, which is the submission functionality of the system, by the
    end of fiscal year 2011. However, if the current team cannot be
    maintained due to budget constraints, the time to develop Release 2
    will extend and the total cost may increase as a result of retraining.
    Assuming availability of the necessary funds, the total investment in
    FDsys by the end of fiscal year 2011 will be $49 to $50 million.
        Question. Why has 20 percent of your information still not been
    migrated to the new format?
        Answer. The process to migrate content to FDsys is complex. We have
    been migrating content in phases to ensure that the process is without
    errors and meets the requirements.
        Question. Wasn't the original estimate for this system $29 million?
    What is causing the cost overrun?
        Answer. The initial cost estimate for the core functionality of
    FDsys was estimated in 2004 to be $29 million. The primary cause of the
    cost overrun is a result of data migration activities to move GPO
    Access collections to FDsys. These were not a part of the original cost
    estimate and the effort has been much more difficult than anticipated.
    The cost of this effort alone will be about $11 million by the time we
    complete the migration from GPO Access to FDsys.
        Question. What will the annual operating costs be for this system?
        Answer. Initially, the annual operating cost will be about $3.25
    million. These costs consist of software license maintenance as well as
    the labor to maintain the system, at approximately $1.75 million per
    year, plus the costs of replacing aging hardware and software over
    time, at approximately $1.5 million per year. The annual operating
    costs could go down in 2-3 years as GPO staff assume work currently
    performed by contractors. Future development costs, which are optional,
    could run in the neighborhood of $4.75 million per year.
                              passport production
        Question. How is GPO's current demand for passport production? Are
    you fully implementing your production capability?
        Answer. The State Department initially requested that GPO produce
    11 million passports during fiscal year 2010. Since then they have said
    they plan to order an additional 2 million passports for the remainder
    of fiscal year 2010, bringing the total to 13 million books. The
    Department has also notified the GPO that they intend to budget and
    order 15 million passports in fiscal year 2011. GPO has the capacity to
    produce 20-24 million passports annually given the equipment and
    personnel on hand without resorting to overtime. As GPO's security and
    intelligent document business grows, particularly in the smart card
    area, we intend to utilize any available labor resources to staff the
    card equipment and processes.
        Question. As a follow up to a conversation we had during last
    year's hearing, have you given any further consideration to the
    production of foreign passports?
        Answer. We have explored the possibility of producing passports for
    foreign nations and have found several challenges that need further
    consideration before we can proceed.
        Question. What challenges do you face in this undertaking?
        Answer. Currently, there are statutory limitations on GPO producing
    non-U.S. Government printing. We have not been able to determine
    whether a Federal agency with the capability to conduct bilateral
    international agreements would be willing to act as a broker for our
    services with foreign nations. There also are unresolved questions
    concerning the acceptability of providing foreign nations with access
    to GPO's passport production facilities and proprietary processes.
                              gpo building issues
        Question. You are requesting $2 million to initiate the process of
    relocating production operations from GPO's building 4 to the main GPO
    complex. Why are you doing this?
        Answer. The primary benefit is avoiding one-time building 4
    infrastructure improvement costs and investing those resources in more
    energy-efficient equipment and system upgrades within the main GPO
    complex to support passport operations. Infrastructure investment of
    one-time facilities costs to building 4 would be for utility and HVAC
    upgrades, new windows, and general building maintenance improvements.
    The passport operation within the main GPO complex would utilize more
    energy-efficient enterprise and lower operating costs from variable
    speed drives, energy efficient lighting, and variable speed air
    handling units with savings realized year-over-year.
        Question. What will this investment buy us?
        Answer. GPO could offer building 4 space under space-sharing
    agreements to other legislative branch agencies for storage or light
    industrial use, offsetting the annual operating cost to idle the
    building and recover costs. A full return-on-investment study would be
    necessary to completely analyze the cost benefit of renovations to all
    floors into class A office space for lease purposes.
        Question. What is the total cost of this proposed relocation?
        Answer. In addition to the initial $2 million appropriation, which
    would cover relocation of current operations in the main GPO building
    to accommodate the move, costs would be incurred for passport and
    warehouse operations equipment relocation, estimated at $2 to $6
    million (depending on whether one or both passport production lines are
    moved); construction of new office space for training and bindery
    operations estimated at $850,000; and construction of a new wastepaper
    facility to house the secure waste processing system within the main
    GPO complex, at an estimated cost of $500,000 to $1 million. Other
    variables are the requirements and schedule of the State Department and
    costs to install equipment through an exterior building window that is
    too big for the freight elevator.
        Question. What is your agency doing to support environmental
    sustainability?
        Answer. GPO has been involved in environmental sustainability
    activities for many years regarding paper, ink, emissions reduction,
    energy efficiency, digital dissemination, waste management, recycling,
    and related measures. Some of the highlights of GPO's recent
    sustainability activities include the following:
      --With the approval of the Joint Committee on Printing (JCP), in 2009
            GPO increased the recycled content of the newsprint to print
            the Congressional Record and the Federal Register to 100
            percent from 40 percent with no runability or printability
            problems. The 100 percent recycled paper is being supplied at
            no increased cost over the previously supplied 40 percent
            recycled paper. GPO is also evaluating responses to a request
            for proposal for the most sustainable copier paper available in
            today's market.
      --GPO has established a voluntary partnership with EPA's WasteWise
            program to baseline and monitor waste reduction and prevention
            activities. We have reduced our landfill waste by issuing a
            contract to ensure all of our wood waste (pallets, skids, and
            old furniture) is recycled. Currently, GPO's wood waste is
            being used for mulch in Maryland.
      --Over the past year, GPO has reduced VOC emissions in plant
            operations by 86 percent from the previous rate, which also
            reduced our purchasing costs for fountain solution by 22
            percent.
      --Using appropriations to the revolving fund provided for fiscal year
            2009, GPO installed roughly 100,000 square feet of an
            environmentally sustainable roof on its main complex buildings.
            The highly reflective roof coating provides a cool roof
            environment that not only reduces cooling demands inside the
            building but improves the life expectancy and efficiency of
            rooftop equipment. Additional roof repairs will be carried out
            as necessary using available funds in the revolving fund.
      --This past year, GPO received 21 new vehicles including 18
            alternative flex fuel (E85) vehicles and two new hybrid
            vehicles through funding provided to the General Services
            Administration as part of the stimulus bill.
      --FDsys utilizes 50-watt processors instead of the standard 80-watt
            processors. This decision will realize more than $12,000 per
            year in energy savings, as these servers operate at a much
            higher efficiency.
      --GPO has established an Environmental Protection and Regulatory
            Affairs Committee consisting of key leaders from each business
            unit to ensure attention to top sustainability initiatives.
        Question. What is the most pressing infrastructure challenge you
    face at your building?
        Answer. Currently we are continuing with our program of elevator
    repairs. The elevators are essential to movement of personnel and
    materials in our 8-story main complex, and are a life/safety measure
    where the rapid evacuation of persons with critical medical conditions
    is concerned.
                                   coop plan
        Question. Can you explain the $2.2 million for Continuity of
    Operations funding you are requesting in fiscal year 2011? Given our
    current budget situation, is this something that can be deferred?
        Answer. GPO has identified continuity-of-operations (COOP) funding
    as a priority for fiscal year 2011, at a level of $1 million. The $2.2
    million originally requested included funding for a distant site as
    well as enhancements to GPO's offsite computer systems. Recently GPO
    received feedback from Senate staff that a mobile strategy that does
    not rely on fixed sites to support the production needs of Congress
    should be considered. We are beginning to assess the costs and
    implications of supporting Congress through so-called ``fly-away''
    kits. This would require GPO to establish production capabilities from
    pre-packaged equipment and supplies that would be unpacked and an empty
    facility set up for that purpose. Of the $1 million identified as COOP
    priority funding, approximately half would be dedicated to this
    purpose.
        Additionally, there is a requirement to complete the needed
    redundancy for GPO critical operations at the Legislative Branch
    Alternate Computer Facility (ACF) in support of Congress, including
    completion of a backup system for FDsys. The other half to of the
    funding provided to COOP would be devoted to this purpose.
                                     ______

                    Question Submitted by Senator Mark Pryor
        Question. Mr. Dodaro, I do have a question for you about diversity
    there in your office, in your agency. And I guess I would like to ask
    all three if you have a diversity plan, but specifically for you, I
    would like to know how your efforts at diversity are going?
        Answer. In compliance with the directive in the Joint Explanatory
    Statement accompanying H.R. 1105, providing omnibus appropriations for
    fiscal year 2009, GPO has adopted a formal written policy, in
    accordance with all applicable Federal laws, to develop and institute
    an affirmative action plan with specific goals and objectives to
    further the ability of women, minorities, and individuals with
    disabilities to achieve balanced representation within the Legislative
    Branch workforce and management. GPO's Affirmative Employment Plan has
    adopted many of the elements set forth in the Equal Employment
    Opportunity Commission's Management Directive 715 to ensure that all
    employment decisions are free from discrimination.
        GPO has made substantial gains in diversity in its management
    ranks. Employees at the Grade 15 level currently are 65 percent white
    and 35 percent minorities. In the last report to Congress submitted in
    2008, 32 percent of positions at the Grade 15 were held by females;
    females now represent 36 percent of the employees at this grade. This
    demonstrates small but steady strides that GPO is making to increase
    its diversity at the higher grade levels.
        Grade 13 supervisors are the feeder group for managerial positions
    and this grade has experienced a significant change. The placement of
    qualified minorities and females into supervisory grade 13 positions
    will prepare them to become GPO's future leaders. Presently, 51 percent
    of Grade 13's are white and 49 percent are minorities. In this grade 36
    percent of employees are male and 67 percent are female.
        During my tenure I have made a personal commitment to increasing
    diversity. I have conveyed this commitment in a meeting with senior
    management, and I have issued a policy statement to all employees
    indicating the importance of diversity. To further implement GPO's
    support of diversity, diversity has been included as an element in
    GPO's Strategic Vision.
        GPO has continued its policy of outreach to colleges and
    universities that will strengthen our applicant pool with highly
    qualified diverse candidates. These colleges include Florida A&M
    University, the University of Texas at El Paso, the University of New
    Mexico, and the University of California at Berkeley.
        GPO also recruits at the National Technical Institute for the Deaf
    for qualified employees, to include persons with disabilities in our
    diversity program. The Equal Employment Opportunity Commission (EEOC)
    has indicated that the percentage of people with disabilities in the
    Federal Government is decreasing. However, GPO continues to rank as one
    of the top Federal employers for people with disabilities. As of
    September 30, 2009, GPO had a workforce of 2,322 employees. Of these,
    almost 7 percent are individuals with a reportable disability, and of
    them approximately 1.5 percent are individuals with targeted
    disabilities. By comparison, most Federal agencies have fewer than 1
    percent of their employees with targeted disabilities. These employees
    work in business units throughout GPO.
        In addition to our recruitment plan, we have entered into a
    strategic alliance initiative with California State University at Los
    Angeles, which is a Hispanic Serving Institution. This initiative
    allows university seniors to develop an actual design project that
    prepares them for the job market and provides the organization with an
    actual product.
        Where veterans are concerned, GPO continues to be involved with the
    Coming Home to Work Initiative. Through this initiative with the
    Department of Veterans Affairs, eligible service members and veterans
    are placed in positions at GPO to gain work experience.
        GPO carries out a number of efforts to ensure that supervisors and
    managers know the agency's perspective on diversity and equity in the
    workplace. GPO's Director of Equal Employment Opportunity (EEO) and
    Deputy EEO Director meet with business unit managers semi-annually to
    discuss their organizations' diversity and other EEO-related issues.
    During these meetings we discuss their current workforce statistics and
    possible strategies to address any noted imbalances.
        GPO supervisors and managers are also required to participate in
    training on EEO and Discriminatory Harassment. I personally address
    each of these sessions to inform supervisory personnel of my commitment
    to EEO, and I use these classes as a mechanism to impart the
    significance of diversity and equality in GPO's workplace.
        GPO clearly recognizes the significance of attaining diversity at
    GPO and we are firmly committed to achieving this goal.
                                     ______

                  Questions Submitted to Douglas W. Elmendorf
                   Questions Submitted by Senator Ben Nelson
                          fiscal year 2011 flat budget
        Question. How will your agency cope with a flat budget in fiscal
    year 2011?
        Answer. Fiscal year 2011 funding equal to the 2010 appropriation of
    $45.2 million would represent a reduction in funding for CBO because
    the agency's 2010 operations are being financed, in part, by funds from
    a 2009 supplemental appropriation. In total, CBO's 2010 funding comes
    to about $46.4 million.
        Most of CBO's budget is devoted to personnel. Because a flat fiscal
    year 2011 budget would, in practical terms, represent a reduction in
    CBO's funding, the agency would need to reduce its full-time
    equivalents (FTEs) by 9 from the 258 proposed in its fiscal year 2011
    budget request--eliminating the 4 additional positions requested for
    next year and another 5 that are funded this year. Those reductions
    would save about $1.5 million. They would, however, represent a setback
    in terms of CBO's ability to provide estimates and analysis for the
    Congress as it addresses major issues on the legislative agenda. With
    the support of the Congress, CBO staffing has expanded in recent years,
    especially in the health area. But the needs for estimates and analysis
    have continued to expand as well, and despite extraordinary efforts by
    CBO staff, the agency could not satisfy all the requests for estimates
    for healthcare proposals. A reduction in staffing below the current
    level would make it more difficult to meet future needs of committees
    and Members. Congressional deliberations on topics such as climate
    change, immigration, the defense budget, financial reform, and deficit
    reduction, the new statutory Pay-as-You-Go requirements, new issues
    that cannot even be foreseen now, and CBO's ongoing responsibilities to
    produce hundreds of formal cost estimates and even more informal
    estimates will require substantial efforts on CBO's part. Faced with
    reduced staffing, CBO would work with the Congress to prioritize
    requests for analysis to ensure that the most critical requirements
    were addressed in a timely way.
        In addition, CBO would have to reduce information technology (IT)
    spending by $0.5 million--primarily in the areas of communications,
    software development, disaster recovery, equipment replacement, and
    commercial data. Also, library operations would be reduced by $0.1
    million--primarily in the area of online subscription services.
                                healthcare staff
        Question. Over the past few years, CBO has increased its capacity
    in the healthcare area. Now that the legislation has passed, do you
    expect to transition back to less staff in that area? How do you
    envision managing that transition? What happens to staff hired for
    healthcare expertise?
        Answer. CBO was able to meet the incredible demands placed on the
    agency for healthcare analysis and cost estimates over the past 2 years
    only because many of the agency's health staff frequently worked 7 days
    a week, often 12 to 15 hours a day (and sometimes more), for a
    significant portion of those 2 years. Even so, CBO struggled to keep
    pace with the demand for cost estimates and other analyses related to
    healthcare. As the Congress grapples with the long-term budgetary
    pressures facing the nation, stemming to a significant degree from
    rising healthcare costs, and with the issues that will arise regarding
    implementation of the new healthcare legislation, the need for CBO
    analyses of health issues is likely to remain great. We anticipate that
    the staff will be quite busy responding to requests for estimates and
    analyses, and carrying out the research necessary to produce such
    responses--but, hopefully, at a more measured pace than what was
    necessary in recent months.
        There are still many unanswered requests from Members of Congress
    about various policy proposals and their potential effects on both the
    budget and the private health insurance market. In addition to
    preparing analyses for specific Congressional requests, CBO hopes to
    conduct modeling and research to address a variety of health policy
    questions that will allow the agency to provide useful information to
    the Congress for future legislative efforts in 2011 and subsequent
    years. Because the healthcare arena is complex, significant lead time
    is necessary to prepare for a broad range of potential legislative
    action. For example, a key reason that the agency was able to prepare
    several dozen estimates of major health insurance proposals in 2009 is
    the fact that CBO spent considerable effort in 2008 and prior years to
    develop its health insurance modeling capability.
        CBO expects that the analysts at the agency who work on health
    issues will be busy and fully engaged for the remainder of this year
    and in fiscal year 2011. A few of the contributors to CBO's health
    team's work over the past year were doing ``double-duty'' while they
    were also working on their ``regular'' responsibilities of covering
    issues besides healthcare. Some of those members of the large 2009-2010
    health team may return to working solely or primarily on legislative
    issues unrelated to healthcare. CBO expects that its full-time health
    analysts--whether recently hired or long-time CBO staff members--will
    not face any shortage of interesting and challenging work in the near
    future.
                       role in new healthcare legislation
        Question. How do you see your role during the implementation of the
    new healthcare legislation? What, if any, difference in required
    expertise do you envision needing?
        Answer. As a Congressional support agency, CBO does not have a
    direct role in implementation of the new law. However, the agency
    recognizes that there is very keen interest in the Congress for
    information about how the law will be implemented and how the
    combination of regulatory actions and the behavior of states, private
    organizations, and individuals will affect spending and receipts for
    the Federal government through the Medicare and Medicaid programs,
    through the new private insurance exchanges, and through other health-
    related programs created or modified by the legislation. As part of its
    Congressionally mandated efforts to prepare baseline projections of
    spending and receipts under current law, CBO will need to gather data
    and update a large number of budget projection models. Those efforts
    will require an extensive amount of work over the next few years; and
    the focus of that work will evolve as CBO analysts learn more about how
    the Department of Health and Human Services is carrying out the myriad
    provisions of the new law.
        CBO has worked hard to hire and develop a diverse staff of health
    policy analysts. The current group of such analysts is well suited to
    conducting research and developing budget-oriented models related to
    the implementation of the new law and any potential legislative
    revisions that might be considered by the Congress.
                           supplemental funding spent
        Question. Of the $2 million provided in the fiscal year 2009
    supplemental appropriations bill, how much has CBO spent?
        Answer. CBO has spent $1.5 million of the $2 million in
    supplemental funding. The agency anticipates spending the remaining
    balance by September 30, 2010.
                         benefits of work for congress
        Question. What changes were implemented at CBO with the
    supplemental funding which benefits your work for Congress?
        Answer. One significant use of the supplemental funds was to
    replace or upgrade computers used by health analysts. CBO analysts
    utilize a variety of computer models to help estimate the impact and
    cost of various healthcare proposals. Numerous iterations are typically
    required to assess the effect of changing multiple variables, and
    before receipt of the supplemental funds, model runs for a particular
    proposal consumed many hours. The new computer equipment acquired with
    the supplemental funding significantly reduced turnaround time for
    model runs, enabling analysts to respond to inquiries from the Congress
    much more rapidly. Health models that previously ran in 10 hours took
    only 2 hours to run, and models that took 2 hours finished in 15
    minutes.
        CBO was also able to accelerate the hiring of additional staff,
    which enabled the agency to respond more quickly to Congressional
    inquiries on health issues. In addition, the agency was able to reward
    its employees who were engaged in the health efforts with performance
    bonuses for the grueling almost around-the-clock, 7-days-a-week work
    that was necessary to meet the legislative schedule. Those bonuses
    boosted morale and thereby helped CBO to sustain that intense effort
    over a period of many months.
        Also, CBO purchased actuarial services that enabled the agency to
    consult with experts in the areas of actuarial science and health
    insurance. That assistance was valuable to CBO in estimating the
    effects of options involving differing packages of insurance benefits
    and variations in their actuarial value or scope of covered services,
    and proposals to reshape the delivery of healthcare.
                         new ftes for fiscal year 2011
        Question. Why are you requesting four additional FTEs in fiscal
    year 2011?
        Answer. Now that comprehensive health legislation has been enacted,
    the nature of healthcare analysis at the agency changes some, but it
    does not go away. CBO will now need to make regular budget projections
    for the new and expanded Federal healthcare programs, and it will need
    to estimate the budget costs and other consequences of contemplated
    changes to those programs. In addition, CBO will probably need to
    respond to Congressional interest in exploring other possible changes
    to the healthcare system. Continued large Federal budget deficits and
    the key role of rising Federal healthcare spending in boosting future
    deficits ensure that health issues will remain central to the
    Congress's deliberations.
        With the staffing level as it was, CBO's health analysts produced
    the quantity of health analysis that they did only by adopting an
    almost round-the-clock, 7-day-a-week schedule, which could not have
    been maintained. And even with that extraordinary effort, the quantity
    of analysis that was produced was not sufficient to meet the needs of
    many Members of Congress. The formidable work that still remains to be
    done in analyzing heathcare is something that CBO hopes to undertake in
    a sustainable fashion.
        Three of the four additional staff that CBO is requesting would go,
    in some combination, to the Budget Analysis Division and the Health and
    Human Resources Division. If the needs for health analysis permit, CBO
    might reallocate some analysts in the Health and Human Resources
    Division from work on healthcare to work on income security and
    education--an area in which CBO has fewer analysts than necessary to
    meet Congressional needs.
        The fourth additional FTE requested is for the Management,
    Business, and Information Services Division. That group includes IT
    personnel, editors, Web personnel, financial managers, and others. As
    CBO has expanded its analytic staff in the past couple of years, the
    agency has added some staff in those support functions as well. The
    additional position would provide administrative support to enable
    senior members of the staff to focus more effectively on their core
    responsibilities.
                        biggest challenge moving forward
        Question. What do you see as CBO's biggest challenge moving
    forward?
        Answer. CBO faces a number of significant challenges that we are
    working hard to meet. One such challenge is a growing demand for
    analyses of impacts of legislation beyond just budgetary effects. For
    example, in the case of the recently enacted healthcare legislation,
    there was great interest in proposals' effects on health insurance
    premiums and on the nation's total spending on healthcare. (We were
    able to address questions on the first but not on the second.) There
    has also been much interest in the effects of climate policies on
    employment and economic growth. (CBO has produced reports on both of
    those topics.) But producing such information on the basis of careful
    research and analysis can be both difficult and time-consuming, which
    makes it particularly challenging to produce useful results in time for
    Congressional consideration of the legislation in question. In order to
    accomplish that objective, we need to anticipate the issues that will
    arise and the types of analysis that will be requested far enough in
    advance to allow us time to build a proper analytical foundation so
    that CBO's analysis can be both well-thought-out and timely. We
    regularly seek guidance from the budget committees and others as to the
    particular issues that are likely to need CBO's attention.
        Another significant challenge is recruiting and retaining high-
    quality staff, a vital ingredient to CBO's success. This is not a new
    challenge, but is one that has to be met every year if we are to
    maintain or enhance the quality of CBO's work. It is a difficult
    challenge to meet, however, and especially so for Ph.D. economists. The
    market for economists is very competitive; salaries are higher in the
    private sector, in academia, and at the Federal Reserve and some other
    government agencies; and many economists do not think of working for
    the government when they first start job-hunting. We continue to
    recruit aggressively and to strive to maintain a workplace environment
    that will be attractive both to the current staff and to potential new
    hires.
                           shift resources internally
        Question. Besides hiring additional FTEs, have you been able to
    shift resources internally to better meet Congress's growing demand for
    your services?
        Answer. CBO frequently adjusts staff assignments in order to
    respond to changing legislative priorities--sometimes for a period of
    weeks or months, sometimes for longer periods. In the case of
    healthcare, the agency shifted the responsibilities of numerous staff
    members during the past 2 years in order to meet the great need for
    analysis in that area. In the past year, we have also shifted resources
    into work on the government's involvement in financial markets,
    nutrition assistance, climate change, and student loans. In fact,
    because of the growing need for analysis of the government's financial
    commitments, we are establishing a separate Financial Analysis Division
    in order to more effectively focus resources in that important area.
                    restrictions in hiring foreign nationals
        Question. Please describe why section 704 of the 2010 Omnibus
    Appropriations bill, relating to restrictions on the hiring of foreign
    nationals in government agencies, is detrimental to your agency. Is
    there not enough talent within the United States to support your
    agency's needs?
        Answer. Section 704 effectively eliminates the ability for CBO to
    hire foreign nationals who are not permanent residents. This
    restriction has a particular effect on CBO's ability to hire recent
    graduates with Ph.D.s in economics, because more than half of such
    graduates are foreign nationals. In 2008 (the most recent data
    available) 1,091 people received Ph.D.s in economics in the United
    States; of those, only 405 were citizens or permanent residents of the
    United States. Eliminating access to the majority of these graduates
    makes it tremendously difficult to recruit qualified candidates.
        This market is particularly important to CBO because approximately
    40 percent of the agency's staff members hold Ph.D.s in economics.
    CBO's Ph.D. economists conduct economic research and policy analysis of
    Federal activities with the objectives of assessing the risk, costs,
    and consequences of these activities for the Federal government and for
    the economy.
        The market for Ph.D. economists is very competitive. Most new Ph.D.
    economists, 60 percent, go to academia, and 18 percent go to industry
    and business, including financial institutions. The government garners
    only about 13 percent. Compensation is generally greater in academia
    and industry, and CBO, like other government agencies, is constrained
    in the salaries that it can offer.
        Another challenge of the market for economists is that recent
    graduates have skill sets that are separate and distinct from the skill
    sets of more experienced economists. Specifically, recent graduates
    have been trained in cutting-edge quantitative techniques, making them
    particularly suited to developing and maintaining complex economic
    models. In the past CBO has had success recruiting foreign nationals
    who contributed to our work while holding various types of visas and
    then converted to permanent residency or moved to other positions.
    Hence, CBO's Macroeconomic Analysis Division (and specifically the
    Fiscal Policy Studies Unit and Financial Markets Unit) has been
    particularly reliant on the work of foreign nationals.
                                     ______

