    [Senate Hearing 112-778]
    [From the U.S. Government Publishing Office]

                                                            S. Hrg. 112-778

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2013

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

                                    HEARINGS

                                    before a

                              SUBCOMMITTEE OF THE

                COMMITTEE ON APPROPRIATIONS UNITED STATES SENATE

                          ONE HUNDRED TWELFTH CONGRESS

                                 SECOND SESSION

                                       on

                                   H.R. 5882

    AN ACT MAKING APPROPRIATIONS FOR THE LEGISLATIVE BRANCH FOR THE FISCAL
             YEAR ENDING SEPTEMBER 30, 2013, AND FOR OTHER PURPOSES

                                   __________

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                          Congressional Budget Office
                        Government Accountability Office
                           Government Printing Office
                              Library of Congress
                              Office of Compliance
                                  U.S. Senate
                          United States Capitol Police

                                   __________

             Printed for the use of the Committee on Appropriations

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                          COMMITTEE ON APPROPRIATIONS

                       DANIEL K. INOUYE, Hawaii, Chairman
    PATRICK J. LEAHY, Vermont            THAD COCHRAN, Mississippi, Ranking
    TOM HARKIN, Iowa                     MITCH McCONNELL, Kentucky
    BARBARA A. MIKULSKI, Maryland        RICHARD C. SHELBY, Alabama
    HERB KOHL, Wisconsin                 KAY BAILEY HUTCHISON, Texas
    PATTY MURRAY, Washington             LAMAR ALEXANDER, Tennessee
    DIANNE FEINSTEIN, California         SUSAN COLLINS, Maine
    RICHARD J. DURBIN, Illinois          LISA MURKOWSKI, Alaska
    TIM JOHNSON, South Dakota            LINDSEY GRAHAM, South Carolina
    MARY L. LANDRIEU, Louisiana          MARK KIRK, Illinois
    JACK REED, Rhode Island              DANIEL COATS, Indiana
    FRANK R. LAUTENBERG, New Jersey      ROY BLUNT, Missouri
    BEN NELSON, Nebraska                 JERRY MORAN, Kansas
    MARK PRYOR, Arkansas                 JOHN HOEVEN, North Dakota
    JON TESTER, Montana                  RON JOHNSON, Wisconsin
    SHERROD BROWN, Ohio

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

                     Subcommittee on the Legislative Branch

                         BEN NELSON, Nebraska, Chairman
    JON TESTER, Montana                  JOHN HOEVEN, North Dakota
    SHERROD BROWN, Ohio                  LINDSEY GRAHAM, South Carolina
    DANIEL K. INOUYE, Hawaii (ex         THAD COCHRAN, Mississippi (ex
        officio)                             officio)
                               Professional Staff
                                   Lila Helms
                        Rachelle G. Schroeder (Minority)
                             Katie Batte (Minority)

                             Administrative Support

                                 Maria Veklich

                                C O N T E N T S

                                  ----------

                            Thursday, March 1, 2012

                                                                       Page

    Architect of the Capitol.........................................     1
    Library of Congress..............................................    28
    Office of Compliance.............................................    57

                            Thursday, March 15, 2012

    Government Accountability Office.................................    73
    Government Printing Office.......................................    87
    Congressional Budget Office......................................    93

                            Thursday, March 22, 2012

    U.S. Senate:
        Office of the Secretary......................................   113
        Sergeant at Arms and Doorkeeper..............................   185
    United States Capitol Police.....................................   213

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2013

                                  ----------

                            THURSDAY, MARCH 1, 2012

                                           U.S. Senate,
               Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 2:30 p.m., in room SD-138, Dirksen
    Senate Office Building, Hon. Ben Nelson (chairman) presiding.
        Present: Senators Nelson and Hoeven.

                            ARCHITECT OF THE CAPITOL

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

                    opening statement of senator ben nelson

        Senator Nelson. This is our first hearing of fiscal year
    2013 and I want to start by welcoming my Ranking Member Senator
    Hoeven who will be joining us shortly. He's on the floor.
        As everyone in this room knows, the bill we passed last
    year reflected the very tough spending decisions that had to be
    made and I want to thank him, and I haven't personally before,
    for working with me and working together as well as we were
    able to do, better than I think most people could have ever
    expected. I'm looking forward to also working closely again
    this year to pass the legislative branch bill that funds the
    priorities of our agencies and also reflects the tight budget
    constraints under which we're unfortunately still operating, as
    well as, of the sequestration process.
        So, I want to welcome the other members: Senators Tester,
    Brown, and Senator Graham.
        Senator Nelson. So, we're here again, faced with similar
    funding constraints, difficult times; people back home wanting
    less Government, but very often more services, of course. We're
    operating with similar funding constraints and equally tough
    decisions again. But we welcome the testimony today and in the
    weeks to come on the fiscal year 2013 budget request as we
    review personnel, programmatic, and construction needs.
        Today, we'll receive testimony on the fiscal year 2013
    budget requests from the Architect of the Capitol (AOC); the
    Library of Congress (LOC); Open World Leadership Center (OWLC);
    and the Office of Compliance (OOC). I want to welcome our four
    witnesses today: Stephen T. Ayers, the Architect of the
    Capitol; Dr. James Billington, Librarian of Congress;
    Ambassador John O'Keefe, Executive Director of the Open World
    Leadership Center; and Tamara E. Chrisler, Esq., Executive
    Director of the Office of Compliance.

                        fiscal year 2013 budget request

        It's good to have each of you here this afternoon. Mr.
    Ayers, your budget request this year totals $668 million, an
    increase of $101 million or 17.7 percent more than the current
    fiscal year funding. Now, this probably comes as no surprise
    that no other legislative branch agency has this level of
    increase in their budget request. Understandably, the majority
    of your proposed increase, 46 percent is for capital
    construction projects, and much of that funding is just
    absolutely necessary to keeping our campus operating safely,
    and efficiently as well, and we understand that. You have two
    large ticket items on your agenda for fiscal year 2013--Phase
    II of the Capitol dome rehabilitation and the beginning of
    Phase II of the Capitol Power Plant chiller system replacement.
        Obviously, there are going to be some very tough decisions
    before us. If we're going to embark on these major rehab
    projects, we're going to have to look for savings in some other
    places wherever we can, not only within the AOC budget, but
    also across other agencies in an effort to contain the overall
    funding levels of this bill.
        Dr. Billington, I want to welcome you again and your Chief
    of Staff, Robert Dizard, Jr. This past year we were saying
    goodbye to Congressional Research Service (CRS) Director Dan
    Mulhollan after 42 years of service to the Congress. It appears
    from the seats behind you that the LOC has had a few more
    changes during this past year. The LOC's fiscal year 2013
    request totals $603.6 million, an increase of $16.2 million or
    2.8 percent more than the fiscal year 2012 enacted level. I
    understand the requested increase in funding would cover
    mandatory pay-related items and price level increases and would
    restore the funding level of the Copyright Office to the fiscal
    year 2012 rescission level, and would provide $1.7 million to
    the LOC to complete the transfer of special format collections
    in modules 3 and 4 at Fort Meade.
        I also want to welcome Ambassador O'Keefe of the OWLC. Your
    budget request totals $10 million, a freeze at the fiscal year
    2012 enacted level. I strongly support the work of OWLC as
    you--the Ambassador--and Dr. Billington know. As the OWLC has
    sustained the largest reduction in fiscal year 2012, I
    appreciate the fact that you're willing, in a sense, to do more
    with less even now. I look forward to your testimony as we
    consider these numbers.
        Ms. Chrisler, the fiscal year 2013 budget request for the
    OOC totals $4.2 million, an increase of $389,000, or 10 percent
    more than the current year. We appreciate the services that the
    OOC offers to both the employing offices and employees of the
    legislative branch. We look forward to your testimony and to
    discussing the services that your office provides within the
    tight budget constraints.
        I'll turn to the Ranking Member, Senator Hoeven, my good
    friend, for his remarks when he arrives here to join us.