                    Question Submitted by Senator Mark Pryor
                                diversity status
        Question. I would like to know how your efforts at diversity are
    going?
        Answer. As part of the Omnibus Appropriations Act of 2009, CBO,
    like the other legislative branch agencies, was asked to write a plan
    related to workforce diversity. CBO first enunciated a policy of
    maximizing diversity in recruitment and then completed a statistical
    analysis of its workforce to identify areas in which greater diversity
    efforts should be focused. The agency is in the process of writing its
    plan to address those areas; the plan should be finished by the first
    of June.

                              SUBCOMMITTEE RECESS

        Senator Nelson. So thank you. We will stand in recess.
        [Whereupon, at 4:40 p.m., Thursday, April 15, the
    subcommittee was recessed, to reconvene subject to the call of
    the Chair.]

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2011

                                  ----------

                            THURSDAY, APRIL 29, 2010

                                           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. Ben Nelson (chairman) presiding.
        Present: Senators Nelson, Pryor, and Murkowski.

                              LIBRARY OF CONGRESS

    STATEMENT OF HON. JAMES H. BILLINGTON, LIBRARIAN OF
                CONGRESS
    ACCOMPANIED BY:
            JO ANN JENKINS, CHIEF OPERATING OFFICER
            DANIEL P. MULHOLLAN, DIRECTOR, CONGRESSIONAL RESEARCH SERVICE
            ROBERTA SHAFFER, LAW LIBRARIAN

                    OPENING STATEMENT OF SENATOR BEN NELSON

        Senator Nelson. Good afternoon, everyone. I think what we
    will do is we will get started, and when my ranking member
    arrives, then we will have her give any opening statement she
    would like to make.
        I want to welcome all today. We meet this afternoon for our
    fourth and final legislative branch budget hearing for fiscal
    year 2011. Today, we will hear from the Library of Congress
    (LOC) and the Open World Leadership Center.
        It is my pleasure to welcome in short order my ranking
    member. We have worked very well together, and I know we will
    continue to be able to do that, as well in the future. And I
    welcome her right now.
        And I also want to welcome our witnesses--Dr. James
    Billington, the Librarian of Congress, and Ambassador John
    O'Keefe, Executive Director of the Open World Leadership
    Center. It is good to have you, as well as Ms. Jo Ann Jenkins.
    It is good to have you gentlemen and lady here this afternoon,
    and we look forward to hearing from you.
        If it is possible to keep opening statements brief, around
    5 minutes, it would be very helpful. And of course, the rest of
    the testimony would be received for the record.
        One thing that we have established at our first three
    hearings--and I think it bears repeating--is that we intend to
    hold the legislative branch flat this year. I believe that
    spending restraints start at home, and we need to lead by
    example on this subcommittee. We can't do that by appropriating
    large increases to our agencies.
        I think the President sent the message so loudly and
    clearly in his State of the Union Address this year, noting
    that families across our country are tightening their belts and
    making tough decisions, and the Federal Government must do the
    same, he said, and he announced a 3-year freeze on nonsecurity
    discretionary Government spending.
        The President said, ``Like any cash-strapped family, we
    will work within a budget to invest in what we need and
    sacrifice what we don't.''
        And he warned further, ``If we don't take meaningful steps
    to rein in our debt, it could damage our markets, increase the
    cost of borrowing, and jeopardize our recovery--all of which
    would have an even worse effect on our job growth and family
    incomes.''
        Dr. Billington, I want to welcome you and your Chief
    Operating Officer, Jo Ann Jenkins. Sadly, I understand that Ms.
    Jenkins has accepted a position as the executive director of
    the American Association of Retired Persons Foundation. When I
    say ``sadly,'' I am not sad that you are accepting that
    position, I am sad that you will be leaving the Library next
    month.
        We appreciate the 15 years that you have been a steadfast
    presence at the Library, and of course, we wish you the very
    best. Among her many accomplishments are her work on the
    Library's Bicentennial Celebration, management and oversight of
    nine National Book Festivals, the opening of the new Library of
    Congress Experience at the Jefferson Building, and the
    completion of the Library of Congress and the U.S. Capitol
    Police merger.
        So, on behalf of the Senate, and in particular this
    subcommittee, I want to thank you for your service to the
    Library of Congress and very much wish you success and
    happiness in your future.
        Thank you.
        The Library this year is requesting $670 million for fiscal
    year 2011, an increase of $31.4 million, or 4.8 percent, over
    the fiscal year 2010 enacted level, as well as 30 additional
    full-time equivalents (FTEs). I understand about one-half of
    these new FTEs and around $5 million are for expanded research
    capabilities at the Congressional Research Service (CRS). So I
    look forward to hearing your testimony and discussing the
    particulars of your request.
        As a brief aside, I continue to hear from a number of
    organizations concerned about the performance royalties bill
    that would affect local radio stations. And I make this brief
    note here only because of the Copyright Royalty Board's
    potential role under this legislation. And along with many of
    my colleagues, I continue to oppose this bill and wouldn't
    support an attempt to attach such legislation to an
    appropriations bill, whether it is this one or any of the
    others, for that matter.
        And I also want to welcome Ambassador O'Keefe of the Open
    World Leadership Center. Ambassador O'Keefe and I had a
    pleasant experience in Lincoln, Nebraska, where he conducted an
    evening discussion of the work of the Open World Leadership
    that was not limited to Nebraskans, but many from Iowa, Kansas,
    and the surrounding areas were there as well. I thought it was
    an excellent presentation. I appreciate that.
        Ambassador O'Keefe, your budget request totals $14 million,
    an increase of $2 million, or 16.6 percent, above current year.
    I strongly support the important work done by Open World and
    its commitment to Congress and the legislative branch, and I
    look forward to hearing your testimony as well.
        Now it is my pleasure to turn to my ranking member, Senator
    Murkowski, for her opening remarks. And as I said at the
    beginning, we have enjoyed a wonderful working relationship,
    and I know that is going to continue well into the future.
        So the podium is all yours.

                      STATEMENT OF SENATOR LISA MURKOWSKI

        Senator Murkowski. Thank you, Mr. Chairman. I appreciate
    it.
        And as we have gone through these series of discussions
    with the various entities that are under the oversight of the
    Legislative Branch Subcommittee, you have been very consistent
    in conveying the message that we do need to be conscientious
    about our budgets. We do need to be setting the standard, and
    we have been working together well in that regard.
        I welcome you this afternoon to the subcommittee and join
    the chairman in his comments of welcome to you, Dr. Billington.
    It is always good to see you.
        Mr. Chairman, you might not have known, but Dr. Billington
    was the star in one of our Alaska reports where he was able to
    highlight some of the collection that is housed over there in
    the Library of Congress that relates to the history of my
    State. And I think it was one of our more popular programs in
    terms of the viewership. So I commend you for that, and it was
    a wonderful learning opportunity.
        I also extend my warm welcome to you, Ambassador O'Keefe,
    and appreciate your leadership over at the Open World
    Leadership Center. Appreciate both of you being here today to
    discuss how your agencies are planning to move forward in this
    upcoming fiscal year.
        Ms. Jenkins, I join the chairman in commending you on your
    15 years of service. We greatly appreciate it and wish you well
    in your coming endeavors over at the AARP. I know that everyone
    who has had an opportunity to work with you will miss you, but
    they have appreciated all your years of service.
        Mr. Chairman, you have provided the assessment or the
    overview, if you will, of the Library of Congress budget
    request and mentioned the increase in additional full-time
    equivalents, the FTEs, 30 FTEs. I look forward to hearing why
    the Library needs these additional FTEs at this time, whether
    or not this is a permanent expansion of the Library or perhaps
    a temporary solution to a shorter-term situation.
        As far as the Open World Leadership Center fiscal year
    request, I do understand that the fiscal year 2011 budget
    request is only $100,000 over the fiscal year 2009 enacted
    level of $13.9 million, but the Center is currently living
    within the fiscal year 2010 enacted level of $12 million. So I
    am anxious to hear why the Center feels that it needs to return
    to the previous funding level. So I will look forward to
    hearing your response to that.
        And again, welcome both gentlemen and Ms. Jenkins to the
    subcommittee.
        Senator Nelson. Dr. Billington.

                 SUMMARY STATEMENT OF HON. JAMES H. BILLINGTON

        Dr. Billington. Thank you, Mr. Chairman and Senator
    Murkowski.
        It is really an honor to be here to present the fiscal year
    2011 budget request of the Library of Congress just 5 days
    after the 210th anniversary of its birth as the Nation's oldest
    Federal cultural institution.
        I am accompanied, as you both noted, for the last time by
    our outstanding Chief Operating Officer, Ms. Jo Ann Jenkins,
    who will leave, as you pointed out, to become on June 1, in
    fact, president of the AARP Foundation. That happens to be my
    birthday, June 1. This is an unusual type of negative present.
        But we are grateful for all that she has done.
        Now, among those with me today for the first time are
    Roberta Shaffer, the new Law Librarian of Congress. Ms. Shaffer
    has much experience in the Library and the broader legal
    community. And two who have served the Library well for 20
    years and will assume new responsibilities in June as members
    of the Executive Committee--Robert Dizard, who will become
    Chief of Staff, and Lucy Suddreth, who will become Chief of
    Support Operations. They are both here as well.
        Now, Mr. Chairman and Senator Murkowski, recognizing the
    difficult budget environment that you have both mentioned, we
    are presenting a lean funding request, a 4.6 percent increase
    over fiscal year 2010. Fifty-eight percent of the increase is
    for required pay raises for our excellent staff and price level
    increases. Sixteen percent is for addressing urgent
    congressional needs in CRS. And the smaller remaining requests
    are largely to strengthen staff management capabilities and to
    support clear Library-wide priorities.
        These requests are mainly for people, which are urgently
    needed by an institution doing many times more work than in
    1992, but with 1,076 fewer employees. Our workforce has become
    ever more skilled and creative in order to remain the ``library
    of last resort'' and to acquire, as we have, our national and
    international leadership role in building a new electronic
    library while sustaining a traditional one and the values of
    the book culture itself.
        Mr. Chairman, the Congress of the United States has created
    and, thanks to your subcommittee and your leadership, sustained
    the largest, most inclusive, best-preserved record in one place
    of both the world's knowledge in 460 languages and America's
    creativity in all kinds of fields. In many ways, the Library of
    Congress contains our Nation's strategic information reserve,
    preserves the cultural patrimony of our free and diverse
    people, and is a lighthouse to the world for a whole concept of
    a knowledge-based democracy.
        We are now nearing completion of a focused effort that I
    initiated 10 months ago collaboratively to address Library-wide
    management requirements--a mid-course review of our strategic
    plan, strengthening governance and processes in information
    technology, and integrating the Library's Web presence into the
    central core of our work and our management structure across
    the entire Library.
        In the last 20 years of, in effect, superimposing an
    entirely new digital library on top of our traditional
    artifactual one, we have created an education-focused National
    Digital Library of 19 million items, almost all of which are
    original documents of American history and culture. We put
    online just 1 month ago in Paris a World Digital Library with
    UNESCO support, including some material from the cultures of
    all 193 United Nations (U.N.) nations.
        We now have enormous digital content and work with 170
    partner institutions in this country and 44 different States in
    leading a national program to archive important materials
    online, in accordance with our congressional mandate.
        But in the past 10 years, global book publishing has also
    increased by 40 percent. Digital information is proliferating
    virally, as we say, but it will never replace our heritage
    assets or, indeed, other new physical records that continue to
    be added to our often one-of-a-kind collections.

                              FORT MEADE MODULE 5

        Our most critical material need and highest mission
    priority this year is for Fort Meade Module 5, as requested in
    the Architect of the Capitol's fiscal year 2011 budget. We are
    already 8 years behind in the storage schedule for Fort Meade
    that we established with Congress and began implementing in
    1997. The already functioning modules are efficiently
    compacted, magnificently controlled for preservation, and have
    provided prompt, 100 percent delivery to our Capitol Hill
    reading rooms of all materials so far requested.
        This fifth module is essential if we are to sustain our
    core mission of preserving and making accessible collections
    needed both for present and for future generations. The Library
    of Congress is the only institution in the world capable of
    sustaining collections on this scale. Our key role for America
    in the information age could be compromised, perhaps
    irretrievably, if we cannot continue to acquire original
    written and published materials.
        These artifactual materials often provide the only near-
    permanent records of human creativity and, unlike digital
    materials, cannot be tampered with, censored, or rendered
    inaccessible by technological obsolescence.
        Thanks to this subcommittee's wonderful support, in
    conclusion, Mr. Chairman, we already have state-of-the-art
    preservation storage not only at Fort Meade, but also in
    Culpeper at the world's biggest and best facility for audio-
    visual conservation. We must continue to grow, preserve, and
    provide access to our artifactual collections if they are to
    remain usable for Congress, and we will need space to store
    them.