                               prepared statement

        I'd like to begin with the witnesses. I know we always try
    to ask everybody to hold opening statements to about 5 minutes,
    and if you could then submit the rest of your statement for the
    record.
        Mr. Ayers, we'll start with you then we'll hear from Dr.
    Billington, Ambassador O'Keefe, and last but not least, Ms.
    Chrisler.
        [The statement follows:]
                    Prepared Statement of Senator Ben Nelson
        Good afternoon everyone and welcome.
        This is our first hearing of fiscal year 2013 and I want to start
    by welcoming my Ranking Member, Senator Hoeven. As everyone in this
    room knows, the bill we passed last year reflected the very tough
    spending decisions that had to be made, and I want to thank Senator
    Hoeven for working with me throughout the entire process. I'm looking
    forward to working closely together again this year to pass a
    legislative branch bill that funds the priorities of our agencies but
    also reflects the tight budget constraints under which we are still
    operating. I also want to welcome the other members of the
    subcommittee: Senator Tester, Senator Brown, and Senator Graham.
        So, we are back here again this year, faced with both similar
    funding constraints as last year, and equally tough decisions. We
    welcome the testimony today and in the weeks to come on the fiscal year
    2013 budget requests as we review personnel, programmatic, and
    construction needs. Today, we will receive testimony on the fiscal year
    2013 budget requests from the Architect of the Capitol (AOC); the
    Library of Congress (LOC); the Open World Leadership Center (OWLC); and
    the Office of Compliance (OOC). I want to welcome our four witnesses
    today:
      --Stephen T. Ayers, Architect of the Capitol;
      --Dr. James Billington, Librarian of Congress;
      --Ambassador John O'Keefe, Executive Director of the Open World
            Leadership Center; and
      --Tamara Chrisler, Executive Director of the Office of Compliance.
                  aoc deg.fiscal year budget requests
        It is good to have each of you here this afternoon.
        Mr. Ayers, your budget request this year totals $668 million--an
    increase of $101 million or 17.7 percent more than the current year. No
    other legislative branch agency has this level of increase in their
    budget request. Understandably, the majority of your proposed
    increase--46 percent--is for capital construction projects, and much of
    that funding is to keep our campus operating safely and efficiently.
    And you have two large ticket items on your agenda for fiscal year
    2013, Phase II of the Capitol dome rehabilitation; and the beginning of
    Phase II of the Capitol Power Plant chiller system replacement.
    Obviously, there are going to be some very tough decisions before us,
    and if we are going to embark on these major rehab projects, we are
    going to have to look for savings in other places not only within the
    AOC but also across the other agencies of the legislative branch in an
    effort to contain the overall funding levels of this bill.
        Dr. Billington--I want to welcome you and your Chief of Staff,
    Robert Dizard Jr. This time last year, we were saying goodbye to
    Congressional Research Service Director Dan Mulhollan after 42 years of
    service to the Congress. It appears from the seats behind you that the
    LOC has had a few more changes in the past year.
        LOC's fiscal year 2013 request totals $603.6 million, an increase
    of $16.2 million or 2.8 percent more than the fiscal year 2012 enacted
    level. I understand the requested increase in funding would cover
    mandatory pay-related items and price level increases, would restore
    the funding level for the Copyright Office to the pre-fiscal year 2012
    rescission level, and would provide $1.7 million for LOC to complete
    the transfer of special format collections to Modules 3 and 4 at Fort
    Meade.
        I also want to welcome Ambassador O'Keefe of the OWLC. Your budget
    request totals $10 million--a freeze at the fiscal year 2012 enacted
    level. I strongly support the work of OWLC, and as the agency that
    sustained the largest percentage reduction in fiscal year 2012, I
    appreciate the fact that you are willing to do more with less. I look
    forward to hearing your testimony.
        Ms. Chrisler, the fiscal year 2013 budget request for OOC totals
    $4.2 million--an increase of $389,000 or 10 percent more than the
    current year. We appreciate the services that your agency offers to
    both the employing offices and the employees of the legislative branch.
    We look forward to your testimony and to discussing the services your
    office provides within the tight budget constraints.

                      SUMMARY STATEMENT OF STEVEN T. AYERS

        Mr. Ayers. Thank you, Mr. Chairman, and good afternoon.
        Thank you for the opportunity to testify today regarding
    our fiscal year 2013 budget request. Our mission is to serve
    the Congress and the American people as well as to maintain the
    historic buildings entrusted to our care. We know first-hand
    the challenges associated with preserving these historic
    buildings and we have considerable experience in planning for
    our future requirements.
        However, despite our best efforts to anticipate and make
    needed repairs, as our buildings continue to age, they've
    become more difficult and costly to maintain. Making necessary
    improvements requires significant investment, and today our
    backlog of deferred maintenance and capital renewal work is
    more than $1.6 billion.
        As we've developed this budget, we prioritized our efforts
    to ensure that every resource goes toward the most needed work,
    realizing that we must balance our stewardship responsibilities
    with fiscal responsibility. I also realize, Mr. Chairman, that
    it's my responsibility to find ways to work faster, smarter and
    cheaper and our efforts this year have resulted in a few cost
    savings.

                    AOC deg.OVERTIME/WORK SCHEDULES

        First, we reduced our overtime costs last year by 22
    percent, while maintaining service levels and response times.
    We have done this by adjusting employee work schedules and
    assigning newly hired employees to alternate work schedules.
    Second, we implemented temporary, targeted hiring freezes;
    delayed filling vacant positions; and eliminated 15 positions
    and another 6 part-time rehired annuitants, allowing us to
    reinvest those resources in our deferred maintenance backlog.
        We've also looked at our information technology (IT)
    operations and consolidated our servers from 200 to 10, saving
    more than $220,000. This reduced energy consumption, space
    requirements, and maintenance costs. We're also working to
    reduce energy consumption and water consumption across the
    Capitol campus because saving energy and water saves money. We
    reduced energy consumption significantly, which resulted in
    $2.5 million of cost avoidances just last year.
        In addition, we've implemented a free cooling process at
    our Power Plant, yielding another $500,000 in savings last year
    alone. As a result of these savings and others, we've reduced
    our budget request for capital projects to $161 million, which
    is a 10-percent decrease from our request last year. Nearly $50
    million of this funding goes toward projects that specifically
    address the most critical life-safety, infrastructure, and
    security needs of the Capitol campus.

                    AOC deg.PROJECT ADMINISTRATION

        For fiscal year 2013, we're recommending that nearly $203
    million in necessary work, nearly 60 projects, be deferred to
    another year. This is a calculated risk because the longer
    these projects are delayed, obviously the more they're going to
    cut cost down the road.
        As stewards of the Capitol campus, we're committed to
    working with the Congress to ensure that the proper investments
    are made in the facilities at the most appropriate times. In
    doing so, we will ensure together that our national treasures
    are preserved for generations.

                               PREPARED STATEMENT

        Mr. Chairman, thanks to everyone on the AOC team, we've
    made great strides last year. It's been a very good year for
    us. We've delivered more projects on time and on budget than we
    ever have in our history. And in doing so, we are effectively
    managing the resources that the Congress and the taxpayers
    provide.
        This concludes my statement. I'd be happy to answer any
    questions you may have.
        [The statement follows:]
             Prepared Statement of Stephen T. Ayers, FAIA, LEED AP
        Mr. Chairman, Senator Hoeven, and members of the subcommittee,
    thank you for the opportunity to testify today regarding the Architect
    of the Capitol's (AOC) fiscal year 2013 budget request.
        AOC's core mission is to serve the Congress and the American people
    as well as preserve and maintain the historic facilities entrusted to
    our care. We know first-hand the challenges associated with preserving
    these historic buildings, and we have much experience in anticipating
    and planning for future requirements to ensure that future generations
    will continue to be inspired by their United States Capitol and all of
    the history that it holds.

        Despite our best efforts to anticipate and make needed repairs, as
    these facilities continue to age, they become more difficult to
    maintain, building systems such as the plumbing and heating are
    beginning to fail in the oldest office buildings, and installing the
    most up-to-date technology has proven challenging. Making the necessary
    improvements and upgrades to congressional facilities will require
    significant investment.
        We appreciate the Congress' support of our efforts over the past
    several years to improve the buildings and infrastructure on Capitol
    Hill, however, the number of pressing needs continues to grow as the
    availability of Federal dollars becomes more constrained.
        Therefore, in developing this budget request, we worked to
    prioritize our efforts to ensure that every resource goes toward the
    most needed and most important work, realizing that we must balance our
    stewardship responsibilities with fiscal responsibility. For fiscal
    year 2013, our responsibilities will also include two very staff- and
    resource-intensive activities--preparing for the Presidential Inaugural
    ceremony, and orchestrating the postelection office moves in the House
    and Senate.