                              PREPARED STATEMENTS

        Thank you again for your support for the Library and for
    your consideration of our fiscal year 2011 budget.
        [The statements follow:]
                 Prepared Statement of Dr. James H. Billington
        Mr. Chairman, Senator Murkowski, and other Members of the
    Subcommittee: I am pleased to present the Library of Congress fiscal
    2011 budget request.
        Mr. Chairman, I am grateful to you and the subcommittee for your
    outstanding support for our fiscal 2010 request, which included a major
    investment in an initiative to renew and restore the Library's
    technological infrastructure. Through the 2009-2010 Management Agenda
    process, which I initiated last July, we are enhancing the governance
    and internal oversight of information technology investments to assure
    the most effective use of, and maximum accountability for, these funds.
        In recognition of the difficult budget environment, we are
    requesting a total fiscal 2011 budget of $715.5 million, a lean
    increase of $31.4 million or 4.6 percent over fiscal 2010. Fifty-eight
    percent of this request is for mandatory pay and price level increases.
    The largest program element in the modest requested increase for
    critical operations is the $4.9 million needed to address urgent
    Congressional needs in the Congressional Research Service budget. Our
    requested increase of 30 FTEs is necessitated by the greatly increased
    workload of the Library during the period from 1992 to 2010, in which
    an entire digital library has been added to the traditional library
    while the level of FTEs has fallen by 1,076 FTEs to 3,770.
        The details of the Library's budget request are described in this
    statement. At the start, I want to address a subject of paramount
    importance: the Library's collections. Our most critical need and
    highest priority this year is Fort Meade Module 5--for which funding is
    requested in the AOC's fiscal 2011 budget.
        The increased importance of this unique repository of human
    knowledge is solidly based on its history. Over two centuries, the
    Congress has built its Library into the largest and most diverse
    collection of human knowledge ever assembled by one institution. The
    Library also preserves the closest thing to a mint record of America's
    creativity thanks largely to its exclusive status as the depository of
    copyrighted works. It annually collects significant world cultural and
    scholarly resources in more languages and formats than any library in
    the world. Sustaining Congress' support for the mission of this unique
    American cultural institution is more important than ever before in
    this ``information age,'' when our economy and leadership depend more
    and more on usable knowledge.
        When the original library, housed in the Capitol, was burned by
    British troops in 1814, Thomas Jefferson within a month offered his
    personal library as a replacement. The Jeffersonian concept of
    universality argued that all subjects are important to the library of
    the American legislature, and this has guided the comprehensive
    collecting policies of the Library.
        The Library of Congress is the only institution in the world
    capable of sustaining collections on this scale. We cannot foresee all
    that will be important to those who come after us. But we have
    innumerable examples of how past items we saved have proven useful
    later in unforeseen ways. We are inspired as well as informed by
    preserving the thoughts, anxieties, achievements, and aspirations of
    past generations. If we collect less and the Library's collections
    diminish, future generations will know that we deprived them of that
    open window into their past.
        I have been asked, ``When is this going to stop?'' If we want the
    Library of Congress to exist for future generations as it does for us
    today and has for generations past, it cannot, should not stop. Our
    request for Fort Meade Storage Module 5 is not about another building.
    It is about preserving our collections and protecting the very essence
    of the Library of Congress.
        I can assure you that the Library of Congress does not keep
    everything. We have carefully thought-out acquisitions policies,
    developed and updated regularly by our curators and other experts. We
    continually work to improve our collections management, including
    inventory management, and with the Congress' great support, we now have
    storage modules at Fort Meade to secure and preserve our most valuable
    items. We will continue to do everything we can to be more efficient;
    but we will continue to need more space to store the Library's growing
    collections, and we are heartened by having a 100 percent retrieval
    rate from the Fort Meade repositories to our reading rooms.
        I have also been asked why we need to sustain collections when so
    much content is available electronically. It is a myth that as digital
    content has exploded onto the scene, hard copy materials are
    significantly declining. In fact, in the past 10 years alone, global
    book publishing has increased by 40 percent, and published books are
    increasing in number everywhere except (and for the first time this
    year) in the USA. The Library has enormous digital content holdings,
    but digital information will never replace our heritage assets, the
    physical record of knowledge and creativity represented in the
    collections. And there is a need to keep hard copies of many materials
    in view of the risks of tampering and the impermanence of much digital
    material.
        The Library of Congress was established out of our forefathers'
    conviction that knowledge is important to governance. Jefferson in
    essence established our collections policy. I believe that he would
    understand why we must continue to build the collections even though we
    face challenges in being able to store them, preserve them, and make
    them accessible. For the past 210 years, the Congress has made it a
    priority, through good times and bad, to allocate resources to properly
    fund the Library of Congress--to meet its acquisition and related
    storage needs. As a result, people living today have access to an
    incredible record of knowledge and creativity.
        If we succeed in our mission, our descendents--25, 50, and 200
    years from now--will be able to benefit from what we found important to
    acquire and preserve in 2011.
        Facing both relentless technological change and ever-increasing
    demands on the Federal budget, the Library has to be both disciplined
    and creative to fulfill its historic mission of service to the Congress
    and to the American people.
        This budget request is informed by an ambitious 2009-2010
    Management Agenda that I launched in July 2009 to ensure that the
    Library's investment priorities are focused even as its programs
    reflect new ideas and solutions. We have instituted a Library-wide
    approach to updating the Library's strategic plan and aggressively
    developed coordinated plans for information resource management,
    enterprise architecture, human capital management, facilities
    management, website content, the acquisition of electronic works
    through mandatory deposit, and the creation of a culture of innovation
    at the Library.
        The Management Agenda also addresses findings from a number of
    recent internal management-related studies, including a report from an
    internal Library Committee on Strategic Direction, an Inspector General
    report on information technology strategic planning, and a Library-wide
    employee survey. The agenda will help the Library's Executive Committee
    continue to strengthen Library decisionmaking, allocation of resources,
    and accountability.
        Since its July launch, the Management Agenda has emphasized the
    development of results-oriented outcomes, broad involvement from all
    levels of Library staff and managers, and implementation of best
    practices in Library management structures and processes.
        For the Library's fiscal 2011 request, our principal requests for
    program increases are for:
    Broadening Research Capacity and Enhancing Data Management Technology
            to Better Serve Congress on Complex Emerging Policy Issues
                Broaden Research Capacity--$2.8 million
        The Congressional Research Service (CRS) requests funding and FTEs
    in fiscal 2011 to broaden its expertise and strengthen analytical
    capacity in the areas of science and technology, healthcare, financial
    economics and accounting, and social policy related to employment,
    immigration, and the work force. This funding will enable CRS to
    enhance its unique multidisciplinary analysis on the range of complex
    policy issues before the Congress. The request is the first half of a
    2-year initiative to provide the additional analytical skills needed to
    fully support the expanding needs of the Congress in these areas. This
    additional analytical capacity will also give CRS the long-term
    flexibility to adapt to rapidly changing issues and debates that will
    arise in these critical areas.
                Enhance Technology--$2.1 million
        CRS also requests funding to adapt and strengthen its information
    technology research architecture in order to meet growing congressional
    demands in almost every policy area for analysis requiring an
    increasing quantity of complex data. This funding will enable CRS to
    create and maintain a state-of-the-art information research
    architecture, establish a robust research data management (RDM)
    structure, and develop new mechanisms to deliver CRS products and
    services to its congressional clients.
    Assuring Access to the Collections Now and into the Future
        The Library's fiscal 2011 budget request includes modest support
    for key operational and technological improvements that directly affect
    the delivery of core mission services. The request will support our
    newly reorganized strategic planning efforts over the last several
    years to prioritize our needs and allocation of resources.
                Acquisitions and Bibliographic Access Directorate Space
                        Reconfiguration--$1.05 million
        The request includes support for a reconfiguration of space in the
    Acquisitions and Bibliographic Access Directorate (ABA) to realize
    efficiencies in acquiring and processing collections materials. This is
    a critical core function of the Library. Heretofore these processes
    have been based on a century-old library model. Work processes have
    been reengineered and streamlined, and now a space reconfiguration is
    needed to fully implement our new workflow model by creating
    appropriate processing areas, mail receiving areas, shelving, and
    secure housing areas.
                Collections Inventory Management--$1 million
        The requested increase in funding will also help to make inventory
    control an ongoing, core function. This funding will support the
    continuation of the baseline inventory initiative begun in 2002, as
    well as the inventory work related to the transfer of collections to
    Fort Meade. The Library is working with leaders in the private sector
    to identify and incorporate best practices in inventory control.
                Integrated Workflow and System Replacement--$1.35 million
        The Library also requests funding to take full advantage of
    technology by completing the analysis of Library Services' systems and
    workflows begun in fiscal 2009. This effort is developing a process
    management system to integrate current systems and databases, thereby
    streamlining Library-wide business functions. The Library's renewed
    enterprise architecture program will guide the development of the
    system. This request also includes support for the replacement of an
    inadequate MS DOS-based order, distribution, and accounting software
    system used by the Library's overseas offices.
                Elimination of Foreign Legal Gazette Backlog and Class K
                        Conversion--$1.1 million
        Finally, to ensure that the law collection is both comprehensive
    and current, the Library requests funding for contractual services to
    eliminate a preservation backlog of foreign legal gazettes, as well as
    personnel resources to reclassify 610,000 volumes in the law
    collections. This reclassification will allow new legal specialists to
    search and retrieve all portions of the collections, as staff members
    most familiar with the older classification system retire.
    Investing in Human Capital
                Supervisor Development--$1.05 million
        In alignment with the Management Agenda's focus on human capital
    management, the Library requests an investment in developing
    supervisors and staff, as well as funding for a Library-wide student
    loan program to support recruitment and retention of the next
    generation of Library employees. The request for funding for
    supervisory development flows in part from a Library-wide employee
    survey, which revealed the need for enhanced supervisory and leadership
    skills to develop new and existing supervisors with the skills to hire
    and cultivate a diverse and effective workforce.
                Staff Development--$1.6 million
        The Library requests funding to invest in staff development to
    address critical training gaps, and to develop and sustain a culture of
    innovation. Funding for the Library-wide student loan program modeled
    on the programs of the Congress and the Executive Branch will give the
    Library the retention and recruitment tool that it needs.
    Ensuring Effective and Efficient Maintenance and Operation of the
            Library's Public Spaces and Facilities
                Public Space Maintenance and Operations--$1.5 million
        The Library's request includes funding to support Library-wide and
    public space facility needs. The expanding workload associated with the
    greatly increased number of visitors, aging historic buildings, complex
    regulatory requirements, and broad new energy conservation initiatives
    cannot be accomplished with currently available resources. In fiscal
    2011, the Library requests support to address flooring issues in public
    spaces, including carpeting that has long ago exceeded its normal
    replacement cycle; to implement greening and energy conservation
    initiatives; to eliminate an Office of Compliance-reported workstation
    safety hazard; to modernize food service areas; and to expand the use
    of contract professional design and engineering services as recommended
    by the Office of the Inspector General.
                Furniture Inventory Management--$391,000
        In addition, the request includes funding to implement an ongoing
    contract for an automated furniture inventory and recycling system for
    furniture reuse. This funding will support the Library's highly
    successful furniture inventory and reuse pilot project, which since
    2006 has effectively reused 13,196 pieces of furniture to achieve a 3-
    year savings/cost avoidance roughly ten times the annual cost of a
    furniture inventory management contract. This requested funding will
    also support a small stock of high demand, frequently needed items for
    rapid provision to offices that are experiencing losses of productivity
    because of the long lead time required for procurement processing.
    Acquiring In-House IT Capability in the Electronic Copyright Office
            (eCO) and Licensing/Royalty Distribution Systems
                Copyright Technology Office IT Support--$475,000
        In response to an increase in responsibilities related to system
    infrastructure and development support for the electronic Copyright
    Office (eCO) system on which the great majority of Copyright Office
    activities are processed, the Copyright Office requests funding to
    acquire in-house IT expertise for the system. This funding will provide
    highly skilled and experienced IT professionals to support the eCO
    system so that the Copyright Office will rely less on contract support
    for day-to-day maintenance and operations. This funding will also
    result in more detailed and efficient system implementation and
    testing.
                Licensing Reengineering Project--$790,000
        The Copyright Office also requests funding for contractor support
    to complete the implementation of the Licensing Division reengineering
    effort to automate the royalty calculations process. Reengineering
    Licensing's processes and automating the calculations process will
    improve productivity and strengthen responsiveness to both copyright
    claimants and users of the public licenses. In addition, the Copyright
    Office requests funding for IT staffing to support the reengineered
    licensing/royalty distribution system.
        The committee last year appropriately expressed concern about the
    number of copyright registration applications waiting processing.
    Through internal efforts in the Copyright Office and a recent program
    which I initiated to temporarily assign 50 other Library personnel to
    the Office, we have made a significant reduction--close to 70,000
    claims--in that backlog. Both the Register and I will continue to give
    this effort a high priority.
        In summary, senior management's extensive recent efforts to renew
    and improve governance processes and accountability across the Library
    account for our fiscal 2011 funding request to support these critical
    operational requirements and immediate congressional needs.
        Mr. Chairman and members of the subcommittee, thank you again for
    your support and your consideration of our fiscal 2011 budget.
                                     ______

                   Prepared Statement of Daniel P. Mulhollan
        Mr. Chairman, Senator Murkowski, and other Members of the
    Subcommittee: Thank you for the opportunity to present the fiscal year
    2011 budget request for the Congressional Research Service (CRS). I
    would also like to describe how we align our work with that of the
    Congress to serve you most effectively and steps we are taking to
    ensure continued success in that mission.
                    alignment of crs work with the congress
        CRS works closely with the Congress on a daily basis and has
    maintained this working relationship since its inception. Members know
    they can count on CRS to be nonpartisan, objective, authoritative, and
    confidential. Experts at the Service align their work with the
    congressional agenda from the moment a new issue arises and continue to
    meet the needs of lawmakers throughout all stages of the legislative
    process and across the full range of active public policy issues. CRS
    analysts examine the nature and extent of problems facing the Congress,
    identify and assess policy options, assist with hearings on policy
    proposals and on implementation of existing policies.
        We closely support the Senate in the confirmation process involving
    executive officers and judges and are currently gearing up for another
    nomination to fill a Supreme Court vacancy. A team of CRS attorneys and
    procedural experts is also assisting the Senate in preparing for an
    impeachment trial of a Federal district court judge. With high profile
    treaties on the agenda, CRS will continue its analytical support of the
    treaty ratification process. CRS brings a high level of expertise and
    institutional memory to assist with these essential constitutional
    responsibilities of the Senate.
        Highlights of the past fiscal year illustrate the breadth and depth
    of services that meet continuing congressional needs for legislative
    assistance.
        As the financial crisis peaked and the U.S. economy continued to
    stall, CRS experts focused on options for economic stimulus under
    consideration by Congress: understanding the effectiveness of Federal
    spending increases, income tax cuts, and the application of monetary
    policy. During formulation, deliberation, and implementation phases of
    the stimulus bill, the American Recovery and Reinvestment Act of 2009,
    analysts assessed how the provisions could provide stimulus, in what
    ways they could be utilized, and by whom. They addressed debt and
    deficit issues and measures of economic recovery. As Congress debated
    measures to address weaknesses of the financial system, CRS supported
    congressional efforts to reform key elements of consumer finance,
    including credit card markets, mortgage finance, and predatory lending.
    Experts studied and reported on systemic risk, resolution of problems
    of banks deemed too big to fail, mark-to-market accounting, and credit
    rating agencies. When the effects of the financial downturn began to be
    felt in other parts of the world, CRS analyzed the impact of the crisis
    on the European Union, China, Canada, Latin America, and Russia.
        The healthcare debate also saw CRS heavily involved in analyzing
    the various proposals and consulting with Member, committee, and
    leadership offices. CRS formed a health team with participants from
    several CRS divisions marshaled to provide a multidisciplinary
    perspective on this highly complex issue. Our congressional procedures
    experts also responded to many complicated procedural questions that
    arose during consideration of legislative proposals. This issue remains
    a continuing focus of CRS work.
        The President also submitted his first nomination to the Supreme
    Court last year. CRS analysts and information professionals, as in
    years past, worked closely with Senate Judiciary Committee staff in
    supporting the advice and consent process. CRS prepared analyses of
    court of appeals decisions of Judge Sotomayor and developed resources
    available on our website to assist with the hearings and Senate
    deliberation of the nomination.
        Other congressional concerns required impartial CRS policy
    analysis, such as the influence of Iran's policies on the security of
    the Middle East region, Afghanistan stabilization, and the handover of
    major security missions to Iraqi forces; unemployment compensation, job
    creation, and training needs resulting from the severity of the
    recession; food and drug safety; and responses to the potential public
    health threat of an H1N1 influenza pandemic. Additional examples of
    support include analysis of environmental and climate change concerns,
    U.S. energy security and independence; the crisis in the automobile
    industry and subsequent bankruptcies of large automobile companies and
    suppliers, the U.S. missile defense program and its technical
    capabilities, national security issues and military law regarding
    wartime detainees, and the increase of drug trafficking violence at the
    U.S.-Mexican border.
        CRS management consults with congressional leadership regularly to
    ensure that the Service's research agenda is aligned with lawmakers'
    needs. To confirm that CRS remains aligned with the Congress and
    supportive of its legislative needs, we appreciate your support for
    engaging outside expert assistance to inform and reinforce our efforts
    to align our work with the congressional agenda. We recently entered
    into a contract with LMI, a not-for-profit strategic consulting firm,
    to evaluate independently CRS's current staffing models and procedures
    to determine how effectively we are meeting our statutory mandate. LMI
    has gathered both qualitative and quantitative information from
    committees, subcommittees, Members and staff and CRS staff. We were
    proactive in contacting over 3,700 staff members by e-mail before the
    distribution of a staff survey by LMI to encourage a strong response
    rate. That effort produced a response rate with a margin of error of
    less than 3 percent for the data. LMI conducted interviews with Members
    or senior staff from 15 congressional offices and focus groups with
    staff from the House and the Senate--all groups selected using a
    stratified random sample. LMI will also report on best practices for
    research organizations geared to ensuring responsiveness to client
    needs, and assess communication channels, including a Member Advisory
    Committee, that would ensure that CRS remains aligned with the work of
    the Congress and the needs of its clients. In addition, LMI conducted
    meetings with CRS staff. We expect their final report in August.
        On January 15, 2010, CRS implemented telework for its non-
    bargaining unit staff, following guidance in the conference report that
    CRS have in place by January a telework policy modeled on that of the
    Library. Following negotiations with CREA, the certified bargaining
    representative, and with the help of a mediator from the Federal
    Mediation and Conciliation Service, we reached a formal agreement on
    March 26, 2010. We will modify the telework agreement for non-
    bargaining unit staff so that it conforms to the agreement reached with
    CREA, and will implement telework for all CRS staff on May 3, 2010. CRS
    has invested significant resources to set up a robust infrastructure to
    support those who seek the telework option. I believe that the telework
    policy implemented for CRS staff provides the benefits to employees of
    an additional alternative work arrangement. At the same time the policy
    preserves the ability of CRS to be there when Congress needs us and to
    remain fully aligned with the legislative agenda and your work
    patterns.
                              crs as shared staff
        We understand the difficult budget outlook, and CRS is prepared to
    play its part in arriving at a responsible budget for the next fiscal
    year that achieves critical agency objectives within a constrained
    funding environment. Congress faces enormous challenges in fashioning
    policy on high-profile issues such as health, immigration, the aging
    population, the conduct of two wars, burgeoning technological
    advancement, and financial restructuring. In CRS, Congress has at its
    disposal adjunct staff available to every Member and committee. This
    means that Member and committee offices need not hire the specialized
    expertise that CRS is able to retain and make available to all
    congressional offices and committees as shared staff. In difficult
    budget times, CRS offers a model that achieves economies and savings
    and at the same time affords the Congress the expertise and resources
    it needs to legislate wisely and in an informed manner with respect to
    the complex issues that confront it and the country.
        In that regard, before explaining our budget request, I want to
    discuss briefly a matter that relates to this model that Congress
    intended for CRS and the constitutional status of CRS and the Library
    of Congress. As the Library has already informed you, in February, the
    Federal district court in Live365, Inc. v. Copyright Royalty Board,
    preliminarily rejected a challenge to the Librarian's authority to
    appoint Copyright Royalty Judges ruling that it was likely that the
    Library would prevail on its argument that the Librarian of Congress is
    the head of a department who may appoint such officers under Article II
    of the Constitution. The court relied in part on an earlier 1978 case--
    Eltra Corp. v. Ringer--which upheld the Librarian's power to appoint
    the Register of Copyrights. The judge noted the Eltra court's findings
    that the Library was a hybrid agency with both executive functions
    (e.g, the Copyright Office's registration function) and legislative
    functions (e.g., CRS).
        I feel that the hybrid formulation captures the original intent of
    Congress in placing CRS within the Library. Congress extensively
    debated the relationship between CRS and the Library prior to the
    creation of the modern CRS in the Legislative Reorganization Act of
    1970. At the time, it was thought ``the Library serves as a useful
    mantle for protecting the Service from partisan pressures. Furthermore,
    the effectiveness of the CRS will be enhanced by its continued instant
    access to the Library's collections and administrative support
    services.'' I believe that that rationale is still valid today and that
    the model that the Congress devised back in 1970 works. While CRS
    remains open to any change the Congress deems advisable, the overall
    relationship whereby Congress' policy research and analysis support arm
    is housed within the Library of Congress is a valuable one worth
    preserving.
                        fiscal year 2011 budget request
        The CRS budget request for fiscal year 2011 is $119,919,000, with
    almost 90 percent devoted to pay and benefits for our staff. This
    request includes funding for mandatory pay increases and price-level
    increases due to inflation, added staff with specialized technical
    skills and policy expertise, and an upgraded information architecture
    supporting ready access to the many and varied data sets required for
    research. CRS continues to operate at its lowest staff level in more
    than three decades, and the small percentage of non-pay expenditures is
    limited to basic operational needs. Therefore it is necessary to
    request additional funding when investments are needed to expand or
    upgrade the capabilities of the Service to meet the growing policy
    demands placed upon Congress.
        An internal review of our capabilities to analyze the evolving and
    increasingly complex challenges facing the Congress identified gaps in
    the specialized skills needed for comprehensive multidisciplinary
    analyses and assessments. This budget request includes $2.8 million for
    17 of the 34 FTEs needed to rectify these concerns. Thirteen of these
    34 positions would enhance scientific and technical capabilities in
    areas such as energy, climate change, information technology, military
    weapons, and security and provide additional expertise in disciplines
    such as physics, engineering, and biology. Eight positions would
    provide new skills in analyzing the healthcare industry, health
    informatics, and veterans' health. Another eight positions would focus
    on financial regulatory and oversight issues with expertise in
    financial accounting and auditing, consumer financial protection,
    credit markets, and financial derivatives. The remaining five positions
    would be skilled in labor economics, demography, tax policy, and
    statistics to support the analyses of issues pertaining to employment,
    immigration, workforce, and economic well-being. This 2-year targeted
    increase in staff would require that CRS return to a FTE total that is
    only four over the level authorized in fiscal year 2007. These experts
    would have a direct impact on providing all relevant information and
    analysis needed for informed decisions.
        The budget request also includes $2.1 million to address our need
    to manage in a more sophisticated way the rapidly growing data
    necessary for authoritative analysis. We must invest in tools and
    services to establish an architecture that accommodates changes in
    technology. With this funding, CRS would create service-wide frameworks
    for data sets that would allow for efficient access to reliable data
    and full utilization of its contents. This investment would also allow
    us to employ modern content delivery capabilities, including
    interactive maps, data set mining, personalization features such as
    content tagging, and enhanced access to CRS products from mobile
    devices. Delays in this investment would cause a decline in efficiency
    and effectiveness as problems would increase due to technological
    obsolescence.
                                   conclusion
        This budget request identifies the resources needed for the
    talented and dedicated staff of CRS to provide the full scope of
    information and analysis that is relevant to the work of Congress. CRS
    scrutinized the plans for this spending to ensure the returns justified
    the investment in this period of difficult economic conditions. My
    colleagues and I have and will continue to examine every activity and
    program for efficiencies and reduce or eliminate costs where possible
    while fulfilling our mission. We are proud of our unique role in
    providing comprehensive, non-partisan, confidential, authoritative, and
    objective analysis to the Congress, and we thank you for your support.
        Thank you.
                                     ______