        As stewards of our national treasures, it is my duty to put forth a
    reasonable budget that I believe will best meet the need of our aging
    infrastructure. This awesome responsibility has led me to request an
    increase in my budget during fiscally challenging times; and not doing
    so, I believe, would be irresponsible. We are requesting $668.2
    million, a 5 percent decrease from the fiscal year 2012 request.
        However, I found that the key to balancing all of these
    responsibilities is to put forth our request in a prioritized way that
    provides the Congress with the information they need to make sound and
    knowledgeable decisions to align our budget with available fiscal
    resources. We believe we have done that with this budget request.
                 realizing significant efficiencies and savings
        It is my additional responsibility to find ways of working faster,
    smarter, and cheaper. We believe we are leading by example by becoming
    more efficient in an effort to save taxpayer money. These efforts are
    both large and small and most of these efforts resulted in significant
    cost avoidances, that is, by doing things more efficiently, we were
    able to reduce the costs of carrying out daily operations, programs, or
    projects.
        We are using innovative ideas, such as engaging cross-functional
    teams, to implement best practices to help us become more efficient in
    our operations, drive quality improvements, and further enhance
    efficiencies and reduce costs. The following are examples of the
    efficiencies the AOC realized during fiscal years 2011 and 2012.
      --We implemented an agency-wide effort to reduce overtime while
            maintaining service levels and response times. We were able to
            accomplish this by adjusting existing employee work schedules
            and hiring new employees to work alternate schedules (versus
            the traditional Monday-Friday work week). We were therefore
            able to provide suitable weekend coverage; reducing our
            overtime costs in fiscal year 2011 by 22 percent. This was
            especially noteworthy given the extraordinary manpower
            requirements of the postelection congressional office moves.
      --We implemented targeted hiring freezes, delayed filling vacant
            positions, eliminated positions, and reduced the number of
            temporary employees and annuitants among our ranks, thereby
            allowing us to reinvest our resources in Deferred Maintenance
            and Capital Renewal projects.
      --We reviewed all of our subscriptions to print and online
            publications and cut those that were unneeded or underutilized.
            This effort yielded nearly $50,000 in annual cost savings.
      --In some of our jurisdictions, we evaluated several leases and
            either relocated leased operations to more cost effective/
            smaller locations, or re-competed the lease to reduce costs.
            This resulted in immediate- and long-term cost avoidances
            totaling more than $1 million.
      --In July and August 2011, on excessively hot days when there was a
            high demand on the power grid, AOC implemented its load-
            curtailment procedures. These days are called ``Gold Days''.
            Observing them helps reduce demand on the electric grid during
            high demand periods and helps reduce utility costs to the AOC.
            Members' offices played a role in observing Gold Days by
            turning off nonessential lighting and office equipment. In
            addition, AOC dimmed hallway lights and shut down decorative
            water fountains.
      --We have found significant savings by taking a critical look at our
            information technology services. By using virtual server
            technology, we reduced the number of physical servers from 200
            to 10. This reduced energy consumption, space requirements, and
            maintenance costs. We also standardized and consolidated our
            platform software, which reduced maintenance and support costs.
            In all, we saw more than $220,000 in annual savings and
            improved our IT equipment reliability.
        Accomplishing these efforts through more effective means also
    provided an extra benefit to the Congress and to the American people;
    AOC was able to reinvest resources in important Deferred Maintenance
    and Capital Renewal projects. To give one example, we reinvested funds
    saved through our energy reduction efforts into the initial planning
    and design for the Cogeneration and West Refrigeration Plant projects
    in fiscal year 2011. Therefore, AOC was able to reduce its budget
    request for capital projects in fiscal year 2013 to $161 million, a 10
    percent decrease from the fiscal year 2012 capital projects request.
        Nearly $50 million of this funding will go toward addressing
    Deferred Maintenance projects. And, the 16 capital projects on the
    fiscal year 2013 Recommended Line Item Construction list specifically
    will address the most critical life-safety, infrastructure
    preservation, and security needs. In the most difficult of economic
    times, we must continue to correct deficiencies and prevent facility or
    system failures. The key is to prioritize these projects to ensure
    every taxpayer dollar goes toward the most important work.
                      project planning and prioritization
        Over the past several years, we have refined our dynamic project
    prioritization process, which has contributed to our ability to
    identify and communicate to the Congress the urgent need to invest in
    the historic and iconic buildings and infrastructure, and the resulting
    risks if these needs are not addressed.
        AOC's Project Planning and Prioritization Process ranks every
    necessary project using the conditions of the facilities and the
    anticipated urgency with which we need to provide the levels of
    investment and maintenance required to ensure they remain safe,
    functional, and secure. The first priority, of course, is to ensure the
    health and safety of all those who work in and visit the Capitol
    campus. This ``triage'' process for facilities identifies the most
    serious issues first, which we assess carefully to develop solutions to
    fix the problems while also addressing necessary life-safety issues,
    security requirements, energy-savings opportunities, and historic
    preservation measures. We take the same approach in meeting our
    clients' needs, however by placing a priority on fixing existing
    deficiencies and Deferred Maintenance; new construction projects are
    often postponed.
        We have several tools that we use to assess which facilities need
    emergency care versus those that can be nursed along until funding
    becomes available to address specific Deferred Maintenance or Capital
    Renewal projects in those particular buildings. These tools include
    Facility Condition Assessments, the Capitol Complex Master Plan,
    Jurisdiction Plans, and the 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.
        Our comprehensive prioritization process rates projects on a number
    of objective factors to produce an overall hierarchy of importance.
    During this process, projects are classified by type and urgency. The
    projects are then scored against six criteria:
      --safety and regulatory compliance;
      --security;
      --historic preservation;
      --mission;
      --economics; and
      --energy efficiency and environmental quality.
        We then compile these scores to produce a composite rating
    consisting of classification, urgency, and project importance and we
    also apply a criticality and risk decision model to the overall
    prioritization list to filter which ones are included in our annual
    budget request.
        To provide us with a long-term, strategic look ahead to queue up
    priorities, investments, and projects, we use the Capitol Complex
    Master Plan. This past year we have worked to finalize an updated
    Master Plan that looks ahead 20 years and assesses the present physical
    condition and capacities of the buildings within the Capitol campus
    within the nine associated Jurisdiction Plans. These plans help us make
    future decisions about facility renewal requirements and new projects.
    For example, there may be instances where major, whole building
    renovations should be undertaken rather than a myriad of smaller
    projects, such as the planned Cannon House Office Building Renewal
    project. Renewals are more cost effective for implementing a variety of
    necessary improvements as they avoid having to re-enter a space several
    times to perform different types of work.
        Finally, our Five-Year Capital Improvements Plan helps us meet
    several goals by analyzing all of the facility requirements, grouping
    them into logical and economical sequencing and phasing, prioritizing
    the resulting requirements using a set of objective criteria, and
    establishing measurable outcomes. Through this prioritization process,
    we work to document current and future needs and identify ways to
    seamlessly integrate those needs with modern-day code, security,
    technology, and sustainability opportunities. The Five-Year Capital
    Improvements Plan also provides outcomes showing the results if work is
    performed as planned and the resulting outcomes and risks if work is
    not performed.
        Over the past several years, the Congress has been very supportive
    of AOC's efforts to address critical Deferred Maintenance projects.
    However, it is important to acknowledge that there is a growing threat
    that must be faced--a very large number of Deferred Maintenance and
    Capital Renewal projects that remain to be addressed. For fiscal year
    2013, we are recommending that an additional $202.6 million in
    necessary work be further deferred to a later fiscal year due to the
    austere budget environment. This is a calculated risk. AOC continues to
    carefully monitor and maintain the facilities and systems to minimize
    the risk of catastrophic failure. We also continue to monitor the large
    number of Capital Renewal projects that remain unaddressed.
        As demonstrated in the following Facility Condition Index (FCI)
    charts comparing fiscal year 2010 and fiscal year 2011, the Congress
    has provided significant funding over the past several fiscal years,
    which has been directed to help repair the infrastructure of several
    facilities, which in turn has improved their overall conditions.

        However, while several facilities have trended beyond a ``good''
    condition, we have found over the past year that several of the
    facilities that are now rated as ``fair'' or ``poor'' are getting far
    worse due to continued deterioration. This trend is more evident in the
    projected FCI information provided in the following Capitol campus
    illustrations, which demonstrate how the conditions of each of the
    congressional facilities will continue to worsen over the next 5 years
    as compared to today. (The fiscal year 2016 illustration shows the
    facility condition changes with no additional investments made after
    fiscal year 2012.)
             Fiscal Year 2011 Facility Condition Index by Facility
               (Incorporated projects funded in fiscal year 2012)

             Fiscal Year 2016 Facility Condition Index by Facility

        The longer Capital Renewal projects are delayed, the conditions in
    these facilities will continue to deteriorate; deficiencies will grow
    more and more serious, and ultimately more costly to repair. Additional
    consequences of not addressing looming Capital Renewal projects are the
    continued crumbling of facilities' infrastructure; a loss of historic
    artwork and architectural features; continued system and building
    failures, and security threats.
        Several buildings on the Capitol campus are more than 100 years
    old--or in the case of the U.S. Capitol Building--more than 200 years
    old. As stewards of the Capitol campus, AOC is committed to continuing
    to work with the Congress to ensure that the proper investments are
    made in the facilities at the appropriate times.
        Funding the following capital projects in fiscal year 2013 ensures
    that necessary investments are made in our historic infrastructure, and
    increases the safety and security of those who work in or visit the
    facilities on the Capitol campus. In addition, investing in the
    projects will continue to preserve national treasures for future
    generations, and many are designed to allow the Congress to realize
    greater energy efficiencies and savings.

      --Dome Restoration, Phase IIA.--In fiscal year 2011, we began phase I
            of this project with the restoration of the Dome skirt. The
            ongoing work includes repairing and restoring historic
            ironwork, sandstone, and brick masonry. In addition, old paint
            is being removed from the interior and exterior of the Dome
            skirt and it will be repainted. This phase of the project is on
            budget and on schedule for completion in fall 2012.
          Phase IIA is the second of four phases and will involve making
            needed repairs to the Dome's exterior. This also will include
            exterior ironwork repairs, restoration of columns, finials and
            decorative ornaments, repair of the gutter system and repair/
            replacement of windows, installation of a new fall protection
            system, repair/replacement of roof electrical systems,
            installation of a bird deterrent system, and priming,
            resurfacing, and repainting of the Dome's exterior.
          Our Dome project is one of many that are transpiring across the
            country. Many State capitols are experiencing many of the same
            issues and are undergoing costly repairs as well. For example,
            Oklahoma's 94-year-old dome is undergoing a $130 million
            renovation. In Minnesota, they are looking at a $241 million
            restoration of its 106-year-old capitol, $4 million of which is
            just to repair leaks in the dome.
          The planned phase IIA repairs will ensure that the elements that
            make the Capitol Dome unique and iconic will not be lost to
            time and the elements. It also will ensure that the appropriate
            life-safety systems are in place for the protection of AOC
            employees charged with the continuous care and maintenance of
            the Dome.
      --Union Square Stabilization.--In December 2011, AOC's jurisdiction
            was expanded to include Union Square--an 11-acre parcel
            including the Capitol reflecting pool and the Grant Memorial.
            Our fiscal year 2013 budget request reflects this added
            responsibility and includes $7.3 million for its required care
            and maintenance, including reflecting pool cleaning and
            repairs, stabilization of the steps, immediate sidewalk
            repairs, lamp post replacement, and cleaning and restoration of
            the statuary. As this is a new requirement for fiscal year
            2013, estimates may be revised and updated as additional
            condition assessment information becomes available.

      --West Refrigeration Plant, Chiller Addition.--The hot and humid
            Washington summers have increased the cooling demands across
            the Capitol campus and the four existing chillers in the
            Capitol Power Plant's West Refrigeration Plant are more than 30
            years old and well beyond their useful lives. Therefore, they
            are no longer reliable to meet current demand. This project
            would fund the installation of two variable speed, high-
            efficiency centrifugal chillers and ancillary equipment in the
            West Refrigeration Plant Expansion. This would ensure that a
            steady supply of chilled water would be maintained to assure
            that congressional facilities would be cooled during the
            hottest months of the year. In addition, installing new, energy
            efficient equipment will reduce campus-wide energy consumption,
            which will aid in meeting Energy Independence and Security Act
            of 2007 requirements.
      --Electrical Distribution Upgrade, Alternative Computer Facility.--
            Security experts are warning against a new type of terrorist
            attack--the ``blended attack''. Blended attacks are defined as
            coordinated attacks combining a physical attack against a
            target along with a cyber-attack against the same or different
            targets. Natural disasters, such as last August's earthquake,
            also can wreak havoc with computer systems and equipment.
            Therefore, providing for the appropriate redundancies for
            computer systems that support congressional functions is
            essential. This project would ensure that aging electrical
            system at the Alternative Computer Facility is upgraded to
            provide added reliability and redundancy, reducing the
            possibility of catastrophic failure of critical systems.
                           ensuring a safe workplace
        Safety is a top priority at the AOC. Since fiscal year 2007, the
    Congress has invested more than $210 million in more than 55 safety-
    related projects executed by the AOC. This includes a number of fire
    and life-safety facility-related projects, including installing
    emergency exit signage, emergency generators and lighting, and public
    address systems, as well as upgrading the fire alarm systems in each of
    the Senate Office Buildings; installing ventilation systems and
    upgrading electrical and lighting in congressional facilities; and
    extending sprinkler and smoke detector coverage in major office
    buildings.

        Included in our fiscal year 2013 request is a major safety-related
    project for the Hart Senate Office Building. We are seeking funding to
    replace the Hart roof and install a new fall protection system. This
    project will prevent water from continuing to leak into the Hart
    atrium, which has the potential to damage the Calder sculpture, and
    will ensure that necessary maintenance can be conducted safely on the
    roof. This is the second phase of a two-phase project.
        Today, the level of safety throughout the Capitol campus has never
    been higher and continues to improve. This is best demonstrated by the
    continued reduction in the agency's Injury and Illness (I&I) rate.
        Architect of the Capitol Injury and Illness and Lost Time Rates

        In fiscal year 2011, AOC's total I&I rate fell to 3.6 percent, and
    its lost time rate was reduced to 1.81 percent. This is compared to
    fiscal year 2010's rates of 3.8 percent and 2.1 percent. Much of this
    success can be attributed to the AOC's long-established safety
    education and training programs that place a strong emphasis on
    employee safety. By way of example, I am very pleased to report that as
    of February 21, 2012, our Library Buildings and Grounds jurisdiction
    employees have worked 738 consecutive, injury-free days.
         saving energy and taxpayer money through sustainable practices
        AOC's legacy of sustainability began with the setting of the
    Capitol's cornerstone in 1793, and is continuing today. AOC is working
    to reduce energy and water consumption across the Capitol campus in
    order to help save taxpayer money.
        In fiscal year 2011, AOC exceeded the Energy Independence and
    Security Act of 2007 (EISA 2007) energy reduction goal of 18 percent by
    achieving a 19 percent reduction. Looking forward, the energy reduction
    goal for fiscal year 2012 is 21 percent, and meeting this and future
    reduction goals will become more challenging because the projects that
    yielded quick results have been completed. Implementing the next series
    of projects will take more time and more resources to realize savings
    in taxpayer money, and further reductions in energy usage.
            Architect of the Capitol Meeting Energy Reduction Goals

        AOC's Sustainability, Energy and Water Conservation Division has
    been leading the agency's efforts to further reduce energy consumption
    on Capitol Hill. In fiscal year 2011, AOC reduced energy consumption by
    109,000 MMBtus, which resulted in $2.5 million in cost avoidances over
    fiscal year 2010.
        The projects and programs that contributed to these savings include
    the Energy Savings Performance Contracts (ESPCs) for the Senate and
    House Office Buildings and the Capitol Building as well as retro-
    commissioning of equipment to optimize building systems' performance.
    AOC also is utilizing energy audits, building energy modeling, and
    utility meters to assess energy consumption and identify additional
    opportunities for energy reductions.
        In November, AOC began using ``waste-to-energy'' as an alternative
    method to dispose of solid waste from Capitol Hill. Waste-to-energy
    refers to the burning of solid wastes to generate heat and, in turn,
    produce steam and electricity. This process creates usable energy
    employing waste that would otherwise be placed in landfills--diverting
    up to 90 percent of the Capitol campus's nonrecyclable solid waste. The
    heat generated from this combustion process produces enough steam and
    electricity to power an office building the size of the Dirksen Senate
    Office or Longworth House Office Building for several months. In fiscal
    year 2011, more than 5,600 tons Senate Office of nonrecyclable waste
    was collected from congressional facilities. Using waste-to-energy
    methods on Capitol Hill complements AOC's ongoing robust recycling
    programs. In fact, AOC recycles approximately 4,000 tons of materials
    each year, including construction waste and e-waste such as computers
    and other electronic equipment.
        Looking ahead, the implementation of cogeneration at the Capitol
    Power Plant in the near future will play an essential role in AOC's
    long-term energy conservation strategy. Cogeneration uses combustion
    turbines to generate both steam and electricity. The electricity
    produced would help to offset the electricity used by the Capitol Power
    Plant. In addition, the use of the heat generated from this operation
    would produce enough steam to reduce reliance on existing, aging
    boilers. Utilizing cogeneration will help the Congress meet the Energy
    Independence and Security Act of 2007 requirement of a 30 percent
    energy reduction by 2015, and will increase the Capitol Power Plant's
    overall efficiency.
        AOC is proposing the use of a Utility Energy Services Contract
    (UESC) to help finance construction of the cogeneration plant. This
    public-private partnership leverages private funding allowing AOC to
    execute construction in a timelier manner, and allows the use of
    limited appropriated funds for other priorities, such as deferred
    maintenance or life-safety and security projects.
           providing extraordinary services and inspiring experiences
        Another large component of AOC's mission is visitor services. Since
    the Capitol Visitor Center (CVC) opened in December 2008, nearly 7
    million visitors have come through its doors. The visitor experience at
    the U.S. Capitol is comprised of highly personal moments that can
    inform, involve, and inspire those who come here, and this is largely
    provided by the expert CVC staff who provide memorable and engaging
    tours. The CVC also provides visitors with convenient amenities
    including information desks, restrooms, gift shops, and a restaurant.
    In fact, in fiscal year 2011, the Restaurant and Special Events
    Division, supported more than 850 congressional events and served
    nearly 243,000 meals.
                          Visitors to the U.S. Capitol