        Prepared Statement of Marybeth Peters, Register of Copyrights,
                                Copyright Office
        Mr. Chairman, Senator Murkowski, and other Members of the
    Subcommittee: Thank you for the opportunity to present the Copyright
    Office's fiscal 2011 budget request. Today I will discuss my fiscal
    2011 budget request for additional funds and FTEs to support the
    electronic Copyright Office system and for offsetting authority and
    FTEs to complete and maintain the Licensing Division Reengineering
    effort. I will also highlight some of the Office's accomplishments and
    challenges of fiscal 2009 and 2010.
                 support of the united states copyright system
        The Copyright Office administers the U.S. copyright law, under
    which owners of creative works register claims to protect their
    copyrights, cable and satellite companies and other users of statutory
    licenses pay royalties related to their statutory licenses, and
    publishers and other distributors of works published in the United
    States deposit copies of copyrightable works for possible addition to
    the Library's collections. Congress enacted the first copyright law in
    May 1790; in 1870, it centralized the administration of the Federal
    copyright law in the Library of Congress. The Copyright Office
    typically handles more than 500,000 copyright claims each year,
    representing well over one million works, and transfers copies of
    selected copyrighted works to the Library's collections. In fiscal year
    2009, the Office received 532,370 claims to copyright and registered
    382,086 claims. It transferred to the Library over 739,000 copies,
    valued at over $32.2 million. The Office as a whole answered almost
    360,000 non-fee information and reference inquiries and served a
    substantial number of visitors to the Public Information Office and the
    Copyright Public Records Reading Room.
        The Licensing Division of the Copyright Office receives royalty fee
    payments related to licenses that deal with secondary transmissions of
    radio and television programs by cable television systems; secondary
    transmissions of superstations and network stations by satellite
    carriers; and the importation, manufacture, and distribution of digital
    audio recording devices and media. In fiscal 2009, the Licensing
    Division collected more than $262 million in royalties from cable and
    satellite companies subject to statutory licenses, accrued more than
    $10.5 million in interest on royalties for the copyright owners, and
    distributed close to $273 million to copyright owners. The Office moved
    forward with reengineering the Licensing Division and building an
    electronic filing system.
         highlights of copyright office accomplishments and challenges
    Addressing the Copyright Office Backlog
        As discussed in its December 31, 2009 report to you, the Copyright
    Office has been focusing on reducing the outstanding backlog of
    applications for copyright registrations. As highlighted in the report,
    the Copyright Office's backlog reduction efforts are in three key
    areas: additional staff; improved technology; and increased eService
    usage. We added over 30 Registration Specialists: 17 in spring 2009 and
    16 in January 2010. Those hired in 2009 are now fully productive; the
    class of 2010 is in training and currently productive in several
    categories of works. We improved the technology, supporting the
    processing of serial publications in the fall of 2009, through a
    combination of new hardware installation and new software. Finally,
    eService, the online copyright claims submission system, is now the
    predominant new claims filing method, accounting for over 70 percent of
    our weekly filings.
        In addition, between January and March 2010, the Librarian of
    Congress provided short term resources to assist in reducing our claims
    backlog. Fifty-one Library technicians were assigned to this effort,
    focusing on clearing over 43,000 serials (approximately 10 percent of
    our processable claims backlog); many television programs and audio
    books and more than 10,000 pre-screened performing arts/sound recording
    claims. Through the combined efforts of the Copyright Office and
    Library staff, and despite weather related closings, we achieved our
    goal of reducing the backlog by 100,000 claims. The Copyright Office is
    grateful to the Librarian and the Library as a whole in supporting our
    efforts to resolve the backlog issues.
    Operations Activities
        The Copyright Office implemented its business process reengineering
    project at the end of fiscal 2007 and released eService, the electronic
    Copyright Office (eCO) online registration system, in July 2008.
    eService filings quickly displaced the use of paper applications,
    constituting 54 percent of all claims received for fiscal 2009 and 72
    percent for the first quarter of fiscal 2010.
        In addition to the backlog reduction work previously discussion,
    the Copyright Office focused on: long-term strategic improvements to
    the eCO system; modified its fee schedule; completed preparations for
    the Copyright Records Digitization Project; and as part of our
    succession planning effort, established a new leadership training
    program.
        In the Summer of 2009, the Office awarded a contract for major eCO
    software upgrade that will improve eService user processing, improve
    Copyright Office throughput time, and in a later version, provide
    automated statistics to support internal management.
                Processes
        Through a continuous improvement initiative, the Copyright Office
    further refined its reengineered processes. For instance, Registration
    Specialists proposed two changes adopted by the Copyright Office: one
    resulted in decreasing the time required for the copyright deposit
    dispatch process; the other led to improved inter-divisional
    communications, resulting in faster problem resolution. We also
    examined our mail operation and throughput times in our Receipt,
    Analysis and Control Division which resulted in improvements in data
    entry and processing of correspondence. We expect to continue our
    improvement efforts by identifying additional areas where efficiencies
    can be achieved.
        In August 2009, the Copyright Office adjusted its fee schedule to
    reflect post-reengineering operational changes. Fees associated with
    filing copyright claims were adjusted to reflect processing costs, with
    eService filings remaining at $35, and paper claims increasing to $65:
    a reflection of the increase in the cost of processing paper claims.
    eService claims are less costly: they do not require data entry and
    they require fewer quality controls. Other fee services, such as
    research or certified copies of deposits, were also adjusted to more
    closely reflect the actual costs of the service.
                Organization
        As previously mentioned, during fiscal 2009, the Office hired 17
    registration specialists. The new hires were immersed in an accelerated
    training program combining classroom instruction with actual claims
    processing in the production environment. As of this month, 16
    registration specialists achieved independence in claims processing. A
    second class of 16 registration specialists was hired in January 2010
    and is currently engaged in an accelerated training program. The
    addition of 32 new registration specialists will significantly increase
    our production capacity. Recruitment for both groups was extensive,
    with a special effort made to attract underrepresented populations into
    our workforce. The interest level was overwhelming, allowing us to
    select a high caliber of new Registration Specialists.
        In mid-2008, the Copyright Office realized the need for a good
    succession planning program and a corresponding need to implement a
    leadership training program. In the spring 2009, we launched the
    Aspiring Leaders Program with an inaugural class of 12 participants.
    This is a competitive program in which candidates from the across the
    Copyright Office were selected to participate in a series of education
    programs focusing on leadership, communications, decisionmaking, and
    strategic thinking. Participants also had detail opportunities to other
    Federal agencies including the National Archives, Smithsonian
    Institution, and offices thought the Library of Congress. Our goal is
    to offer this program to other Copyright Office staff on an annual or
    bi-annual basis.
                Information Technology
        In fiscal 2009, the Copyright Office continued to make significant
    improvements to the eCO system through periodic software development
    releases and hardware installations. The cumulative effects of these
    actions are better system performance, stability and enhanced
    functionality for both Office staff and online filers. This included
    expanding the eService capacity to accommodate up to 500 concurrent
    users and ensuring its stability through an automatic backup system
    that will operate if the primary system fails. Also, in November 2009
    the Library of Congress Information Technology Service installed a new
    computer hardware suite that resolved recurring system throughput
    issues, improving the accessibility of eCO information by the Copyright
    Office staff.
        System improvements are continuing through fiscal 2010 as the
    Office is engaged in a major eCO upgrade designed to improve eService
    customer experience, improve Copyright Office throughput time, and in
    future versions, the automated capability to provide automated
    statistical software. The project includes an upgrade to the newest
    version of the software application that drives eCO and the
    installation of new network hardware. The initial implementation,
    scheduled for June 2010, will be followed by subsequent releases
    introducing new system functionality based on feedback elicited from
    internal and external users. Expected improvements in eCO system
    performance and functionality will ultimately result in increased
    production and decreased registration processing times.
        For fiscal 2011, the Office seeks approval to hire three new highly
    skilled IT specialists to provide expertise in the areas of project
    management, business analysis, requirements definition, and system
    testing. Providing for more in-house IT support will result in direct
    and indirect cost savings by reducing reliance on contractors for
    ongoing maintenance and operations, enhancing our ability to undertake
    critical projects, improving project and resource management, and
    improving testing methods.
    Copyright Records Digitization Project
        We made significant progress on our Copyright Records Digitization
    Process during fiscal 2009 and early 2010. Based on an extensive
    analysis of our existing records, we determined that, since 1870, the
    year the registration function was moved to the Library thereby
    consolidating the copyright functions in the Library of Congress, 34
    distinct processes have been employed to capture and preserve copyright
    data. Each process, from the large books signed by the A.R. Spofford,
    the Librarian of Congress in 1870, through the handwritten and typed
    card catalogue, and even a citizenship certification signed on a
    playing card, required testing to ensure the best possible image could
    be captured and stored for preservation and public use.
        Based on the analysis, the Copyright Office will undertake the
    following steps to complete the digitization task and allow full public
    access to the country's copyright records:
      --Complete imaging the Catalog of Copyright Entries (660 volumes).
            This is a 6 month process and should be completed by the fall
            2010;
      --Complete imaging of 2.5 million assignment cards. This should also
            be completed by fall 2010;
      --Begin imaging the 49 million card catalogue by catalog series,
            beginning with the most recent (1977) data and working
            backward;
      --Begin metadata creation for imaged records to ensure public
            searchability. This is a manual process and must be done for
            each image; and
      --Begin the cross referencing between and integration of imaged
            records.
        I look forward to sharing our progress on this project at future
    hearings.
    Licensing Division Reengineering
        In fiscal 2009, the Licensing Division resumed its reengineering
    efforts, reviewing its current administrative practices and underlying
    technology, performing a needs analysis for future operations, and
    beginning to design its re-engineered systems. This included developing
    an operational baseline, consulting with external stakeholders and
    preparing the organization for the change process inherent in
    reengineering. The goals of this reengineering effort are to: decrease
    processing times for statements of account by 30 percent or more;
    implement an online filing process; and to improve public access to
    Office records. In fiscal 2010 the Congress authorized the Licensing
    Division to use $1.1 million from the royalty pools to cover the
    reengineering costs and associated supporting software. Earlier this
    month the Office released a Request for Proposal to support this
    effort. As part of our fiscal 2011 budget request, we requested an
    additional one time authorization of $500,000 to cover any unforeseen
    reengineering expenses. As always, any funds not expended will be
    returned to the royalty pools. We are also asking for authorization of
    2 FTEs and $285,000 to cover ongoing system costs and maintenance for
    the new information technology system.
    Legal and Policy Activities (Domestic and International)
        The Office worked closely with the staff of the Senate Committee on
    the Judiciary on the reauthorization of Section 119 of the Copyright
    Act, a statutory license available to satellite services for the
    carriage of certain-over-the-air television signals, which was to
    expire on December 31, 2009. In 2008 the Office submitted its report to
    Congress on updating this license as well as two other statutory
    licenses; this report served as the beginning point of this past year's
    legislative activities. During the year much discussion ensued and the
    Senate introduce S. 1670. However, work on this legislation was not
    completed by the end of last year and since then Congress has enacted
    several temporary extensions of the section 119 statutory license.
        The Office spent significant time during the year evaluating the
    legal and business implications of the ongoing Google Book Settlement
    litigation. The Office assisted the Justice Department in preparing its
    Statement of Interest filed September 18, 2009 for the October fairness
    hearing. That hearing was postponed when the parties announced that
    they were amending the settlement agreement to address concerns that
    had been raised by a wide range of parties. An amended settlement
    agreement was filed with the court in early November and the fairness
    hearing was rescheduled for February 18, 2010. The Office once again
    assisted the Department of Justice with its second Statement of
    Interest, filed February 4, 2010. Both statements expressed concerns
    about the effect of the settlement on copyright law and policy and on
    competition. Additionally, the Office assisted the Justice Department
    in a number of court cases, including the preparation of amicus briefs
    filed with the Supreme Court concerning the interpretation of various
    provisions of the Copyright Act and filings in other cases involving
    constitutional challenges to the copyright law.
        The Omnibus Appropriations Act of 2009 mandated that the Copyright
    Office prepare a report for Congress on the copyright treatment of pre-
    1972 sound recordings; this report is due in March 2011. Specifically,
    the Office has been directed to study the desirability of, and means
    for, bringing sound recordings fixed before February 15, 1972 under
    Federal jurisdiction. Sound recordings fixed before February 15, 1972
    are governed by state law which in many cases is not well defined. The
    Federal copyright law allows states to protect these pre-1972 sound
    recordings until February 15, 2067. Work on this complicated issue is
    underway, and we expect to meet our deadline.
        On the policy front, office attorneys spent considerable time in
    2009 examining the ways in which the United States provides copyrighted
    works in accessible formats to the blind, visually impaired and print-
    disabled. The Office led an extensive consultation process regarding
    the operation of the U.S. exception, 17 U.S.C. Sec. 121, generally
    referred to as the ``Chafee Amendment.'' The Copyright Office website
    contains the record of this public process. The Office also conducted a
    day-long public meeting to explore the topics raised in the comments it
    received. These included: the operation of the Chafee Amendment for the
    general reading public as well as for students at the K-12 and college
    levels; the cross-border movement of accessible works for the blind and
    visually impaired; the role of technology; the role of trusted
    intermediaries; and existing systems for providing accessible versions
    of copyrighted works to the blind. The Office has worked diligently
    with other U.S. Government agencies in preparing for and attending
    meetings of the World Intellectual Property Organization's (WIPO)
    Standing Committee on Copyright, which has this issue on its agenda.
    The Office is currently working with the Library's National Library
    Service for the Blind, as well as with advocates for the blind and
    other stakeholders to explore ways to improve standards, resources and
    responsible cross border movement of works in accessible formats.
    Finally, during the week of March 8, the Office and the WIPO sponsored
    an international training program at the Library of Congress. The
    program focused on exceptions for the blind in the United States and
    other countries and consideration of a series of timely questions about
    resources, technical standards and market solutions designed to improve
    accessibility in the digital world, an area in which the United States
    has long been a leader. Attending were representatives of developing
    countries and countries in transition as well as experts from various
    parts of the world. Speakers included government and private sector
    experts from the United States and other countries. Staff from the
    Judiciary Committees of the Senate and House spoke on ``Copyright
    Policy on Capitol Hill.''
        Additionally, the Copyright Office assisted Federal government
    agencies with many multilateral, regional and bilateral negotiations
    and served on many U.S. delegations, including negotiations regarding a
    proposed Anti-Counterfeiting Trade Agreement and negotiations and
    meetings relating to the implementation of intellectual property
    provisions of existing Free Trade Agreements and Trade Promotion
    Agreements. The Copyright Office also participated as part of the U.S.
    delegation at various meetings of the WIPO.
                                   conclusion
        Mr. Chairman, I ask you to support the Office's fiscal 2011 budget
    request for two FTEs and additional offsetting authority to complete
    and maintain the Licensing Division Reengineering efforts and
    additional FTEs to provide long-term support for eCO, our information
    technology system.
        I also want to thank you for your past support of the Copyright
    Office reengineering efforts and its budget requests.

        Senator Nelson. Ambassador O'Keefe.
        Thank you, Dr. Billington.
    STATEMENT OF AMBASSADOR JOHN O'KEEFE, EXECUTIVE
                DIRECTOR, OPEN WORLD LEADERSHIP CENTER
        Ambassador O'Keefe. Thank you, Mr. Chairman, Senator
    Murkowski, Senator Pryor. I appreciate the opportunity to
    testify on the Open World Leadership Center's fiscal year 2011
    budget request.
        As a unique congressional center and resource, Open World
    is the dynamic catalyst for hundreds of international projects
    and partnerships that constituents have developed with emerging
    leaders from the countries of Eurasia. More than 6,000
    volunteer American families in all 50 States have hosted 15,500
    young professionals. More than 75 percent of Open World's
    fiscal year 2009 appropriation was expended on U.S.-based goods
    and services.
        Our U.S. hosts immersed these professionals in American
    life and values, contributing $1.9 million in cost shares.
    American volunteer hosts have enthusiastically stepped forward,
    keeping the demand for 2010 visitors at nearly triple our
    supply.
        In the past year, we have intensified our continuing
    efforts toward working with Senators, Representatives, and
    their staffs in coordinating programs with civic organizations
    in towns across America. We have doubled the number of Members
    of Congress who have met with our delegates. The Open World
    Board of Trustees has also directed the Center to draft a new
    strategic plan with goals that will engage Members of Congress
    and their constituents even more.
        We brought delegates from all 83 regions of Russia, all
    parts of Ukraine, from the Caucasus and central Asia. They now
    constitute 10 percent of the Russian Duma, one-third of the
    Council of Judges, and are the engines for change in fields
    from education to medicine.
        In the security sphere, for example, a Georgian Open World
    participant has been promoted to be his country's first
    ``cybersecurity czar.'' As he crafts Georgia's strategy to
    thwart the emerging threat of cyber attacks, he has reconnected
    with Department of Homeland Security experts that he met on our
    program.
        In a very recent example, a Kyrgyz parliamentarian, whom
    the Montana Senate majority leader both hosted in Helena and
    then visited in Bishkek, is one of the leaders writing the new
    constitution in Kyrgyzstan right now following the April
    revolution.
        Open World offers an extraordinary ``bang for the buck'' in
    terms of efficiency, cost effectiveness, and value. The Center
    boasts an overhead rate of 7 percent, and every grant contains
    cost-shared elements. Unfortunately, to keep costs down, I had
    to let go one of our nine staff here in Washington.
        Funding at the $14 million level requested by the Board of
    Trustees will enable the Center to resume its important
    nonproliferation program, bringing nuclear experts to enhance
    working relationships not covered by other programs. We will
    expand to Armenia, Uzbekistan, and Belarus and will fund a
    full-time development expert.
        With your support, Americans throughout the United States
    will engage a promising new generation of political and civic
    leaders--parliamentarians, mayors, environmentalists, anti-
    human trafficking activists, and others--in a dialogue that
    has, for example, doubled the number of Rotary Clubs throughout
    the regions we operate in and created 20 sister courts.

                               PREPARED STATEMENT

        This unprecedented congressional program has proven to be
    an exciting vehicle for linking grassroots professionals and
    emerging leaders. It helps create more transparent and
    accountable governments and expands cooperative arrangements
    between America and Eurasia.
        Thank you very much for your attention.
        [The statement follows:]
                 Prepared Statement of Ambassador John O'Keefe
        Mr. Chairman, Senator Murkowski, and other Members of the
    Subcommittee, I appreciate the opportunity to present testimony on the
    Open World Leadership Center's budget request for fiscal year 2011. The
    Open World Leadership Center, of which I am the Executive Director, is
    a unique congressional center that is a resource for Members of
    Congress and their staff and constituents. It seeks to assist Congress
    in its foreign policy oversight responsibilities and aid Congress in
    interparliamentary and similar legislative activities. In this
    capacity, the Center conducts one of the largest U.S. exchange programs
    for Eurasia, through which some 6,100 volunteer American families in
    all 50 states have hosted thousands of emerging leaders from former
    Soviet countries. As a result of these exchanges, hundreds of projects
    and partnerships beneficial to all have been initiated and enhanced.
    All of us at the Center are very grateful for Congress' continued
    support, and to the Members of Congress who participate in the Center's
    Open World program and who serve on our governing board. We look
    forward to working with you, other Members of Congress, congressional
    interest groups, and volunteer hosts throughout the United States to
    set the future path of Open World.
        The Board of Trustees suggested that the Center seek greater
    congressional involvement in the Open World program and develop a
    strategic plan that makes our agency an even more valuable resource for
    the legislative branch. I am pleased to share with you that nearly one
    out of two program participants in 2009--48 percent--met with Members
    of Congress or their staff. When our board convened on February 4,
    2010, we discussed important legislative components of a new strategic
    plan for 2012-2016, and I look forward to sharing these components with
    you as we develop them.
        Allow me to update you on the Center's operations and some recent
    program accomplishments. More than 15,000 emerging leaders from Russia,
    Ukraine, Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Moldova,
    Tajikistan, Turkmenistan, Lithuania, and Uzbekistan have participated
    in Open World. Significantly, more than 48 million Muslims reside in
    countries where Open World is active, and these countries have
    approximately 2,000 miles of shared borders with Iran and Afghanistan.
        Since its inception, the Center has awarded grants for overseeing
    our U.S. exchanges to 60 organizations headquartered in 25 different
    states and the District of Columbia. These grantee organizations host
    delegations themselves or award subgrants to local host organizations
    to do so. By 2010, well over 600 local host organizations--including
    universities and community colleges, Rotary clubs and other service
    organizations, sister-city associations, and international visitor
    councils and other nonprofits in all 50 states and the District of
    Columbia--had conducted Open World exchanges for the Center.
        More than 75 percent of Open World's fiscal year 2009 appropriated
    funds were expended on U.S. goods and services through contracts and
    grants--much of it at the local community level. American volunteers in
    48 states and the District of Columbia home hosted Open World
    participants in calendar year 2009, contributing a large portion of the
    estimated $1.9 million given to the program in the form of cost shares.
        In fiscal year 2010, Open World had a 14 percent reduction in
    appropriated funds. As a consequence, Open World terminated one of its
    most important but costliest programs, the nonproliferation exchange
    program for Russian nuclear experts and decision makers. Nevertheless,
    through cost shares, contract renegotiations, donations, and an
    interagency transfer, the Center was able to maintain the quality of
    the Open World program as well as to double the number of participants
    from the Republic of Georgia.
        The Center's budget request of $14 million for fiscal year 2011 was
    reviewed by our Board of Trustees. We will seek to fulfill our Board-
    approved strategic plan to expand to Armenia, Uzbekistan, and Belarus,
    as well as to bolster our development efforts. At this level, we will
    bring 1,400 participants in calendar year 2011. We estimate that,
    again, more than 75 percent of the appropriated funds will be spent on
    U.S. goods and services, including nearly $4.5 million in direct grants
    to American host organizations. The funds will allow thousands of
    Americans throughout the United States and their counterparts abroad to
    generate hundreds of new projects and partnerships and other concrete
    results.
                           open world program results
        There are many examples of solid, productive results from the Open
    World program:
        A Moscow principal who is pioneering inclusive education at her
    school instituted new curriculum activities for her students with
    disabilities--and became an advocate for Individualized Education
    Programs for special-needs students--after her 2008 Open World
    education exchange to Worcester, Massachusetts. Russian President
    Dmitry Medvedev met with this alumna and toured her institution on
    September 1, 2009, the first day of the Russian school year. The
    Russian president was impressed by the curriculum additions and by the
    alumna's point that inclusive schools like hers do not receive any
    government funding to defray the cost of the extra services provided to
    special-needs children. President Medvedev said he would have the
    Ministry of Education look into this funding issue and praised the
    alumna's school for being in the vanguard of inclusive education. The
    school visit was covered by three national TV channels.
        In agribusiness, a Moldovan alumnus, Dr. Gheorghe Arpentin,
    commenced a series of Skype online lectures recently at the request of
    North Carolina grape growers, many of whom have recently converted
    their fields into grape vineyards. The first lecture, on using organic
    viticulture, was well received; Dr Arpentin's recommendations were
    referred by members of the North Carolina Wine and Grape Council to
    North Carolina State University, where they are now being field tested
    on North Carolina soils for prospective application. Dr. Arpentin was
    recently named a deputy minister of agriculture. His second lecture is
    scheduled for late April 2010.
        This is what one of the American participants in Dr. Arpentin's
    first Skype class had to say:

        ``The SKYPE Lecture on Grape Growing by Dr. Arpentin from Moldova
    was exactly what we needed. We Americans tend to reach for `chemicals'
    to increase our crop productions. Dr. Arpentin directed us to `go
    natural with use of select rotated wild grasses' which will increase
    our yield, decrease bitterness of the grape, maximize plumpness and
    yes, save us money. With Moldova's 3,000 year history of successful
    grape growing and wine making and with Moldova's awards in the field, I
    listened closely and learned.''

        In an example touching on U.S. security interests, Open World
    Georgian delegates involved in drafting their country's personal data
    protection act met in November 2009 with House Energy and Commerce
    Committee staff members working on H.R. 2221, the Data Accountability
    and Trust Act, to discuss and compare their legislative provisions.
    Upon returning home, one of the delegates became the director of the
    Georgian Ministry of Justice's Data Exchange Agency, which is
    responsible for the nation's cybersecurity and e-government program. He
    continues to communicate with those he met on Open World, including
    representatives from the Department of Homeland Security's Computer
    Emergency Readiness Team and congressional staffers.
        At the Civil Society Summit held in Moscow last July in conjunction
    with the U.S.-Russian Presidential Summit, 12 of the 75 American and
    Russian attendees were Open World partners. All 12 now serve on working
    groups for the U.S.-Russian Bilateral Presidential Commission, which
    was created as a result of the presidential summit to explore new
    opportunities for U.S.-Russian partnership. In January 2010, a Russian
    alumnus was invited back to Washington, DC, where he had spent much of
    his 2008 Open World visit, to participate in the inaugural meeting of
    the Commission's civil society working group. The alumnus, who heads a
    nongovernmental organization (NGO) that aids homeless, exploited, and
    at-risk children and teens in Astrakhan Region, is an authority on
    child welfare issues, a major focus of the working group's first
    meeting. He is also active in advocating for Russia to create a
    counterpart agency to the Virginia-based National Center for Missing
    and Exploited Children, which he first learned about--and visited--
    during his Open World exchange. This same alumnus was just appointed to
    and made chairman of the Astrakhan city election commission.
        Open World alumni are continuing to climb up the ladder into
    leadership positions while bringing about changes from the periphery in
    and the bottom up. The Open World Leadership Center tracks these and
    other such results using eight categories, or ``bins,'' such as
    partnerships with Americans, alumni projects inspired by the Open World
    experience, and benefits to Americans. Since launching a results
    database in August 2007, Open World has identified more than 3,000
    results (see attached Results Chart).
                            open world and congress
        As a U.S. Legislative Branch entity, the Open World Leadership
    Center links Congress to experienced and enthusiastic citizens
    throughout the United States who are engaged in projects and programs
    in Open World countries, and actively supports the foreign relations
    initiatives of Congress. The Open World program routinely involves
    Members in its hosting activities and is responsive to congressional
    priorities. Seven of the 18 congressional members of the Commission on
    Security and Cooperation in Europe (Helsinki Commission) met with Open
    World delegates last year. The Center also regularly consults with the
    Congressional Georgia Caucus, the Congressional Ukrainian Caucus, the
    Russia Caucus, the Congressional Azerbaijan Caucus, the Congressional
    Caucus on Central Asia, the Friends of Kazakhstan Caucus, other
    congressional entities, and individual Members with specific interests
    in Open World countries or thematic areas.
        Some examples of Member and congressional staff interaction with
    Open World in 2009 and early 2010 are:
      --In February 2009, Senate Foreign Relations Committee Ranking Member
            Richard Lugar of Indiana met with four Turkmen parliamentary
            deputies taking part in Open World, including International and
            Interparliamentary Affairs Committee Chairman Batyr Berdyyev.
            They were able to compare notes on legislative jurisdiction,
            schedules, campaigning, and staffing with Senator Lugar. The
            group also discussed how the United States and Turkmenistan are
            dealing with the global economic crisis, and briefly reviewed
            Turkmenistan's proposal in the U.N. General Assembly to create
            an international security system for transnational energy
            pipelines.
      --In October 2009, five Tajik journalists visiting Connecticut joined
            Senator Christopher Dodd at the award ceremony for the Thomas
            J. Dodd Prize in International Justice and Human Rights. The
            award was presented to the Committee to Protect Journalists and
            the delegates had the opportunity to talk about issues related
            to the freedom of press with the senator and other journalists
            at the event.
      --In January 2010, Congressman David Price of North Carolina hosted a
            group of Moldovan parliamentarians in Raleigh and then in
            Washington, DC. The group's visit coincided with that of
            Moldovan Prime Minister Vlad Filat to both of these cities in
            order to further cement sister-state relations between North
            Carolina and Moldova. The Moldovan delegates proposed and
            discussed the idea of forming a North Carolina Caucus in their
            parliament.
      --In September 2009, Texas Senator Kay Bailey Hutchison met with an
            Open World delegation of Kazakhstani women leaders, including
            Bakhyt Syzdykova, Kazakhstan's youngest member of parliament.
            Representative Robert Aderholt of Alabama, a cochair of the
            Friends of Kazakhstan Caucus, also met with Syzdykova and
            discussed the idea of establishing a relationship between the
            Alabama Youth Legislature and the Kazakh Youth Parliament.
            Since then, we have begun making plans to bring regional
            coordinators for the Kazakh Youth Parliament to Alabama on an
            Open World exchange.
      --Pennsylvania Representative Allyson Schwartz, cochair of the
            Congressional Georgia Caucus, met in November with Georgian
            parliamentarians to discuss opportunities for future
            collaboration with the Caucus, and Georgia's geopolitical
            situation.
      --Open World partnered with the International Conservation Caucus
            Foundation in co-hosting the visit of Russian environmental
            leaders. Senators Tom Udall of New Mexico and Sheldon
            Whitehouse of Rhode Island met with the delegation, which
            included representatives of the Russian Duma, to discuss issues
            related to preserving endangered species and protecting the
            environment.
      --Open World arranged meetings with alumni leaders for the members of
            a Senate staff delegation during their late August-early
            September visit to Moldova, Georgia, and Russia. In Moldova,
            the congressional staff delegation met with mayors who had been
            hosted in North Carolina in 2007 on Open World. During this
            meeting, the staff delegation presented the mayors with letters
            of greeting from North Carolina State Representative Larry
            Brown and Winston-Salem Mayor Allen Joines, who had both taken
            part in the Moldovan mayors' Open World visit.
      --At the invitation of Chairman Eni Faleomavaega of the House
            Subcommittee on Asia, the Pacific and the Global Environment,
            Open World Executive Director John O'Keefe participated in
            December in a roundtable discussion with high-ranking
            Kazakhstani government officials about their country's human
            rights record and chairmanship of the Organization for Security
            and Cooperation in Europe.
        Open World plans to build on these congressional partnerships and
    to be even more active in serving Congress.
                       nonappropriated open world funding
        The Center, which is authorized to receive contributions from
    private sources, has redoubled its efforts to seek a wide range of
    supporters to increase and further diversify funding and strengthen the
    Open World program through cost-share partnerships. The major sources
    of nonappropriated funding are direct contributions from foundations
    and individuals, interagency transfers of funds, cost shares from Open
    World grantees and American hosts, and other forms of in-kind
    contributions, especially for Open World's alumni program, which
    receives no appropriated funds.
        In an effort to track the very generous in-kind support Open World
    receives from grantees and American citizens, the Center in 2007
    initiated a cost-share reporting requirement for all grantees
    participating in the program. We received $1.7 million in donated goods
    and services from hosts and grantees in 2008--equal to 19 percent of
    the Center's fiscal year 2008 appropriation. While the exact figure for
    2009 will not be available until later this spring, early estimates
    indicate it will be near $1.9 million.
        As an example of cost shares from grantees, Supporters of Civil
    Society in Russia (SCSR), the American partner of the prestigious
    Moscow School of Political Studies (MSPS), contributed $95,000 worth of
    lodging, meals, interpretation services, and other goods and services--
    53 percent of the total U.S. programming cost--to bring one group of 20
    emerging Russian leaders nominated by MSPS to St. Louis, Missouri, in
    April 2009 and another group of 28 to Chicago, Illinois, in October
    2009 for intensive accountable governance programming. Open World
    awarded a 2010 grant to SCSR to host again in both these locations with
    a similar cost share.
        Concurrently, Open World actively seeks donations from private
    sources. In 2009, Open World Trustee Walter Scott made a 3-year pledge
    of $525,000 from his family foundation to support Open World programs.
    Under the expert guidance of our development consultant, the Center is
    also approaching other individuals and organizations interested in the
    region.
        Reciprocal visits by Americans to Open World alumni help fulfill
    Open World's mission of strengthening peer-to-peer ties and
    partnerships. These visits by American professionals, hosts, or
    grantees involved in Open World are self-funded. For example, in May
    2009, eight representatives of the League of Woman Voters, an Open
    World grantee organization, traveled to Moscow, Kaluga, and St.
    Petersburg, Russia, and discussed electoral processes and women's
    political leadership with more than 25 alumni who had been hosted by
    various chapters of the League. Numerous U.S. judges and legal experts
    involved with Open World exchanges also make independently financed
    reciprocal trips to meet with program alumni. In 2009, American jurists
    involved with Open World's rule of law program made 59 reciprocal
    professional visits to Open World countries to meet with program alumni
    and senior judicial leaders to discuss judicial reform.
        Direct contributions from individuals, foundations, and other
    private sources during the same time period totaled more than $400,000.
    A fiscal 2009 interagency agreement with the National Endowment for the
    Arts (NEA) supported all the hosting costs (up to $500,000) of the
    Russian Cultural Leaders Program.
        Finally, the Center has temporarily engaged the services of a
    development consultant. In tandem with helping define and update our
    strategic goals and agency mission statement, this specialist will help
    the Center establish an in-house capacity for fundraising.
        open world 2010 activities, 2011 plans, and 2012-2016 strategic
                                    planning
        Interest in the Open World program remains vibrant within the
    American hosting community. The ``demand'' for Open World visitors from
    Russia in 2010 is more than double the ``supply''--potential American
    grantees applied to host up to 1,816 Russian participants, while the
    Center will only have funding to bring 750 to the United States. For
    the 2010 Ukraine program, demand was triple the supply of available
    hosting slots, and for Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan,
    Moldova, Tajikistan, and Turkmenistan, potential grantees proffered a
    total of 1,158 hosting slots, while Open World can afford to host only
    314 visitors from these seven countries.
        Open World continues this year to host in thematic areas that
    advance U.S. national interests in general, and congressional interests
    in particular, and that generate concrete results while strengthening
    the ties between American communities and their partners abroad. This
    programming emphasizes and builds on Open World's incremental successes
    in such areas as governance (focusing on the legislative branch's role
    in helping to bring about good governance and affecting public policy),
    the rule of law, human-trafficking prevention and prosecution, and
    environmental issues. This year Open World will also increase its non-
    Russian programming to approximately 46 percent of its total
    programming, which is double Open World's 2007 level of non-Russian
    programming.
        One example that demonstrates Open World's commitment to supporting
    existing partnerships and initiatives is our involvement with the 15-
    year-old relationship between Maryland and Russia's Leningrad Region.
    Open World has sponsored 14 Leningrad-Region delegation visits to
    Maryland since 2002, helping this sister-state partnership work on such
    substantive areas as accountable governance, education, social
    services, and the rule of law.
        In turn, the State of Maryland has funded reciprocal visits to
    Russia. In August 2009, a delegation of Maryland educators led by the
    director of international affairs of the Maryland Secretary of State's
    Office visited Leningrad Region. Then in December, an official Maryland
    Sister States delegation met in Russia with over 40 Open World alumni
    associated with this partnership and worked with government officials
    to nominate an Open World delegation of Leningrad regional legislators.
        These regional legislators were hosted for Open World in January
    2010 by the Maryland Secretary of State's Office. The delegation spent
    much of its time in the Maryland legislature, focusing on how a state-
    level legislature functions and on the legislative process. Other
    programming covered such topics as legislative advocacy, lobbying,
    ethics, state taxation and fiscal structure, and economic development.
        The Center will also continue women as leaders programs, like the
    one planned in April 2010 for a delegation of women parliamentarians
    from Kyrgyzstan and Kazakhstan. Their programs will focus on women's
    issues, with the Kyrgyzstani leaders participating in Congresswoman
    Eddie Bernice Johnson's Women's Peace Initiative in Dallas, Texas, and
    the Kazakhstani leaders being hosted in Illinois by Congresswoman
    Debbie Halvorson.
        In 2010 and 2011, the Center will actively seek to host more
    regional legislators--especially legislators from Central Asia and the
    Caucasus, based on congressional interest. We will have a large pool of
    newly elected regional legislators to draw from. Rule of law
    programming for Open World countries whose judiciaries demonstrate
    continued movement towards independence will also have a focus.
    Finally, with Board approval and in consultation with the
    Appropriations Committees, the Center is prepared in 2011 to expand the
    Open World program into other countries.
        By the end of this fiscal year, the Center will have finalized a
    new strategic plan spanning 2012-2016 with a focus on making the Center
    an even more valuable resource for Congress and its constituents. There
    will be in-depth program changes to increase congressional involvement
    in Open World and focused efforts to provide support to the constituent
    hosts who have established programs and partnerships in Open World
    countries. The Board, in its preliminary discussion of the new
    Strategic Plan, suggested considering the following:
      --Ensuring that a substantial portion of future program participants
            are legislators, either at the national, regional or local
            level.
      --Engaging more Members of Congress to host Open World
            parliamentarians.
      --Increasing the percentage of Open World delegations that meet with
            Members of Congress, congressional entities, and/or
            congressional staff to discuss issues of relevance to both
            sides.
      --Ensuring that every delegation gains a working understanding of the
            role of the U.S. Congress and state and local legislatures in
            government operations.
      --Adding subthemes to Open World programming to highlight how
            citizens and interest groups work to affect the legislative
            process at the Federal, state, and local levels.
                        fiscal year 2011 budget request
        Funding at the requested level of $14 million will enable the
    Center to fully respond to congressional interests in the region and
    beyond while continuing its proven mission of hosting young political
    and civic leaders who return home to launch projects and programs in
    cooperation with their American counterparts and hosts. The Board of
    Trustees believes that maintaining a robust grassroots-based Open World
    presence in the region is necessary and important for future U.S.
    relations in these politically significant countries.
        The budget request, in conjunction with projected donations and
    cost shares, will also allow the Center to increase hosting to 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 Subcommittee and
    the U.S. Embassies in these countries. The requested funding will also
    help offset an expected decrease in prior year recovered funds and
    Trust revenue income.
        Major categories of requested funding are:
      --Personnel Compensation and Benefits and other operating expenses
            ($1.73 million);
      --Contracts ($7.8 million--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; and
      --Grants ($4.47 million--awarded to U.S. host organizations) that
            include the cost of providing:
        --Professional programming for delegates,
        --Meals outside of those provided by home hosts,
        --Community activities,
        --Local transportation,
        --Professional interpretation,
        --Administrative support.
                                   conclusion
        In an increasingly connected world, where citizen ambassadors on
    Main Street are conducting important work in the sphere of public
    diplomacy, Open World gives community leaders a unique institutional
    base in the legislative branch for partnering with Congress while
    providing them with the resources to succeed. As Dr. James Billington,
    chairman of the Open World Board of Trustees, stated at the annual
    Board meeting on February 4, 2010:

        ``Citizen diplomacy is becoming much more important. In an
    increasingly connected world, it is not just State Department officials
    but North Carolina farmers who now have access to a deputy minister in
    Moldova. And the Federal judge who hosts counterparts in Kentucky is
    now in direct contact with a supreme court justice in Ukraine. The
    secretary of state from Maine regularly exchanges emails with the mayor
    of Arkhangelsk, Russia. Open World helps create these and thousands
    more lines of communication.''

        Open World offers an extraordinary ``bang for the buck'' in terms
    of efficiency, cost-effectiveness, and value. The Center boasts an
    overhead rate of about 7 percent, every grant contains cost-shared
    elements, and more than 75 percent of our appropriation is plowed back
    into the American economy every year. At the local level, where the
    funds and the jobs are most needed, our delegates, as part of their
    ``after hours'' Open World experience, participate in American life at
    local restaurants, cultural sites, sporting events, shopping centers,
    and other places in the community. During the professional portion of
    their local program, they not only benefit from working with their
    American counterparts, but also share their own expertise in turn. In
    this way, the Center is both a mini-stimulus plan as well as a true
    international exchange program.
        Funding the 2011 Open World program at the requested level of $14
    million will allow Americans in hundreds of Congressional Districts
    throughout the United States to engage up-and-coming Eurasian political
    and civic leaders--such as parliamentarians, environmentalists, and
    anti-human trafficking activists--in projects and ongoing partnerships.
    Americans will, once again, open their doors and give generously to
    help sustain this successful congressional program that focuses on a
    region of profound interest to U.S. foreign policy. To that end, the
    Subcommittee's interest and support have been essential ingredients in
    Open World's success.

        Senator Nelson. Thank you.
        Why don't we go to a 6-minute round of questions?

                     ACQUISITION STRATEGY AND STORAGE COSTS

        Two years ago, at our request, the Government
    Accountability Office (GAO) looked at the Library's management
    of its collections. One of their recommendations was that the
    Library develop a Library-wide strategy for making its
    collection available in electronic form, both as a means of
    providing greater access to its collections, as well as a
    substitute for physical storage.
        Now I heard what you said, Dr. Billington, about making
    certain that the original copies are available because of the
    potential of altering anything that is digitized. Is there any
    way that we can find to be able to overcome the costs of the
    actual storage of such materials? For example, is it possible
    to have, in some cases at least, fees for the ability to do
    that?
        I know in the case of copyright, the Copyright Office is
    self-sustaining in terms of the copyright fees. But that
    doesn't include the storage, ultimate storage, which is what is
    creating the challenge for us, one of the challenges that we
    have right now.
        So it is a broad question, but is there a way to overcome
    this situation because it is driving up our storage costs?
        Dr. Billington. Well, Mr. Chairman, in terms of exploring
    cost recovery as a factor, I know you have mentioned that to
    us, and I have already asked the staff to prepare a careful
    study of that. So we will get back to you in detail on that.
        On the question of storage, our authorizing committee asked
    us to look into this, and we found the company in the private
    sector that may be most analogous to the Library in terms of
    the volume of storage that they contend with and the issue of
    storage overall. Their engineers are specialists in this. This
    is Amazon we are talking about.
        Their people concluded that no meaningful solution for
    long-term effective collection management can be implemented
    until more space is created; that there is no realistic
    alternative. I could go into the reasons for this in detail.
        The modules at Fort Meade are enormously efficient for this
    purpose because of their size and ultimate scale. They contain
    enormous amounts of material already. But we add 2, 2.5 million
    analog items every year, even in the face of the digital
    explosion. There we have a shared program, national program
    with the many other institutions that I mentioned.

                   ADDITIONAL SPACE FOR COLLECTIONS ESSENTIAL

        But there really is no alternative to having more space,
    and that was confirmed, as I say, by experts, objective experts
    in the private sector. There is danger in our current
    circumstance of having 200,000 books that are on the floor of
    the stacks now because we are at full capacity on Capitol Hill,
    despite the fact that we have shelving that reaches almost from
    here to Chicago, somewhere between Detroit and Chicago, if you
    put the shelves end to end. We are the only comprehensive
    collection of its kind in the world.
        Maintaining, not merely acquiring these things, but having
    them inventoried and accessible, becomes very, very difficult
    when you get this much new material in and there is no place to
    put it. You have a situation where you are going to be tempted
    to severely cut back on acquisitions. We are studying
    acquisitions, as you suggest. We did a very exhaustive study a
    couple of years ago, and we are now taking a comprehensive,
    fresh look at it.
        But there is a danger, if there is a gap in acquisitions,
    that the most recent things later will be more and more
    difficult to acquire and to afford and to make accessible. And
    that reduces the value of your collection by more than just one
    year's missing or reduced capacity, because the gaps pile up,
    and pretty soon, you lose what is an enormous advantage to the
    United States--not just to the Library of Congress and to the
    Congress and the Government itself--of having a collection that
    is comprehensive.
        Because we include in our collections items that nobody
    else acquires, and all other libraries and other research
    libraries in this country are under even more severe
    restrictions than we are these days, whether it is from the
    university, municipal, or State budgets. And so, maintaining
    the Library of Congress as the ``library of last resort,'' as
    the library that is able to answer questions that cannot be
    fully answered elsewhere, even by the vast amount of digital
    material that is available, is very important.

                       RECOUPING COPYRIGHT STORAGE COSTS

        Senator Nelson. Well, what about going to the area of
    copyright where you could not only get the copyright processing
    covered, but the ultimate storage as well?
        Dr. Billington. Yes. Well, copyright storage is included in
    the fee costs. Costs and fees are reevaluated every third year.
    So it is actually a part of the fee computation to include at
    least a percentage of the storage cost.
        There is some relief in sight in copyright despite problems
    we have had. We undertook a massive effort to bring the
    processing backlog under control; 50 people worked to help
    overcome these backlogs. But now 75 percent of registrations
    are processed electronically, and so that should help a great
    deal.
        But all collections, of course, do not come through
    copyright. Copyright is only one source. We have gifts. We have
    exchanges. We receive collections material in a variety of
    different ways and, of course, through very extensive
    purchasing. We have the overseas offices as a source not just
    for us, but for any other research library in America that
    wants to seriously keep up their foreign language collections.
        But the margin between what the Library of Congress
    provides and what any other institution provides is growing
    rather than declining. Therefore, the need to sustain this
    national resource is, I think, growing even faster than the
    necessary costs of sustaining it.
        Senator Nelson. Thank you.
        Senator Murkowski.
        Senator Murkowski. Thank you, Mr. Chairman.

                                TWITTER ARCHIVE

        Dr. Billington, I would like to ask you about the new
    media. You mentioned that the number of volumes, I guess, out
    there is just growing exponentially, and we recognize that
    there is another world out there that is growing insofar as the
    level of communication. And I understand that earlier this
    month, the Library of Congress entered into a gift arrangement
    with Twitter to donate its digital archive of the public Tweets
    to the Library.
        A couple of questions for you. First of all, I am just
    coming into the world of Twitter and using it to keep in touch
    with my constituents. But the question that I would have to you
    first is a pretty basic one. How will the Library use this
    information? What will the purpose be?
        And then, second, how do you retain this archive of Tweets,
    recognizing just how much is out there? Will you archive the
    Tweets to the Library on an annual, quarterly basis? How do you
    update this digital information, recognizing the rate with
    which it will be coming to you?
        And then, finally, I am curious to know how we deal with
    the cost side of it. I assume that because the archive of
    public Tweets was donated that there is no initial cost to the
    Library, but I would have to imagine that there would be some
    cost associated with receiving or organizing.
        So if you could just speak to this, I am very curious. It
    seems like you are embarking into a bold new world where no man
    hath gone before. So more power to you, but it is kind of
    interesting to understand how we would integrate this within
    the Library of Congress.
        Dr. Billington. Well, the short answer is there are some
    short-run surprises, happy surprises in the answer to your
    question, and there are some long-run questions that we will be
    in the process of intensively examining over the next few
    months.
        A short-run surprise is that, first of all, this is a gift,
    and the preparation and delivery of it will be done by the
    Twitter company themselves. Twitter will bear the cost of
    preparing and transferring it to the Library's servers. I am
    surprised but also reassured that the cost to technically
    support the collection will be very minimal because we can
    absorb it in our existing infrastructure--the basic technical
    infrastructure.