        With the CVC situated on the East Front of the Capitol, visitors
    approaching from the west can stop and smell the roses in the National
    Garden. And, each year nearly 1 million people visit the U.S. Botanic
    Garden. The U.S. Botanic Garden staff provides enriching educational
    programs for guests of any age, and they are the recognized leaders in
    the development and promotion of sustainable landscapes.
        In fall 2011, the White House Council on Environmental Quality
    released guidance for Federal agencies on Sustainable Practices for
    Built Landscapes, indicating that the built landscape is critical to
    the overall success of sustainability programs within the Federal
    Government. A working group led by the U.S. Botanic Garden produced the
    32-page guidance. This was the first time the legislative branch has
    been invited to participate in such an effort. The guidance provides
    information to assist agencies in meeting their targets under Executive
    Order 13514, and covers facilities with or without buildings in
    addition to historic or existing structures.

        The new guidance is based on the Sustainable Sites Initiative
    (SITES), an interdisciplinary effort by the American Society of
    Landscape Architects, the Lady Bird Johnson Wildflower Center at The
    University of Texas at Austin, and the United States Botanic Garden to
    create the Nation's first voluntary guidelines and performance
    benchmarks for sustainable land design, construction, and maintenance
    practices.
        The guidelines will be used by Federal agencies when constructing
    new facilities, rehabilitating existing owned or leased facilities, or
    when landscaping improvements are otherwise planned. Federal landscaped
    property provides opportunities to promote the sustainable use of water
    and land, conserve soils and vegetation, support natural ecosystem
    functions, conserve materials, promote human health and well-being, and
    ensure accessibility for all users, including those with disabilities.
                    architect of the capitol accomplishments
        In addition to the accomplishments detailed above, we have recorded
    many other significant achievements in the past year. For example, we
    continued to improve our cost accounting procedures and internal
    controls, and received our seventh consecutive clean audit opinion from
    independent auditors on all of our financial statements. I am very
    pleased to report that in 2011, we officially closed all of the
    recommendations from GAO's General Management Review (67 out of 67).
    This is a notable achievement for us, and we have benefited greatly
    from the improvements made to our programs and processes over the
    years.
        In addition, our annual Building Services Customer Satisfaction
    Surveys continue to show that more than 90 percent of our customers are
    satisfied with the level of service the AOC is providing them. This is
    a testament to the commitment of our talented staff who are dedicated
    to putting customer service first.
        Another area where we have made noteworthy progress is our Utility
    Tunnel Improvement Program. In 2007, AOC entered into an agreement to
    address safety and health issues in the utility tunnels that provide
    steam and chilled water to most of the buildings on the Capitol campus.
    The work is progressing very well and we are on schedule and within
    budget to close all citations and meet the required completion date of
    June 2012.

        In addition, we completed a number of projects this past year in
    our efforts to maintain and preserve the historic assets entrusted to
    our care, most notably, the renovation of the Bartholdi Fountain. This
    multi-year project involved restoring the sculpture at the center of
    the fountain as well as restoring and waterproofing the concrete
    pedestal. New energy-efficient plumbing and electrical distribution
    systems also were installed.
        And, to assist us in setting goals, prioritizing initiatives, and
    streamlining processes, our team crafted a new 5-year Strategic Plan
    for fiscal years 2012-2016. We are using the innovative ideas within
    the Strategic Plan, such as engaging cross-functional teams, to
    implement best practices to help us become even more efficient in our
    operations, drive quality improvements, and further enhance
    efficiencies and reduce costs.
                                   conclusion
        Mr. Chairman, AOC has made tremendous strides over the past few
    years to deliver projects on time and within budget, to enhance
    workforce flexibilities, to foster greater communication and
    transparency, and to build stronger relationships both with our clients
    and one another. We are looking to become world-class leaders in what
    we do, and in order to do that we must keep pace with the new
    strategies for facilities maintenance, energy conservation, security,
    and historic preservation. At the same time, we understand the
    challenges that an austere fiscal environment presents, and we have
    developed this budget in an effort to balance our stewardship
    responsibilities with fiscal responsibility.
        To that end, we are effectively managing our resources--including
    personnel--to respond to these fiscally challenging times. Through our
    thorough project planning and project management efforts, we are able
    to target resources and staff on the projects that are of the highest
    priority. Not only does this give us greater flexibility and better
    results, we have worked to reduce staffing throughout the agency. The
    AOC team is doing more with less--focusing on improving our operations,
    realizing more efficiencies and saving taxpayer money, which we can
    then reinvest in the areas and facilities in need of the most care.
        Each day, we strive to embrace and embody the Core Values detailed
    in our Strategic Plan because the professionalism and integrity of each
    AOC employee demonstrates our dedication to providing quality services
    and our commitment to holding ourselves to the highest standards. We
    recognize that we do our best work through teamwork, each of us lending
    our individual strengths and talents to the greater goal of the entire
    team. We take great pride in what we do and in the honor of serving the
    Congress and the American people.
        This concludes my formal statement. I would be happy to answer any
    questions you might have.

        Senator Nelson. Thank you very much. I do have a couple
    questions before we go to Dr. Billington.