                          ACCESS TO TWITTER COLLECTION

        Our cost of taking and storing the archive then will be
    minimal, but we will need to look into how to catalogue it, how
    to make it retrievable, while addressing privacy needs and how
    we make it accessible--this is a classic acquisitions problem.
    How we make it available would be defined by our basic
    acquisitions policy. These are all challenges that we will be
    addressing intensively in the next months. So far, for the
    initial period, this is really pretty much a gift that we can
    accommodate.
        How we make it available, how we deal with it, that is
    important not simply as it relates to this one collection. It
    is important because this is not going to be the last of the
    technological innovations. In order to continue our historic
    mission of acquiring, preserving, and making accessible the
    world's knowledge and the Nation's creativity, we must
    incorporate these new media.
        And something else, this process of studying new
    technologies and ways to make them available is part of our
    relating much more intensively the new digital world to the
    basic world of acquisitions and the core mission, the historic
    mission. There has been no change to the mission of the
    Library. The media through which knowledge and information and
    creativity in America are conveyed are going to change and keep
    on changing.
        We feel that the process of integrating the Twitter
    collection and finding out exactly how we use it, how we access
    it, and so forth will be a useful learning process for the next
    few changes and innovations. Otherwise we fall behind and
    become less comprehensive than this institution has
    historically aspired to be ever since it acquired Jefferson's
    then virtually universal library in 16 languages.
        So this is a new language, if you like. I can't tell you
    the answer, but I can assure you that we are going to be
    looking into these problems very intensively and will be
    informing this subcommittee and others here in the Congress of
    our discoveries and conclusions.
        Senator Murkowski. Well, as you point out, this is just
    kind of the beginning of the acquisition of the social
    networking media. And it will be a challenge.

                      FORT MEADE AND COMPETING PRIORITIES

        I want to go back, just very quickly if I can, to the
    storage issue that the chairman has raised, and particularly
    collection storage Module 5 at Fort Meade. In order to fund
    this at $16.9 million and recognizing that we are trying to
    balance the priorities out here, we have got to balance the
    Library's request with the AOC's request and each of the other
    agencies within the legislative branch, are there any other
    increases within your budget that you could perhaps delay so
    that you could move forward?
        Because I understand that this is the number one priority
    is the storage collection Module 5. And first of all, I guess I
    want to make sure that I am correct in that, that this is that
    high priority. And if so, is there anything else that, again,
    could be delayed in terms of taking it up this year so that we
    could help address this aspect of the storage?
        Dr. Billington. Well, there is not much question of the
    Library's priority. It is clear that in terms of the things
    that the Architect of the Capitol (AOC) is requesting with
    regard to the Library that this is by far the top priority
    because this affects core mission and continuity. We are 8
    years behind in the schedule that was agreed to way back in the
    1990s. And so, this is our priority in the Architect of the
    Capitol request.
        Now within our own budget, I have been talking with the
    Executive Committee in view of the concern about levels of
    funding. I would say that we have to have as our first priority
    sustaining core services--the mandatory pay raises and price
    level increases. I can give you a detailed scenario, if you
    want it, in writing.
        Senator Murkowski. Well, if you would help us out with
    that, Dr. Billington, and I know it is difficult to rank, if
    you will. But I think it is going to be important to us. I
    think we appreciate that from the perspective of being able to
    meet your core mission, you have got to have the storage
    capacity. You have indicated that the backlog, the 8-year delay
    in this, and we appreciate that.
        But if you could perhaps help us out, put it in writing, I
    think that that would be helpful for the subcommittee.
        Dr. Billington. Okay. Well, we will be happy to do that.
        Senator Murkowski. Thank you.
        Dr. Billington. In general, I can say that if we have to,
    if we have to balance that against our budget submission, or if
    we have to absorb the cost of living allowances (COLAs), the
    mandatory COLAs and so forth, we would have to cut, in some
    cases perhaps even eliminate, some of the other things that we
    have done in recent years. We have already looked very
    intensively at the possibilities, and we would have to probably
    reenter any such programmatic cuts for funding in the 2012
    Federal budget.
        We have not considered training for cuts; with minimal
    funding we have produced some training programs to get the most
    out of our people. It would be largely people and the people-
    centered things that we would have to preserve. The demands,
    when you have so many fewer people than we have had, really are
    very great, and the need for continuous training, because of
    the sophisticated nature of our work, is very great.
        Our Chief Operating Officer has played an important role in
    developing some of these programs. I can itemize them for you,
    but we will get you a detailed study if you want----
        Senator Murkowski. I would appreciate it.
        Dr. Billington [continuing]. Of how we would proceed.
        Senator Murkowski. Thank you.
        Dr. Billington. As I say, it is in process. So we should be
    able to give that to you fairly rapidly.
        Senator Murkowski. Thank you, Mr. Chairman.
        Senator Nelson. Yes, thank you, Senator Murkowski.

                            MANDATORY PAY INCREASES

        At the risk of being indelicate, would you explain the
    mandatory COLAs? If we don't have a union contract, what would
    be mandatory about COLAs or salary increases? Not suggesting
    that people shouldn't expect salary increases, but help me
    understand the structure that you are talking about.
        Dr. Billington. Well, yes, 90 percent of this is absolutely
    mandatory by law, and the rest is more or less required. It is
    very difficult to avoid it. We have very little discretion,
    except in the senior level.
        I don't have the authority to withhold or change pay
    adjustments for the 90 percent and really can't do it for most
    of the rest, except for maybe senior-level pay, which we
    wouldn't cut. It won't save you very much.
        Anyhow, I can provide more detailed legal information if
    you would like. We have looked into this quite extensively.
        Senator Nelson. Yes, it would be helpful to understand that
    because that was a new concept to me. I didn't realize--I
    didn't believe there was a union agreement. But if there is
    statutory responsibility, we obviously have to follow it. I
    would just like to know what it is. It would be helpful.
        Oh, yes?
        Ms. Jenkins. I just want to add that it isn't necessarily
    union agreements, but under title V, employees who are in GS or
    wage grade positions are automatically entitled to certain
    increases. That represents 90 percent of our staff. So the
    other 10 percent would be senior management, which is not
    mandatory. But for 90 percent, under title V, it is covered,
    according to our counsel.

                          COLLECTION POLICIES AND COST

        Senator Nelson. I understand. Okay. Thank you.
        I am intrigued by the access of the Tweets through a gift.
    I would imagine that the costs, while not necessarily involving
    the storage, would come from trying to figure out how to have
    access, protect the right to privacy, and that. Do you have any
    idea or do you have anyone looking at what that might involve
    in terms not simply of activity, but what the costs of putting
    that kind of a program in place is because we would be talking
    about something fairly sophisticated, I would assume?
        Dr. Billington. Yes, the material won't be delivered for a
    while. We will have time to examine and analyze all options.
    One of the things in addition to the management agenda that I
    established in July, is a governance board whose challenge is
    to integrate the whole digital universe directly, more directly
    into the established policies of acquisition, preservation, and
    access.
        And so, they are going to have to examine these questions
    thoroughly. I set it up in January and they have been meeting
    since February. How to provide access to electronic information
    like the Twitter collection is one of the big challenges that
    will have to be covered.
        I am not sure I heard exactly a specific question.
        Senator Nelson. Well, I realize it is probably not a fiscal
    year 2011 matter, but I suspect that it could be coming at us
    in the fiscal year 2012 budget or some future budget and am not
    suggesting that this not be accomplished. What I am suggesting
    is that we have a cost-benefit analysis that needs to be made
    on this. It is one thing to receive it. It is another thing to
    create the opportunity for access.
        Dr. Billington. Yes. It is currently estimated that a small
    team over the next 6 months will devote about 144 hours or
    under $10,000 to the details of handling the archive. I think
    that it is probably going to end up costing a little more than
    that, but we will give you clear progress reports on this.

                              WEB GOVERNANCE BOARD

        But I have set up, as I say, in January a Web governance
    board to determine and execute a Library-wide strategy, Web
    strategy for the future. That Board has been meeting, getting
    the content people and the specialists in Web matters together,
    hammering out policy options. And that is an ongoing activity.
    Unlike a lot of the management agenda, which is nearly
    completed--the eight task forces, which will shortly get their
    final reports in--this will be an ongoing enterprise, in
    addition to the team that I have just mentioned, which will not
    be very expensive.
        Incorporating the latest technologies is a challenge, but
    if we did not take this on, we would risk losing early exposure
    to what is clearly going to be an increasing communications
    phenomenon of our culture.
        Senator Nelson. Well, there is no question that it is and
    it ought to be preserved. I will have to try to figure out the
    probative value or societal utility of having access from the
    general public to the Tweets. Retaining it and preserving it is
    one thing. Creating what might be access could be not only
    costly but, I don't know, of questionable value to the average
    person. Curiosity is at a certain level, there is no doubt, but
    I don't know what the societal value would be of that for
    access. So I hope you would look at that aspect of it.
        Dr. Billington. No, our use for it--it was also conveyed to
    Google. We won't have the main responsibility to be the
    processor of every request. But how it is to be handled and if
    we have it for different purposes than they do are questions at
    this point. Google may be able to do some things that we can't
    do. They probably will.
        Our job is to do exactly what you say. It is easier to
    compute the cost than it is to define the benefits. But the
    overall benefit is one of keeping this unique repository of the
    world's knowledge and of America's creative expression, that
    deals with the phenomenon of change in our society.
        Senator Nelson. I understand, but it is not quite like a
    book you can check out.
        Dr. Billington. No.
        Thank you, sir.

                         ADDITIONAL SPECIALISTS FOR CRS

        Senator Nelson. On CRS, you are requesting 17 new FTEs for
    the Congressional Research Service to broaden the research
    expertise. How did you arrive at the number, and if funded,
    will you be requesting more FTEs for CRS in fiscal year 2012?
    In other words, is this something that is an ongoing
    requirement? Or is it a backlog of Member requests, or perhaps
    you could give some explanation as to why there would be a
    request of this size?
        Dr. Billington. I will just say one word and then give it
    to Director Mulhollan of the Congressional Research Service.
    But basically, it is a phenomenon of the reduction in staff at
    a time when the complexity and volume of requests has
    increased. So it is their analytic response to your requests.
    By ``you,'' I mean the Congress. There is a strong interest in
    scientific and technical matters that have become far more
    complex, with far more requests coming in far more frequently.
        So it is 2 years, as I understand it. It is a 2-year
    phenomenon to regain some of the very considerable amount of
    lost staffing that has occurred over recent years. But the
    Director can answer it more fully.
        Senator Nelson. Sure.
        Mr. Mulhollan. Thank you, Mr. Chairman.
        I appreciate the question. How we arrived at it is we took
    a top-down view throughout the service with regard to what the
    demands are now and what we anticipate the demands will be in
    the future, as well as our current capacity. And what that
    capacity is in a number of areas.
        What we are asking for is a total of 34 positions, 17 for
    fiscal years 2011 and 2012, which would get us back to slightly
    more than the 705 FTE level we had in fiscal year 2007. Why do
    we need to get back to that earlier level? One example is that
    13 of those positions are in science and technology. I am sure
    you both have heard about the need for increasing capacities
    and the demands on the Congress in these areas.
        Just recently, the Homeland Security and Governmental
    Affairs Committee of the Senate reported out S. 1649, which
    authorized $2 million for 3 years to increase CRS's science and
    technology capacity, as an example. This is something that the
    Congress is going to be facing. And what you have in CRS, I
    would argue, is a cost-effective tool and a shared expertise.
        You have a physicist that can work for Commerce, Science,
    and Transportation in the morning, for Armed Services in the
    afternoon, and Environment and Public Works in the evening. It
    is shared expertise. It is cost effective.
        Second, we are asking for eight researchers with expertise
    in financial regulation and the financial services industry,
    and eight on the health side. Our experience is that my
    colleagues in both those areas did not have a 2-day weekend for
    over a year. And I foresee that demand in the future.
        Because of the demands in the future, we feel that these
    are reasonable requests. I haven't asked for additional FTEs
    for CRS since fiscal year 2003, and so I hope you view us as
    being prudent with the taxpayers' hard-earned money. But we are
    looking at what Congress needs and the incredible challenges
    being faced. The shared expertise you have here is a good
    investment.
        Senator Nelson. I understand.
        Senator Murkowski. Thank you.
        Senator Murkowski. Thank you, Mr. Chairman.

                          OPEN WORLD LEADERSHIP CENTER

        I will go to Ambassador O'Keefe. I don't want you to feel
    left out here this afternoon.
        Back when we had the fiscal year 2010 legislative branch
    conference report, we included some language in that that
    encouraged the Open World Leadership Center to expand its
    effort to raise private funding in order to reduce requirements
    for appropriations, and then in this hearing last year, I had
    asked a question about outside funding sources. This was as it
    related to the United States-Russia Foundation and whether or
    not there could be a possibility of some funding to the Center.
        Can you speak, Ambassador, to the issue of any efforts to
    raise private funding to help offset some of the funding
    requirements and kind of where we are in some of these efforts?
        Ambassador O'Keefe. Yes, ma'am. I can speak to that.

                              FUNDRAISING EFFORTS

        Last year, we raised $413,000 in outside funding. For this
    year, we are projecting $619,000. So we have got a bit of a
    boost.
        With regard to foundations, we are seeking grants not only
    from the United States-Russia Foundation, but from other
    foundations. We have not yet been successful in getting those
    grants.
        In terms of more structural approach, as I mentioned, we
    reduced staff by one. I have hired an expert on a 6 month
    contract to help us find our way with a really good, solid
    funding strategy, to help us develop the kinds of basic
    materials that will have the funds manager at a foundation
    actually look at what we have.
        So I can't say that we are rolling in dough or that we will
    be rolling in outside funding next year, but I can tell you
    that we have this effort moving forward. I don't want to take
    up too much time. But I would also mention that we will seek
    funds from individual donors as well.

                      EXPANSION OF THE OPEN WORLD PROGRAM

        Senator Murkowski. Then let me ask about the Center's plans
    for expanding the exchange program into other countries. I
    think you mentioned Belarus and Armenia. I think you mentioned
    three, did you not?
        Ambassador O'Keefe. Uzbekistan was the third, Senator. Yes.
        Senator Murkowski. Uzbekistan, okay. What does it cost to
    start up a program in other areas? As far as expansion costs,
    what does this mean to the Center, and give me a little
    background there.
        Ambassador O'Keefe. Start-up costs are, depending on how we
    approach it, about a minimum of $50,000 or so to get the
    logistics contractor to function in the country. What we look
    for is whether they have existing offices. But then we have to
    pay for whatever additional staff they need.
        We have taken a slightly different approach in the latest
    expansion in Turkmenistan. We skipped the logistics contractor
    and just had the Embassy do the logistics for us. It was 30
    percent cheaper. We could do it there because the Embassy staff
    wasn't as pressed as in some of the other countries where we
    have a more robust relationship.
        I would say that entry cost is not prohibitive. We can
    manage it. The reason for the three countries is that it is not
    simply part of the strategic plan, but these three distinct
    areas--central Asia, Caucasus, and that slowly changing
    European border, which seems to move back and forth--are areas
    important to United States interests.
        And in particular, I would stress that in Uzbekistan and
    Belarus, there has been limited exchange because of strained
    relationships. Because we are a legislative branch agency and
    because we are associated with the Library, we have a much
    easier time of operating and attracting people in the program
    in those countries.
        Senator Murkowski. If you were held to the fiscal year 2010
    funding level of $12 million, how would it impact the
    operations, the staff level? Would you be able to move forward
    with these proposed expansions? Just give me some assessment as
    to what it might look like.
        Ambassador O'Keefe. Yes, ma'am.

                             FREEZE LEVEL SCENARIO

        I would say that if we are at the same amount, we are going
    to have to cover increased costs in our information technology
    (IT) contract and in our logistics contract. So to cover those
    costs, we would probably reduce numbers. Expansion would be
    held off for the time being.
        One of the things we might seek, as I mentioned, is cost
    shares. If we could find an organization to do a 50-50 cost
    share in any of these three places, we would consider it.
        Senator Murkowski. Thank you.

                         COPYRIGHT APPLICATIONS BACKLOG

        And then, Dr. Billington, I just have one last question for
    you, and this is as it relates to the Copyright Office. Can you
    give me any detail on the extent of the backlog right now
    within copyright and how you are addressing the backlog issue?
        Dr. Billington. Well, very briefly, the current backlog is
    326,000 claims. We expect to return to a normal processing
    level, 150,000 claims, by this time next year, roughly
    speaking. We realize that we were not responding as quickly as
    we had hoped and so the Library detailed at the beginning of
    this year 50 Library employees outside of copyright to make a
    kind of storming effort to reduce this, which they did very
    successfully.
        We are getting there, and the prospect of deliverance comes
    both from the fact that they have hired a lot of new people,
    and they had this big jolt from additional staff effort. But
    also, the electronic registration system now covers 75 percent
    of the claims now, up from 54 a year ago. And so, automation is
    rapidly helping address the problem, as we hoped.
        And with the few FTEs that are required to complete the
    electronic registration process, this should be a one-time
    concern that we can overcome by this time next year.
        Senator Murkowski. Good. Thank you.
        Thank you, Mr. Chairman.

                 TECHNOLOGY INFRASTRUCTURE FUNDING AND PROGRESS

        Senator Nelson. Dr. Billington, in fiscal year 2010, the
    Library received $15 million for technology infrastructure
    upgrades. Can you give us an update on how these funds have
    been used and what the Library has been able to accomplish with
    fairly large investment?
        Dr. Billington. Well, the general picture is that about $9
    million of that is going to deal with the hard technology and
    the supporting software, networking software, which will
    fortify the three major data centers of the Library, which are
    the Capitol Hill complex, Culpeper, and Manassas, where the
    backups are. $3.5 million will deal with content, the content
    problem, and $2.5 million with content presentation.
        We are in the process of getting this much more precisely
    defined. But by and large, this is--that is the rough
    definition of the work. But we are in the process, as I say, of
    getting this much more exactly defined, and we will get you a
    more detailed account shortly.

                        INVENTORY MANAGEMENT OBJECTIVES

        Senator Nelson. Sure. And in the new request for fiscal
    year 2011, you have included $1 million for inventory
    management. How will this money be expended, and what will that
    accomplish?
        Dr. Billington. I am sorry, I couldn't----
        Senator Nelson. The $1 million for inventory management?
        Dr. Billington. Yes. Well, this is an ongoing process. We
    have already done a fair amount of inventory management, but it
    is a very demanding process. I can provide you with exactly
    what this request covers for the record.
        Senator Nelson. Sure. That would be fine. Does it include
    FTEs? Do you hire an outside firm to do it? I guess if you can
    give us that for the record, that would be helpful.
        Dr. Billington. No, I think we are doing it internally.
        Ms. Jenkins. I was just going to say that it is contract
    support. It is $1 million for us to do an inventory across the
    general collections in library services, but it is no new FTEs,
    just $1 million----
        Senator Nelson. So it is contract?
        Ms. Jenkins. Yes.
        Senator Nelson. That is what I wondered, yes. So no
    ongoing, it is a one-time sort of expenditure?
        Ms. Jenkins. It is ongoing funding of contract personnel.
        Senator Nelson. I see. Sure.
        Dr. Billington, in the Law Library account, there are two
    items that are being requested, class K conversion and Gazette
    preservation backlog. Is this an area where there is a
    potential for user fees to help us with the budget?
        Dr. Billington. I am sorry. I didn't quite hear that again.

                       USER FEES AND LAW LIBRARY SERVICES

        Senator Nelson. There are two items in the Law Library in
    the fiscal year 2011 budget request. One was called class K
    conversion and Gazette preservation backlog. In connection with
    your answering those questions, I have the other question of
    whether this is an area where we might access some user fees,
    the Law Library?
        Dr. Billington. Well, that is a complicated question. You
    have the whole question of the user fees. The Library of
    Congress, by and large, does not do that. Many other libraries
    do, but we don't do that. When I sign for an acquisition, for
    anything for the Library, I don't sign for the Library of
    Congress. I sign for the United States of America. And I am
    basically committing our resources to preserving it and making
    it accessible.
        Now if you get into the user fee business, you end up
    drifting your talent inevitably toward somebody's user fee. But
    the users are the entire people of the United States. Of
    course, in the first instance, the Congress itself. And so,
    that is an area we are reluctant to get into. But what you have
    with this request is something of rather great importance to
    the Congress and the Government and to the judiciary, for that
    matter, and the executive branch, which is to have the up-to-
    date Gazettes, which are the basic laws of other countries.
        Law collections have already been catalogued before
    completion of the K classification, but they are not accessible
    because the people who know both the old system and the new are
    retiring. We must complete the K class conversion. The legal
    community has been agitating about this, and you may want to
    consider the arguments they have made.
        The new head of our Law Library has great experience both
    in the private sector and in the public sector. Do you want to
    have a word here?
        Ms. Shaffer. Yes, thank you, Senator. Good afternoon.
        The issue here really is making this collection easily and
    immediately attainable when you, the Members of Congress, need
    the material. And in its current format, it is either fragile
    because of its physical properties or it is inaccessible
    because it isn't organized in a way that makes it quickly
    available.
        And so, the purpose of both of these projects is to
    accomplish a stability for the Gazettes so that we will have
    access to them whenever you need them, and particularly for
    many jurisdictions where the Gazette is the only resource,
    where there are no commercial resources that duplicate what is
    there.
        And in the case of the K class, it is kind of like thinking
    of going to a grocery store and not having the different
    categories of food organized by category. So it makes it very
    inefficient and could lead to an inability to find things on a
    timely basis for Congress, our key client and customer.
        Thank you.
        Senator Nelson. Thank you.
        Dr. Billington. I have to say, the legal community has been
    very concerned about the K class conversion, and this is an
    area where, while one doesn't want to get into the business of
    charging fees, if there were some donations on the part of a
    committee of this kind, we have ample opportunity to receive
    donations and use them directly for this purpose.
        Senator Nelson. You aren't going to be waiting very long
    for generous lawyers, are you?
        I understand.
        Well, thank you very much, all of you. I want to thank our
    witnesses for joining us today. It has been a very informative
    hearing.