                 AOC deg.UNITED STATES CAPITOL POLICE

        Given that the overall Federal discretionary spending has
    been reduced, how are we going to absorb anything close to an
    18-percent increase? Of the $161 million you requested for
    Capitol projects, how much is for, let's say, life-safety
    needs? Of the 75 line-item construction projects list that was
    requested for funding, were there any life-safety projects that
    didn't make it?
        What I'm really trying to distinguish here is what kind of
    fire and life-safety functions are included within that $161
    million versus, let's say, just general rehabilitation or other
    construction projects?
        Mr. Ayers. Of the 16 projects that we're recommending for
    funding, that group strikes an appropriate balance of not just
    safety, but mission accomplishment, preservation of our
    historic facilities, and security requirements. It's emblematic
    of our prioritization process. It doesn't simply take every
    safety project and run it to the top of the list. It looks
    critically at energy projects, mission projects, infrastructure
    projects and safety projects and all others, prioritizes each
    of them. The most important of each rise to the top and make
    our recommended funding list of these 16 projects. Of those, I
    believe there are 6 that are singularly focused on fire and
    life-safety out of the 16. There are another two that are
    security related. There are another three or four that are
    preservation, and the like. It strikes an appropriate balance
    of all of those requirements.
        Senator Nelson. Of the $16.5 million increase for what's
    called ``jurisdiction centralized activities'', how much is for
    election year moves? How does the level of funding that you're
    requesting compare to the funding level required for office
    moves after the 2011 elections? In other words, have they
    gained any efficiency in this area given that we do this every
    2 years, we're not going to stop elections because of the
    requirement for moves, but what have we learned, what are we
    finding in efficiencies?
        Mr. Ayers. The most important efficiency gained from our
    last move cycle is that historically, during those 2-year move
    cycles, our overtime costs spiked. Last year that didn't
    happen. Last year we were able to achieve a 22-percent
    reduction in overtime even though it was a move year. So, I
    think that means that our managers, leaders, and employees are
    finding ways to be more efficient and be more creative in
    undertaking the work.
        Our total move-related costs that we anticipate this year
    are about the same total move-related cost that we executed in
    the previous move cycle.
        Senator Nelson. Thank you. I might have some other
    questions, but I'd like to defer now to my ranking member and
    good friend, Senator Hoeven for any opening remarks that he
    might like to make.

                        STATEMENT OF SENATOR JOHN HOEVEN

        Senator Hoeven. Thank you, Mr. Chairman. Good to be here
    with you. I would like to thank all of you for being here as
    well.
        Initially I'm looking forward to your opening statements,
    as you describe going through the budgeting process this year.
    I guess the main point that I would open with is that we're
    going to be pressed to find additional savings this year
    compared to the budget that was submitted to us by the
    President. We are going to have to identify savings. The
    question I would pose to each of you as you go through your
    presentations today is to identify how you would prioritize in
    areas where you feel we can work to identify savings as we go
    through this process.
        Thank you, Mr. Chairman.
        [The statement follows:]
                   Prepared Statement of Senator John Hoeven
        Thank you, Chairman Nelson, for calling this hearing to consider
    the fiscal year 2013 legislative branch budget requests for the
    Architect of the Capitol, the Library of Congress, the Open World
    Leadership Center, and the Office of Compliance. I would like to begin
    by welcoming our witnesses: Mr. Stephen T. Ayers, Architect of the
    Capitol; Dr. James H. Billington, the Librarian of Congress; Ambassador
    John O'Keefe, Executive Director of the Open World Leadership Center;
    and Ms. Tamara E. Chrisler, Executive Director of the Office of
    Compliance.
        Today, we meet with the understanding that our country continues to
    face fiscal concerns for which we have yet to find all the right
    answers. Therefore, it stands to reason that the legislative branch may
    receive further budget reductions from those that were enacted in
    fiscal year 2012. I assume the best case scenario we may encounter
    would be flat funding with the fiscal year 2012 enacted level.
        I thank you all for being here today and look forward to hearing
    what the witnesses have to say about this year's requests and to
    discussing creative solutions for how the legislative branch can
    continue to lead by example in showing fiscal constraint.
        Thank you, Mr. Chairman.

        Senator Nelson. Thank you, Senator Hoeven.

                  AOC deg.CAPITOL DOME SKIRT PROJECT

        Before we move to Dr. Billington, I do have a question
    about the Capitol dome skirt project. I think we had about $20
    million in fiscal year 2011 and with the time line for
    completion just prior to fiscal year 2013. Is that about right,
    just before the Inauguration? Are we on track to complete the
    project on that time line?
        Mr. Ayers. Yes, Mr. Chairman we are on budget and on
    schedule.
        Senator Nelson. Okay.
        Mr. Ayers. Yes, Mr. Chairman, we are on schedule to
    complete that project just before starting the work on the west
    front for the Inaugural platform.
        Senator Nelson. You are requesting an additional $61.2
    million for the next phase of that project. Funding for the
    project was originally requested in fiscal year 2002 in the
    amount of $42.5 million.
        What has changed for you to require a 44-percent increase?
    Is that what you say happens when you defer things into the
    future?
        Mr. Ayers. Well, that's certainly true, Mr. Chairman.
    That's 10 years of inflation, and that's probably the biggest
    cost growth in that project.
        Senator Nelson. So, we do have to be cautious about just
    pushing things off into the future and deferring because
    deferral can cost money as well. If we try to defer things too
    far into the future, all we do is increase the costs down the
    road.
        I know that you're going to be requesting additional funds
    of about $44 million in fiscal year 2014 and fiscal year 2015
    in order to complete that dome rehabilitation. Were these costs
    also assumed as part of the original $42.5 million in fiscal
    year 2002, which if so, would mean that it hasn't gone up 44
    percent, but it's gone up a much larger percentage. Were these
    costs for fiscal years 2014-2015 included in 2002?
        Mr. Ayers. Yes, Mr. Chairman. I don't believe the scope of
    that project hasn't changed since it was developed more than 10
    years ago.
        Senator Nelson. Now, once the dome rehabilitation is
    completed, what will happen with the costs of operations? Will
    they be comparable to the current costs of operation or will
    there be additional costs of operation?
        Mr. Ayers. We don't think that there will be additional
    costs of operations. It will simply go back on our regular
    painting cycle of every 5 to 7 years. We'll power wash and
    paint the dome as we do today. So, it will go back on that
    maintenance cycle. We haven't undertaken this kind of extensive
    restoration work since the east front extension in 1959 and
    1960. So, it's been a significant amount of time since we've
    gone back into the dome and done extensive repair and
    maintenance to restore the dome.
        Senator Nelson. Okay.
        Has your office been engaged with the LOC's CFO in the
    effort to realize some cost savings in the financial management
    systems?