                  LIBRARY BUDGET OFFICER EMPLOYEE OF THE WEEK

        And before we recess, I would like to acknowledge one more
    person from the Library of Congress staff, the Library's Budget
    Officer, Ms. Mary Klutts, and to congratulate her for being
    honored as one of Senator Kaufman's Federal employees of the
    week. We thank you for your many years of hard work.
        And we know that you will provide many more, and we also
    appreciate the fact that Senator Kaufman recognized you for it.

                         ADDITIONAL COMMITTEE QUESTIONS

        Any additional questions from members will be submitted to
    you for response in the record.
        [The following questions were not asked at the hearing, but
    were submitted to the Library for response subsequent to the
    hearing:]
                   Questions Submitted by Senator Ben Nelson
                                  flat budget
        Question. I am committed to a flat budget in fiscal year 2011. What
    could the Library do to assist me in obtaining that goal? Have you
    considered options within the Library for recovering any of your costs?
        Answer. The Library has actively pursued opportunities to offset
    costs through reimbursable services over more than 20 years,
    significantly building its range of fee-supported programs and services
    over those years by both statute and policy.
        The Library administers its fee-based activities under the
    authority of 2 U.S.C.182b-c and 2 U.S.C. 150, which enable the Library
    to recover the costs associated with specific services provided to
    customers and the general public:
      --The operation of a gift shop and other sales of items associated
            with collections, exhibits, performances, and special events of
            the Library of Congress for public visitors and other
            individuals or organizations;
      --Document reproduction and microfilming services for researchers,
            libraries, government agencies, and other entities in the
            United States and throughout the world;
      --The sale of Library of Congress cataloging data and related
            publications to libraries and information service organizations
            and individuals in the United States and throughout the world;
      --The procurement of commercial information services, publications,
            and library support services, as well as related education and
            information services, for Federal libraries and information
            centers (FEDLINK program);
      --Customized research reports, translations, and analytical studies
            for a fee for entities of the Federal Government and the
            District of Columbia on a cost-recovery basis. The products
            derived from these services make the Library's vast collections
            available to analysts and policy makers throughout the Federal
            and District of Columbia governments, maximizing the utility of
            the collections through the language and area expertise of the
            Federal Research Division staff.
      --Preservation, duplication and delivery services for the Library's
            audiovisual collections, including motion pictures, videotapes,
            sound recordings, and radio and television broadcasts.
        However, charging fees for public services that traditionally have
    been ``free'' presents challenges. In 2007 the British Library proposed
    new fees for basic services such as reading room use. The proposal met
    with widespread public dissent which included public protests. The
    British Library ultimately did not implement the proposed fees. The
    British Library does charge for services that add value to their core
    work for the public good, as does the Library of Congress. The services
    for which the British Library charges are defined by law, the British
    Library Act 1972, as is the case with the Library of Congress, and
    include content reproduction, retail gift shop operations, and document
    delivery. As with the Library, these services largely cover costs and
    do not have sufficient market scale to generate substantial profit.
        In fiscal 2009, Library Services reorganized the Office of Business
    Enterprises. This program consolidates the business operations of three
    cost-recovery services to create economies of scale and cost
    efficiencies. Examples of efforts that will provide additional service
    to Congress and the public while also reducing and recovering costs
    include: network printing in the Library's reading rooms, print-on-
    demand for Library publications, digital reproduction of collections,
    and cooperative agreements with external entities.
        Question. Is cost-sharing a possibility in any of the services you
    provide? Could you consider additional charges for copyright services
    to offset the costs associated with storage of the items; perhaps to
    charge more for larger items requiring more storage?
        Answer. The Library provides a number of services on a cost-sharing
    basis, as indicated in the answer above. The Copyright Office, in
    addition, engages in cost-sharing with respect to most of its services
    to the public. Section 708 of the Copyright Act directs the Office to
    set its fees for services at ``not more than that necessary to cover
    the reasonable costs incurred by the Copyright Office for the
    services.'' The fees ``shall be fair and equitable and give due
    consideration to the objectives of the copyright system.'' Copyright
    fees are periodically evaluated and adjusted following an activity-
    based costing methodology. Because the Copyright registration system is
    voluntary and because it is in the public interest to encourage
    registration so that authors and copyright owners can be identified,
    fees are set at levels that are intended to encourage registration
    while recovering as much of the cost of the service as is possible. The
    current registration fee covers most but not all of the cost of
    performing that service, including the cost of physical storage of
    deposits. The annual appropriation of the Copyright Office supports
    service-related activities not recovered by fees and other costs not
    related to fee services. Fees for services that are performed only for
    the benefit of the person paying the fee are set at or near full cost
    recovery. In August 2009, the Copyright Office adjusted fees to reflect
    its new reengineered processes. Typically, fees are adjusted every 3
    years.
                             collections management
        Question. Two years ago, GAO looked at the Library's management of
    its collections. One of GAO's recommendations was that the Library
    develop a Library-wide strategy for making its collection available in
    electronic form--both as a means of providing greater access to its
    collections as well as to substitute for physical storage. In response,
    the Library developed a preliminary digitization strategy. What is the
    current status of the Library's digitization strategy?
        Answer. The Library's digital strategy guides all efforts to add
    digital content to the collections Library-wide. The Library now has
    enormous digital content holdings, however digital information is not
    viewed as a replacement for the physical record of knowledge and
    creativity represented in the paper-based collections. Our digital
    strategy recognizes a need to maintain hard copies of many materials in
    view of the impermanence of digital material. While we expect an
    increasing percentage of the materials we collect will come to us in
    electronic form in future years, the current reality is that the
    production of physical materials has not slowed, and there is little
    overlap between our physical and digital collections. Expanding our
    digital content holdings will not result in a reduced requirement for
    physical storage space.
        Question. The strategy indicated that the Library would design a
    study to examine the feasibility of substituting digitized content for
    physical storage. Has such a study been conducted? If so, what were the
    results?
        Answer. The Library's study of this issue has shown that digital
    preservation technology serves immediate access needs, however
    digitized content is vulnerable to silent and virtually undetectable
    loss over time. While a digital collection can be stored in a
    relatively small space, hacking, user error, technological failure, and
    future migration to new formats and platforms could have the same
    devastating effect of a fire on such a collection. Libraries and the
    Library have largely eliminated the catastrophic effects of fires; they
    have not been able to eliminate the technological risks posed to
    digital collections. Almost universally, preservation experts have
    questioned digitized content as a safe medium for passing the nation's
    intellectual legacy onto the next generations. The Library is working
    actively to address the technical challenges of digital preservation.
        Question. Two possible options to reduce physical storage
    requirements are (a) changing the requirements for copyright deposit to
    allow for electronic formats as ``best available,'' and (b) maintaining
    the second required deposit copy in electronic form. To what extent
    have you looked into these two options?
        Answer. The Library is actively pursuing deposit of electronic
    works. We are looking at recommending changes in the Copyright law so
    that the ``best edition'' requirement can be modified or replaced to
    permit the submission of electronic copies even when the only copies
    that are ``published'' are in non-electronic formats, or to permit the
    submission of one electronic copy and one non-electronic copy in such
    cases. Such a change would be subject to consultation and input from
    copyright owners (i.e. publishers). The Library is also working on an
    e-Deposit system to address several important needs. Chiefly, an
    electronic submission service is essential to provide the technological
    infrastructure needed to support electronic submissions. While we are
    currently in the developmental stages of this effort, we expect to have
    an operational system for the receipt of electronic serials within a
    year. We will doubtless learn much from this experience, and we intend
    to incorporate the lessons learned in the development of a similar
    system for the deposit of monographic materials.
        Question. According to the preliminary strategy, an increasing
    volume of deposits are ``born digital.'' How has this been factored
    into future demand for physical storage?
        Answer. At present, the rise of digital publishing has not been
    accompanied by a decrease in print publishing; hence there has been no
    reduction in the need for physical storage. If the output of print
    publications diminishes substantially in coming years, the Library's
    need for additional space will correspondingly be reduced.
        Question. The Library's strategy also lays out ambitious goals for
    building and securing an IT infrastructure, which this subcommittee
    funded last year. How will the Library use this technology to achieve
    greater efficiencies through reduced need for physical storage?
        Answer. Enhancements to the core IT infrastructure will not
    directly lead to greater efficiencies through reduced need for physical
    storage. Information technology tools and services are utilized in ever
    more effective ways to provide discovery of and access to the Library's
    digital content. This infrastructure can lead to greater efficiencies
    for internal operations and enhanced access for remote users, but it
    has little impact on the need for physical storage.
                                    storage
        Question. I feel that we cannot continue to take in the current
    volume of items without recovering some of the costs for their storage
    and I feel strongly that this is something we need to look very
    carefully at. I know one of your top priorities for fiscal year 2011 is
    funding the construction of book storage module 5. This is going to
    difficult to accomplish in a flat budget year as I have committed to
    this year. Are there any items you'd be willing to cut from your budget
    to fund this project?
        Answer. In the event of a flat budget, the Library already will
    have to absorb $18 million in mandatory pay and price level increases--
    costs that we are statutorily required to pay. The Library could absorb
    the cost of mandatory pay and price level increases through a
    significant reduction of base programs, specific options that we are
    investigating. If the Library were to further identify a funding source
    within its base for Fort Meade Module 5, this would very likely have an
    impact on staffing.
        Question. Are storage modules 1-4 currently at full capacity? When
    do you expect to have them completely utilized?
        Answer. Module 1 has been completely filled since late 2005. Module
    2 will be completely filled within the next 2 months. Extensive
    planning has been done over a period of years to ensure that every inch
    of space in Modules 3 and 4 is fully and effectively utilized to store
    non-book, special format collections. A detailed blueprint of every
    shelf and what will be placed on each shelf was developed and will
    serve as the guide to the placement of each of 237,000 trackable
    containers of special collections items. The Library has embarked on a
    3 year transfer program to complete the filling of Modules 3 and 4. By
    the close of fiscal 2010, 25 percent of the trackable containers will
    have been moved to Fort Meade, with the remainder to follow over a
    period of 18-24 months.
        Question. What efforts are being made to streamline your
    acquisition process so that we are getting the best ``bang for our
    buck'' in terms of the utilization of limited storage space?
        Answer. The Library has taken steps to address and reaffirm is
    collecting policies and to assure that they continue to be in the best
    interests of the Library, Congress, and the American research and
    general user communities, carefully revising its Collections Policy
    Statements to assure that it was continuing to collect and retain only
    appropriate materials for the collections. The revised statements take
    into account the emergence of digital content and the acceptance of
    digital content over print or other formats where appropriate. In
    addition the Associate Librarian for Library Services has begun to work
    with staff to consider the number of copies of individual works to
    retain for the collections in the digital age.
        The Library also has issued a new regulation governing the
    mandatory deposit of copyrighted electronic serials available online
    that will allow the Library to determine if it can accept digital
    serial content instead of print. The outcome of this phase of mandatory
    deposit for digital content will set the stage for expanding to other
    formats of digital content.
        The Library has undertaken an ambitious plan to restructure the
    massive exchange program (International Exchange Service--IES) that
    provides access to documents produced by more than 120 other national
    government agencies and international bodies. IES is being revamped to
    allow the Library to have online access to this content of foreign
    governments that is so invaluable to Congress and the legislative
    process. As part of review of IES, new agreements have been forged that
    have already reduced the number of print titles shipped to the Library
    in favor of remote virtual access.
        Library Services has been working to develop a plan to establish a
    central unit devoted to collections development. This unit will have
    responsibility for advising the Librarian and the Associate Librarian
    on acquisitions policies, helping to ensure that defensible
    acquisitions are being made. In June the Librarian will convene the
    annual meeting of key acquisitions and recommending managers and staff
    to discuss items acquired over the past year. At this meeting as in
    past years, he and the Associate Librarian will reaffirm that staff are
    adhering to sound acquisitions policies.
                                      crs
        Question. You are requesting 17 new FTE for the Congressional
    Research Service to broaden research expertise. How did you reach this
    number? If funded, will you be requesting more FTE for CRS in fiscal
    year 2012? What prompted you to request a large increase in staffing
    for CRS? Is there a backlog of member requests?
        Answer. CRS research managers identified gaps in specialized skills
    that cannot be resolved by reassigning positions or retraining staff.
    Full analytical support for the complex emerging issues facing Congress
    will require 34 new positions. Half of this increase is requested in
    fiscal year 2011 with the remainder expected to be included in the
    fiscal year 2012 budget request. This request is prompted by the need
    to broaden expertise and strengthen analytical capacity in the critical
    areas of science and technology, healthcare, financial economics and
    accounting, and social policy related to employment, immigration, and
    the workforce. There is no backlog of member requests. However, CRS not
    only responds to congressional inquires but must anticipate
    congressional needs to provide the research and analysis when Congress
    requires it. This request would help alleviate workload issues but the
    primary benefit is producing more comprehensive and sophisticated
    analyses of increasingly complicated issues.
        Question. You are also requesting $2.1 million for ``information
    technology research architecture'' for CRS. This Committee provided $15
    million for information technology upgrades library-wide in fiscal year
    2010. Can you explain this new request?
        Answer. The increased funding in fiscal year 2010 for library-wide
    information technology upgrades did not include the information
    technology research architecture that is unique to CRS. Improvements
    are needed in research data management due to the increasing number of
    large complex datasets needed to produce authoritative multi-
    disciplinary analysis. The $2.1 million investment will provide the
    expertise and systems (hardware and software) to efficiently access
    reliable data and information from a CRS-wide data library that is
    constructed to allow full utilization of its contents. It will provide
    modern content delivery technologies including interactive maps, data
    set mining, personalization features such as content tagging, and
    enhanced access to CRS products from mobile devices.
        Question. Dr. Billington, when prioritizing your request, how would
    you rank your request for new CRS personnel?
        Answer. The request for new CRS personnel ranks third in the
    Library's priorities for fiscal 2011, after funding for mandatory pay
    and price level increases and funding for Fort Meade, Module 5.
                                  law library
        Question. Please explain the two items you are requesting for the
    Law Library. (Class K Conversion and Gazette Preservation backlog).
        Answer. The Library has requested $353,000 and 3 FTEs over 10 years
    to complete the classification of the legal collections for the
    following reasons:
      --The Class K standard expanded the shelving arrangement according to
            jurisdiction, subject, form, author, and year to create a
            unique classification number for each title.
      --Since it is difficult to find contractors with the necessary
            experience in legal cataloging, legal publishing, and the law,
            the Law Library must rely on its established staff base.
      --Limited staffing to support the conversion of titles acquired
            before the implementation of the Class K system has resulted in
            610,000 volumes remaining unclassified.
      --Until classified, legal materials remain mostly invisible and
            inaccessible, yet these materials have critical research
            importance in a global environment.
      --In order to cope with the Library managing two distinct collections
            (K-classed and unclassified), two different systems for
            shelving materials have been used. Staff members knowledgeable
            about the two systems are retiring. As a result, materials are
            more difficult to find.
        The Library has requested $760,000 over 3 years for microfilming
    official gazettes, to eliminate the Gazette preservation backlog:
      --Most nations publish their newly effective laws, regulations, and
            treaties in newspaper form known as official gazettes--a source
            of legal documentation essential to a comprehensive,
            authoritative law collection.
      --Due to the volatility of newsprint, the Law Library uses microfilm
            as a means of preservation. In the past, the Law Library had
            partners sharing the cost of preserving the gazettes. However,
            the loss of these partners has resulted in a 5.3 million-page
            backlog.
      --The inability to keep up with this preservation workload will
            result in future permanent gaps in the Law collection, and will
            adversely impact the usability and veracity of the Law Library
            collection for research.
                               staff development
        Question. What is included in the $1.6 million Staff Development
    Program you are requesting?
        Answer. This request supports substantially expanded loan repayment
    and tuition reimbursement options for the Library to attract and retain
    the top talent needed to operate in today's dynamic operating
    environment. Such flexibilities are accepted practice in other
    government agencies.
        A formal training needs assessment conducted across the Library
    revealed common agency training priorities that could be more
    efficiently addressed by consolidating expenses through delivery of
    centralized training. Currently the Library operates an award-winning
    staff development program that trains 60 staff members per year. With
    the requested funding, the Library plans to expand the developmental
    opportunities available to the entire Library staff population. There
    is a particular need for training to help the Library's multi-cultural,
    multi-generational staff improve customer service and collaborative
    skills to keep up with technological advances and the changing work
    environment. This request also enables the Library to offer staff
    career planning services, another critical and long-standing need
    articulated by the Library's labor organizations.
        Question. What is the Supervisor Development Program you are
    requesting $1.048 million for?
        Answer. The Library has requested $1.048 million and 3 FTEs as part
    of a centralized training and development program. The Library's
    current Supervisor Development Program requires centralized funding to
    provide essential training to supervisors Library-wide. Individual
    Service and Support Units have not been able to consistently fund all
    the elements of required foundational training that apply to all
    supervisors. The Library recently established quarterly Supervisor
    Forums for all managers and supervisors to share information,
    initiatives, clarify questions, and share best practices for
    effectively supervising and managing staff at the Library. These
    forums, along with other supervisor focus groups, feedback from
    existing supervisory courses, and the Library-wide Employee Survey
    results have all indicated a clear need for additional supervisory
    training to motivate and support high levels of staff performance and a
    high performance culture across the agency. Part of the requested
    funding will be used for Workforce Performance Management advisory and
    support services, to ensure that supervisors know how to set
    appropriate performance expectations for employees, provide performance
    feedback, and effectively evaluate performance. We are also requesting
    funding for Senior Leadership Development, to develop and implement a
    pilot program to prepare current middle management for positions at the
    senior managerial level. Currently 50 percent of the Library's senior-
    level staff is eligible for retirement.
        Question. Is the Library's Office of Opportunity, Inclusiveness,
    and Compliance adequately staffed? How is diversity at the Library?
        Answer. In 2008 the Library began a process of reorganizing its
    Office of Workforce Diversity to develop a more responsive and
    efficient operation. The Office of Opportunity, Inclusiveness, and
    Compliance (OIC) is now structured and funded in a manner consistent
    with Federal best practices, based on the results of an Inspector
    General review.
        A talented and diverse workforce is at the heart of the Library's
    vision for the future and a key component of the Librarian's management
    agenda and strategic plan. The current workforce includes slightly more
    than 3,600 employees. These employees represent every race and gender
    and speak a collective total of more than 50 different languages. As of
    December 31, 2009, the Library's workforce consisted of 56 percent
    women and 44 percent minorities. This diversity is consistent with
    strong and ongoing efforts to train and nurture the workforce,
    including annually rating Library managers on their demonstrated
    commitment to leverage diversity in their organizations. The OIC is
    working on a comprehensive diversity report to be issued by the end of
    fiscal 2010. The Library is working to ensure OIC's efforts and human
    resource strategies are complementary in development of the 5-year
    human capital plan. This human capital plan, when finalized, will
    contain clearly defined strategies for continuing to improve diversity
    at the Library and specific performance indicators to measure results
    and further enhance accountability.
                                    twitter
        Question. I understand that Twitter recently agreed to donate its
    digital archive of public tweets to the Library of Congress. What is
    the relevance of this collection?
        Answer. As the keeper of the mint record of American creativity,
    the Library has over time collected works in whatever form that
    activity is expressed, most recently digital. The Twitter archive is a
    new form of communication with world-wide participation. Scholars today
    and in the future will mine the data set, researching a vast number of
    subjects and trends. A number of researchers have already expressed
    interest in gaining access to the material. The Twitter collection
    provides an important opportunity to learn more about preserving large
    research data sets.
        Question. Will this donation result in additional maintenance costs
    to the Library?
        Answer. We estimate that a small team will be able to work out the
    details of handling the Twitter archive over the next 6 months. The
    cost of tape storage and equipment to operate the tapes, based on 5
    terabytes of data per year, is estimated to be $3,000 the first year
    and an additional $1,000 for succeeding years and can be handled within
    our existing technical infrastructure. Because accepting and preserving
    collections are part of regular staff responsibilities, we do not
    anticipate additional staff costs. Once the Library completes an
    assessment of privacy and access issues related to this archive, it is
    likely that additional costs will be identified to make the collection
    accessible.
                                   copyright
        Question. Your fiscal year 2011 request includes an additional 5
    FTE for the Copyright Office. What are these additional personnel
    needed for?
        Answer. Three FTE's are to support of eCO, the backbone technology
    system for Copyright Office operations. The FTE will expand our
    technical capabilities in database management, software development,
    and project management. Two FTE's will oversee the Licensing Division's
    newly reengineered technology operations. Work on reengineering
    Licensing Operations begins in early Summer 2010, with system
    implementation scheduled for a year later. With the envisioned web-
    based licensing submissions and electronic processing, the Licensing
    Division will need technical support. As the Licensing Division is
    self-funded, this would not impact the Library of Congress Federal
    appropriation.
        Question. What is your current backlog of copyright applications
    waiting to be processed?
        Answer. As of May 16, 2010 the backlog of claims awaiting
    processing is approximately 317,000.
        Question. How effective is your new paperless registration system?
    What percent of applications do you currently receive online vs. in the
    mail?
        Answer. eService, the Copyright Office online registration system,
    is very effective. Currently we receive 75 percent of our weekly
    submissions through electronic filing. As we improve our online
    systems, we expect electronic submissions to increase.
                             information technology
        Question. Dr. Billington, you received $15 million in fiscal year
    2010 for technology infrastructure upgrades for the Library. Can you
    update the subcommittee on your use of these funds? What has the
    Library been able to accomplish with this large investment of
    resources?
        Answer. The long-term vision for this funding is, by 2016, to
    acquire, preserve, and deliver important cultural, legislative and
    copyright information online that is reliable and authentic; where
    anyone can find what is meaningful to them through a set of updated
    online navigation approaches and tools. In fiscal 2010, funding is
    being invested in three broad areas to support this vision:
      --$9 million in the core technology: the hardware, operating
            software, and network devices needed to support the Library's
            three data centers. This includes: $7 million in equipment and
            software to improve the network, storage, back-up and restore,
            and continuity of operations technologies and facilities to
            provide the infrastructure for content management and content
            delivery; $1.4 million for services to support the
            implementation of the new equipment and software; $0.6 million
            for maintenance for the new equipment and software;
      --$3.5 million in new software for content management that
            restructures the underlying data for better searching (metadata
            and data ontologies), including legislative information data
            dictionaries, establishment of data relationships and patterns
            (including search & navigation patterns), data relationship
            tools and metadata creation tools, and linking of computing
            functionality to data sets; digital content ingest, including
            content integrity preservation, and reusable, modular, flexible
            and scalable ingest and management tools and services
      --$2.5 million in web architecture development and open source
            software for the presentation and delivery of content online,
            on mobile devices, and through easy-to-use interfaces for the
            user.
        The Executive Committee approved the core technology investment
    plan in December, 2009. To date, requisitions have been submitted for
    all of the $9 million in core technology investment. An investment plan
    and requisitions have been prepared for the $3.5 million for new
    software for content management. The enterprise-wide IT Steering
    Committee (the LOC IT capital investment management board) reviewed
    this plan on May 25. The investment plan for web architecture
    development and open source software for presentation and delivery of
    content online has not been finalized. This $2.5 million plan will
    undergo review by both the Web Governance Board and the IT Steering
    Committee.
                              inventory management
        Question. You have included $1 million in your request for
    Inventory Management. What will this cover? Are all items in the
    Library's collections currently ``inventoried?''
        Answer. The funding will cover 23 contractual staff who will
    continue the inventory of the Library's book and periodical
    collections. The staff will also inventory the special format materials
    that will be transferred to Modules 3 and 4. Since the start of the
    inventory program in fiscal 2002, more than 4 million items have been
    inventoried. In the general, area studies, and Law Library collections
    of books and bound periodicals, there are approximately 17 million
    items, leaving approximately 13 million that need to be inventoried.
    For the special format collections, e.g., manuscripts, maps, sheet
    music, and prints and photographs, inventory is also essential to
    capture information on what we have and where the items are at any
    given point in time, and to ensure effective access and retrieval.
                                     ______

                 Questions Submitted by Senator Lisa Murkowski
                          fort meade storage module 5
        Question. Is the $16.9 million requested for Storage Module 5 the
    total cost for design, construction and complete outfitting of the
    storage unit, so that it would be ready to accept collections for
    storage? Will additional funding be needed for this storage module in
    future fiscal years?
        Answer. The $16.9 request for Storage Module 5 will cover
    construction and outfitting costs. No additional funding will be
    required by the Library of Congress to make Module 5 fully operational;
    however, annual funding of $1 million for ongoing collections inventory
    management is necessary--a fiscal 2011 funding request--to ensure items
    transferred to Fort Meade have accurate online records and to continue
    the inventory of the collections remaining on Capitol Hill. The
    Architect of the Capitol will require a funding increase to maintain
    the facility and for additional utility charges. Module 5 design is
    complete but will need to be updated to incorporate lessons learned
    from Modules 1-4, in conjunction with the solicitation of construction
    contract proposals.
        Question. If only partial funding is provided in fiscal year 2011,
    will it be possible for the Library to begin work on this storage unit
    and then complete it when the balance of funds are available; or does
    the Library need the total amount in full before it can begin work on
    this unit?
        Answer. For this construction request, the full amount would be
    necessary at the time of the construction contract award. (This
    response has been coordinated with the Architect of the Capitol.)
                    requested ftes--human resources services
        Question. Why is it necessary to have three additional FTE's for
    the Human Resources Supervisor development program and two additional
    FTE's for the Human Resources Staff development program? Are these
    staff development programs new, or are they being expanded in some way
    that requires additional personnel?
        Answer. Of the total staff development request of $1.6 million, a
    quarter of it ($408,000) is for two GS-12 career planning specialists
    and contractual support, to provide career planning services for the
    entire Library. This funding would enable Human Resource Services to
    expand on staff development services they already provide in response
    to a need articulated by the Library's labor organizations for
    professional career planning services.
        Question. Are there certain elements of the supervisor development
    program and the staff development program that can be combined so as to
    achieve efficiencies in the organization, operation, and cost of the
    programs?
        Answer. Of the three FTES requested for supervisory development,
    one is for the coordination of supervisor development training
    services; the other two are to staff the workforce performance
    management program. Both of these functions currently are being
    provided on a skeletal level because of the absence of dedicated
    personnel. The Library's current performance management practices,
    coordinated by a staff of one, were flagged as a critical weakness in
    the recent Employee Survey. The five requested positions address
    separate operational needs, all essential, in the Library's human
    resources program.
        Question. What are the goals of the supervisor and staff
    development programs?
        Answer. Goals of staff and supervisor development services are to
    enable the Library to provide consistently outstanding services to an
    expanding customer base, within a dynamic work environment involving
    the use of wide-ranging new technologies, with fewer and fewer staff.
        Question. What is the anticipated outcome from this investment?
        Answer. Additional funding will enable the Library to address
    critical training and development gaps, increasing efficiency and
    effectiveness across the entire organization.
                             capitol police merger
        Question. Last year we completed the merger of the Library of
    Congress security officers with the U.S. Capitol Police. From the
    Library's perspective, how were the police merger and the transition of
    personnel, resources, and police mission handled? Was this a smooth
    transition?
        Answer. Overall, the police merger and transition of personnel,
    resources, and police mission were successfully accomplished.
        Question. Since the police merger, have the Capitol Police and the
    Library of Congress worked through the remaining issues related to the
    reimbursement of overtime for Library events?
        Answer. The two agencies have worked out the key details for the
    Library's reimbursing the USCP for supporting Library special events.
    The USCP and LOC Memorandum of Understanding (MOU) will be amended to
    reflect the reimbursement agreement. Further discussions are occurring
    to improve coordination and to streamline procedures.
        Question. Are there any remaining police coverage issues that the
    Library has yet to resolve with the Capitol Police? If so, what are
    those issues?
        Answer. The unresolved issues include:
      --Jurisdictional issues between the Library's Office of the Inspector
            General (OIG) and the USCP.
      --Formalization of information-sharing between the Library and the
            USCP.
      --Finalization of the Library's special events funding coordination
            and procedural matters.
        Question. Since the police merger, have there been any jurisdiction
    issues related to the collections or building regulations? How have
    those been resolved?
        Answer. Unresolved are jurisdictional issues related to the
    investigation of criminal activity occurring at the Library, such as
    suspected theft and malicious damage to Library collections and
    property. The Library's OIG has proposed that an MOU be formalized
    between the OIG and the USCP.
                            crs services evaluation
        Question. The Legislative Branch conference report for fiscal year
    2010 concurred with the House report language regarding a CRS services
    evaluation, which requested that the Director of CRS ``conduct a formal
    evaluation of how well its current staffing models and procedures meet
    user needs.'' Has CRS conducted this evaluation? Where is CRS in that
    process?
        Answer. The consulting firm LMI will assess communications
    mechanisms, including a ``Member Advisory Committee'', and make
    recommendations on the best options to promote optimal communication
    between CRS and Members of Congress. LMI will use the client feedback
    data they receive and best practices research in developing its
    recommendations on communications mechanisms. No decision on new
    mechanisms will be made until the LMI evaluation is completed.
                         crs member advisory committee
        Question. The House report language that was included in the fiscal
    year 2010 Conference Report also directed CRS to ``consider creation of
    a new mechanism such as a Member Advisory Committee which would allow
    routine discussions between CRS leadership and users.'' Has CRS created
    a Member Advisory Committee? If so, please explain how the committee is
    intended to work, or is working.
        Answer. The consulting firm LMI will assess communications
    mechanisms, including a ``Member Advisory Committee'' and make
    recommendations on the best options to promote optimal communication
    between CRS and Members of Congress. LMI will use the client feedback
    data they receive and best practices research in developing its
    recommendations on communications mechanisms. No decision on new
    mechanisms will be made until the LMI evaluation is completed.
                          digital talking book program
        Question. Please give us an update on the Digital Talking Book
    program.
        Answer. The Library is on schedule with both digital talking book
    player and book production. To date approximately 204,000 machines have
    been produced, with production ongoing at a level of 20,000 players per
    month. More than 857,000 copies of nearly 2,169 digital titles have
    been produced and distributed on flash cartridge. A download site now
    offers nearly 19,000 digital book titles and grows daily. The one-
    millionth book was downloaded in March 2010.

                             CONCLUSION OF HEARINGS

        Senator Nelson. So thank you, and the subcommittee stands
    in recess. Thank you.
        [Whereupon, at 4:40 p.m., Thursday, April 29, the hearings
    were concluded, and the subcommittee was recessed, to reconvene
    subject to the call of the Chair.]

           LIST OF WITNESSES, COMMUNICATIONS, AND PREPARED STATEMENTS

                                  ----------
                                                                       Page

    Ayers, Stephen T., Acting Architect of the Capitol, Architect of
      the Capitol....................................................   133
        Prepared Statement of........................................   138
        Summary Statement of.........................................   136

    Billington, Hon. James H., Librarian of Congress, Library of
      Congress.......................................................   225
        Prepared Statement of........................................   230
        Summary Statement of.........................................   228

    Chrisler, Tamara E., Esq., Executive Director, Office of
      Compliance.....................................................   152
        Prepared Statement of........................................   153

    Doby, Chris, Financial Clerk, Office of the Secretary, U.S.
      Senate.........................................................     1
    Dodaro, Gene L., Acting Comptroller General, Government
      Accountability Office..........................................   173
        Prepared Statement of........................................   177
        Questions Submitted to.......................................   212
        Summary Statement of.........................................   175
    Dwyer, Sheila, Assistant Secretary, Office of the Secretary, U.S.
      Senate.........................................................     1

    Elmendorf, Douglas W., Ph.D., Director, Congressional Budget
      Office.........................................................   189
        Prepared Statement of........................................   192
        Questions Submitted to.......................................   219
    Erickson, Hon. Nancy, Secretary of the Senate, Office of the
      Secretary, U.S. Senate.........................................     1
        Prepared Statement of........................................     7
        Summary Statement of.........................................     5

    Gainer, Hon. Terrance W., Senate Sergeant at Arms, Sergeant at
      Arms and Doorkeeper, U.S. Senate...............................    72
        Prepared Statement of........................................    75
        Questions Submitted to.......................................   112

    Jarmon, Gloria, Chief Administrative Officer, United States
      Capitol Police.................................................    93
    Jenkins, Jo Ann, Chief Operating Officer, Library of Congress....   225

    Morse, Hon. Phillip D., Sr., Chief, United States Capitol Police.    93
        Prepared Statement of........................................    94
        Questions Submitted to.......................................   118
    Mulhollan, Daniel P., Director, Congressional Research Service,
      Library of Congress............................................   225
        Prepared Statement of........................................   233
    Murkowski, Senator Lisa, U.S. Senator From Alaska:
        Questions Submitted by................................115, 128, 265
        Statements of......................................3, 135, 174, 227

    Nelson, Senator Ben, U.S. Senator From Nebraska:
        Opening Statements of..............................1, 133, 173, 225
        Questions Submitted by.................112, 118, 212, 215, 219, 259
    Nichols, Dan, Assistant Chief, United States Capitol Police......    93

    O'Keefe, Ambassador John, Executive Director, Open World
      Leadership Center, Library of Congress.........................   240
        Prepared Statement of........................................   241

    Peters, Marybeth, Register of Copyrights, Copyright Office,
      Library of Congress, Prepared Statement of.....................   236
    Pryor, Senator Mark, U.S. Senator From Arkansas, Question
      Submitted by...................................................   218

    Shaffer, Roberta, Law Librarian, Library of Congress.............   225

    Tapella, Robert C., Public Printer, Government Printing Office...   183
        Prepared Statement of........................................   184
        Questions Submitted to.......................................   215

                                 SUBJECT INDEX

                                  ----------

                            ARCHITECT OF THE CAPITOL

                                                                       Page

    Annual Operating Budget Request..................................   146
    Architect of the Capitol:
        Accomplishments..............................................   147
        Proud Stewards...............................................   136
    Blue Ribbon Panel--Fire Code Requirements........................   160
    Budget Increase Concerns.........................................   134
    Capital Budget Request and Project Planning Process..............   139
    Capitol:
        Police Radio Project.........................................   171
        Power Plant FTE Increase.....................................   165
        Visitor Center.............................................137, 164
            FTE Increase.............................................   165
            Operating Budget Request.................................   146
    Congratulations on Nomination....................................   133
    Energy Conservation..............................................   137
        And Sustainability Programs..................................   142
    Federal Acquisition Streamlining Act Authority--Lease Authority..   162
        Budget Impact................................................   162
    Fiscal Year 2011:
        Budget:
            Impact...................................................   156
            Request................................................134, 135
        Projects.....................................................   136
    Preliminary Findings.............................................   160
    Prior Year Balances..............................................   157
    Project:
        List--Safety Issues..........................................   159
        Priority Ranking.............................................   157
    Projects Budget..................................................   167
    Review of Repairs................................................   161
    Senior Executive Service.........................................   163
    Substantial Project Increase.....................................   158
    Sustainability Program...........................................   166
    U.S. Botanic Garden/Sustainable Sites Initiative.................   146
    Utility:
        Meters.......................................................   166
        Tunnels......................................................   161
    What Drives the Budget Request...................................   159

                          CONGRESSIONAL BUDGET OFFICE

    Additional Committee Questions...................................   211
    Benefits of Work for Congress....................................   221
    Biggest Challenge Moving Forward.................................   221
    Computers........................................................   199
    Diversity Status.................................................   223
    Fiscal Year 2011 Flat Budget.....................................   219
    Flat Budget......................................................   204
    Foreign National Hiring..........................................   201
    Growing Demand for CBO's Analyses................................   193
    Health...........................................................   189
    Healthcare Staff.................................................   220
    New FTEs for Fiscal Year 2011....................................   221
    Pay Increase.....................................................   210
    Restrictions in Hiring Foreign Nationals.........................   222
    Role in New Healthcare Legislation...............................   220
    Shift Resources..................................................   201
        Internally...................................................   222
    Some Details of CBO's Fiscal Year 2011 Budget Request............   194
    Supplemental.....................................................   189
        Funding Spent................................................   220
    Workload.........................................................   200

                        GOVERNMENT ACCOUNTABILITY OFFICE

    Additional Committee Questions...................................   211
    ARRA Funding.....................................................   214
    Fiscal Year 2011 Request.........................................   212
    GAO:
        Continues to Be an Employer of Choice........................   178
        Hiring for Recovery Act Oversight............................   202
        Labor Relations and Pay......................................   208
        Union........................................................   215
    GAO's:
        Diversity Plan...............................................   208
        Fiscal Year 2011 Budget Request..............................   179
        Involvement With Administrative Issues Facing the Capitol
          Police.....................................................   196
        Overseas Presence............................................   198
        Requested FTE Increase.......................................   196
        Work on Capitol Police Issues................................   213
    Recovery Act Oversight...........................................   197
    States' Ability to Manage Recovery Act Funds.....................   203
    The Nation's Challenges Shape GAO's Fiscal Year 2011 Expected
      Workload.......................................................   177

                           GOVERNMENT PRINTING OFFICE

    Additional Committee Questions...................................   211
    Budget...........................................................   215
    COOP Plan........................................................   218
    Congressional Printing and Binding...............................   186
    Environmental Sustainability.....................................   206
    Facilities Repairs...............................................   195
    Federal Digital System.........................................211, 216
    Fiscal Year 2011 Appropriations Request..........................   186
    GPO Building Issues..............................................   217
    GPO's Performance System.........................................   209
    Increasing Revenues..............................................   195
    New Versus Continuing Projects...................................   205
    Passport Production..............................................   216
    Results of Fiscal Year 2009......................................   184
    Revolving Fund...................................................   187
        Priorities...................................................   204
    Salaries and Expenses of the Superintendent of Documents.........   187
    Sustainability Achievements......................................   207

                              LIBRARY OF CONGRESS

    Access to Twitter Collection.....................................   250
    Acquisition Strategy and Storage Costs...........................   247
    Additional:
        Committee Questions..........................................   259
        Space for Collections Essential..............................   248
        Specialists for CRS..........................................   253
    Alignment of CRS Work with the Congress..........................   233
    CRS..............................................................   262
        As Shared Staff..............................................   235
        Member Advisory Committee....................................   267
        Services Evaluation..........................................   267
    Capitol Police Merger............................................   266
    Collection Policies and Cost.....................................   252
    Collections Management...........................................   260
    Copyright........................................................   264
        Applications Backlog.........................................   256
    Digital Talking Book Program.....................................   267
    Expansion of the Open World Program..............................   255
    Fiscal Year 2011 Budget Request................................235, 246
    Flat Budget......................................................   259
    Fort Meade:
        And Competing Priorities.....................................   250
        Storage Module 5...........................................229, 265
    Freeze Level Scenario............................................   256
    Fundraising Efforts..............................................   255
    Highlights of Copyright Office Accomplishments and Challenges....   237
    Information Technology...........................................   265
    Inventory Management.............................................   265
        Objectives...................................................   257
    Law Library......................................................   262
    Library Budget Officer Employee of the Week......................   259
    Mandatory Pay Increases..........................................   252
    Nonappropriated Open World Funding...............................   244
    Open World:
        And Congress.................................................   243
        Leadership Center............................................   255
        Program Results..............................................   242
        2010 Activities, 2011 Plans, and 2012-2016 Strategic Planning   245
    Recouping Copyright Storage Costs................................   248
    Requested FTEs--Human Resources Services.........................   266
    Staff Development................................................   263
    Storage..........................................................   261
    Support of the United States Copyright System....................   236
    Technology Infrastructure Funding and Progress...................   257
    Twitter..........................................................   264
        Archive......................................................   249
    User Fees and Law Library Services...............................   257
    Web Governance Board.............................................   253

                              OFFICE OF COMPLIANCE

    Additional Resource Availability.................................   153
    Communications--IT Systems.......................................   153
    Compliance Education.............................................   168
    Congressional Accountability Act 15 Year Anniversary.............   152
    Fiscal Year 2011 Budget Request................................134, 152
    Hazard Prioritization............................................   170
    Hazards Decrease.................................................   167
    IT System........................................................   168
    OOC Infrastructure...............................................   155
    Prioritization of Citations......................................   161
    Safety:
        And Health Inspections.......................................   155
        Awareness....................................................   152
    Strategic Planning...............................................   154
    System Security..................................................   169

                          UNITED STATES CAPITOL POLICE

    Additional Committee Questions...................................   112
    Addressing Threats to Senate Offices.............................   127
    Civilian Contracting.............................................   109
    Fiscal Year 2011 Request.........................................   119
    Internal Control Weaknesses......................................   127
    Manpower Reductions..............................................   120
    New Initiatives..................................................   111
        In fiscal year 2011..........................................   132
    Overtime.........................................................   110
    Radio Modernization Project....................................125, 131
    Salaries.........................................................   128
    Salary Miscalculation............................................   118
    USCP:
        Overtime.....................................................   108
        Radio Project................................................   107
        Salary Miscalculation........................................   104

                                  U.S. SENATE

                            Office of the Secretary

    Additional Committee Questions...................................   112
    Administrative Offices...........................................    32
    Bill Clerk.......................................................    10
    Captioning Services..............................................    11
    Chief Counsel for Employment.....................................    32
    Conservation and Preservation....................................    34
    Curator..........................................................    34
    Daily Digest.....................................................    11
    Disbursing Office................................................    17
    Education and Training...........................................    41
    Enrolling Clerk..................................................    14
    Executive Clerk..................................................    14
    Financial Operations.............................................    17
    Gift Shop........................................................    42
    Historical Office................................................    44
    Human Resources..................................................    49
    Implementing Mandated Systems....................................     8
    Interparliamentary Services......................................    50
    Journal Clerk....................................................    15
    Legislative:
        Information System (LIS) Project.............................    50
        Offices......................................................     9
    Library..........................................................    52
    Official Reporters of Debates....................................    16
    Page School......................................................    60
    Parliamentarian..................................................    16
    Presenting the Fiscal Year 2011 Budget Request...................     7
    Printing and Document Services...................................    61
    Public Records...................................................    63
    Senate:
        Employees Child Care Center..................................    98
        Information Services.........................................97, 99
    Stationery Room..................................................    64
    Web Technology...................................................    65

                        Sergeant at Arms and Doorkeeper

    Additional Committee Questions...................................   112
    Combined Appropriation Account...................................   114
    Expenses.........................................................   116
    Fiscal Year 2011 Budget Request................................112, 113
    Information Technology...........................................    79
        Security.....................................................   102
    Operations.......................................................    84
    Payroll System Upgrade...........................................   117
    Police Operations, Security, and Emergency Preparedness..........    76
    Printing Department Relocation...................................   113
    Printing, Graphics and Direct Mail Relocation..................102, 118
    Prior Year Balances..............................................   106
    Senate Emergency Notification System.............................   115
    Salaries.........................................................   115
    Senate Personnel System..........................................   103
    Telecom Modernization:
        Plan.........................................................   117
        Program...............................................103, 105, 107
        Project......................................................   114
    Telephone/Voicemail Interruption.................................   114
    Unobligated Balances...........................................113, 117

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