                 AOC deg.FINANCIAL MANAGEMENT SYSTEMS

        Senator Nelson. Tell us a little bit about that.
        Mr. Ayers. We have met with them to talk about their
    hosting our systems. This is something that we've looked at on
    a surface level for a number of years. We also believed that a
    GAAP analysis needs to be done to understand the requirements
    of our financial management system if they can be met with the
    financial management system of the LOC. We have requested money
    to do that study before, but it has not been funded. This year
    we decided not to request the money and simply not undertake
    that work to keep our budget request as low as possible. But at
    some point in the future, I do think we need to carefully study
    how we can crosswalk our financial management system and theirs
    and understand that.
        In the meantime, as I testified to last year, we have
    changed who hosts our financial management system and take it
    from the national business center to directly being hosted by
    our current vendor. That is saving us $1 million every single
    year by making that strategic move.
        Senator Nelson. Apparently it has worked with the U.S.
    Capitol Police and their financial management system. So, is
    there a way to at least partially fund this year to get the
    process started so that we would be down the road in 2 or 3
    years? It seems to me it would be a good expenditure of money.
    If you've already saved $1 million doing what you're doing,
    there is the potential to save even more if it works.
        Mr. Ayers. I think that's what the study will help us
    understand, will it cost the same, will it cost less, or will
    it cost more?
        I don't think we know that. But we can work with our
    resources this year and look to find some savings that we
    could----
        Senator Nelson. Okay.
        Mr. Ayers [continuing]. Reprogram or we can work with the
    subcommittee during markup to align some funds somewhere in our
    budget to begin that process.
        Senator Nelson. Well, I think it's important to know. If
    it's not a good idea, obviously it doesn't have to be followed.
    But it may turn out to be a very, very good idea.
        Well, do you have any other questions you might want to ask
    of the Architect here?
        Senator Hoeven. I do, Mr. Chairman. Thank you.

               AOC deg.FISCAL YEAR 2013 BUDGET INCREASE

        Overall your budget request is an increase of $100 million,
    a little more than $100 million more than the fiscal year 2012
    enacted level. Phase IIA of the dome is $61 million. Then
    you've got various other projects, including Union Square, and
    as the Chairman just mentioned, the Power Plant and the
    refrigeration plant.
        I guess given our current budgetary constraints, give me
    your thoughts on, if we're not able to do all of these projects
    and how would you go about addressing that.
        Mr. Ayers. I think a couple of ways, Senator Hoeven. First,
    the list of projects that we've submitted is in priority order.
    There are 16 of them that we've recommended be funded in fiscal
    year 2013. Those 16 are in priority order. There are another 59
    or 60 that we suggest be deferred. We simply start at the top
    and work our way down the list, depending upon the amount of
    funding that may be available to us to utilize.
        Senator Hoeven. Talk about your sense of how dire it is
    that we get some of these projects done. In other words, if we
    do end up deferring them, describe how serious you see that
    situation.
        Mr. Ayers. The first couple of projects on the list are
    safety and security related. Certainly, the first one is a very
    important life-safety issue at the LOC. The next two being
    garage security and a security upgrade at the LOC--one for the
    LOC, and one for the House and Senate are important upgrades
    that have gone through the due diligence of my office and the
    USCP.
        Item 4 on the list is our Power Plant chiller and
    refrigeration plant upgrades. This past summer we were down to
    zero excess capacity in the chiller's ability to make chilled
    water. So, we are very nervous and very anxious to get that
    project underway to increase our chiller capacity. If we have
    another hot summer, potentially we'll be unable to provide
    enough chilled water to air condition our buildings.
        The dome rehabilitation, I think as Senator Nelson pointed
    out, is a project that we've been working on for nearly 15
    years to try to get funded. We've got the first phase of that
    underway. We've got a great contractor, a great team working on
    it, and we really believe that it needs to continue in that
    vein.
        Senator Hoeven. You're doing the $20 million renovation
    right now, correct?
        Mr. Ayers. Yes, Sir.
        Senator Hoeven. How is that coming; on schedule, on budget,
    and what's your time line for completing that Phase I?
        Mr. Ayers. It is on schedule. It is under budget, and we
    intend to finish that in fall of this year, and all of that
    scaffolding comes down. At the same time, we award contracts to
    vendors that begin the construction of the Inaugural stands on
    the west front.
        Senator Hoeven. Does the follow-on $60 million project have
    to follow right away or is it something you can do in Phase I,
    with the $20 million, and then come back and do Phase II with
    the $60 million?
        Mr. Ayers. It is something that can be phased. The dome
    skirt project is the first phase of it, and that's completely
    self-contained.
        Senator Hoeven. Okay.
        Mr. Ayers. When that's finished we can demobilize and stop
    work for any period of time and then resume it and rescaffold
    the dome at a later date.
        Senator Hoeven. Is the $60 million in Phase IIA, does that
    have to all be done at one time, or is that something that can
    be done in phases?
        Mr. Ayers. It can be done in phases. We've looked very
    carefully at that. It can be done in phases. I think there are
    two drawbacks to it. One is we think it will cost us an extra
    $6 to $8 million by breaking that portion of work into two
    phases, for a couple of reasons. One is simply inflation.
        Second, we don't think we'll be able to get both phases
    done before the next Inauguration. We'll be able to get one
    phase done. We'll have to take all of that scaffolding down
    again, conduct another Presidential Inauguration, and then put
    it all back up. So, that demobilization and remobilization has
    costs associated with it.
        We've looked at it. We think it's a $6 to $8 million
    increase if we break that second phase into two smaller phases.

                    AOC deg.UNION SQUARE RENOVATION

        Senator Hoeven. How about the Union Square property? That's
    about $7.3 million. Is that something you have to do, or is
    there something else you can do that will work for some period
    of time?
        Mr. Ayers. This is an interim measure. This piece of
    property is new to us this year. We've gone out and taken a
    careful look at it. There are a couple of really telling
    photographs in our budget book about how deteriorated the stone
    and steps and sidewalks are there, as well as how deteriorated
    the bronze statue of the Grant Memorial is.
        We think those things need to be stabilized, and that's
    what this money is meant to do, to simply stabilize and make
    safe that site until we undertake some long-term renovations,
    like renovating the Reflecting Pool itself so that it actually
    filters and recirculates water. Obviously it doesn't do that
    today, but that's something that we think can be pushed to a
    later date. This is stabilization of the site.

                       AOC deg.DEPRECIATION FUND

        Senator Hoeven. We don't budget some type of a sinking fund
    or depreciation fund for these big projects? We just, as they
    come up and need to be funded, look at them and build them into
    the budget? That's how it's always been done?
        Mr. Ayers. That is true, with one exception. Two or three
    years ago we did create a historic buildings revitalization
    trust fund that only resides on the House side of our
    appropriation today. We are 10 separate appropriations. One of
    those has a fund in which the House is investing money to take
    care of historic buildings. So, we have a portion of that in
    place in a part of our organization, not all of it in place.
        Senator Hoeven. So, that kind of depreciation doesn't cover
    everything. That's not designed to say, okay, we're going to
    set up a Capitol renovation fund or depreciation fund or
    sinking fund that would enable us to schedule out and plan how
    much we're going to spend year by year on these types of
    renovations or maintenance items.
        Mr. Ayers. I think that the primary reason for that is that
    when we get very large projects, like a Capitol Visitor Center
    (CVC), or a renovation of the Cannon House Office Building
    that's coming up or renovation of a Russell Senate Office
    Building that we would expect in a number of years, those
    projects are so large that if we try to fund them out of our
    current budget bandwidth, then we're not able to do any other
    safety projects or any deferred maintenance projects.
        So, the concept is setting a fund aside so that you have
    money to do these very large and seminal projects so that it
    doesn't take away from the budget bandwidth that's already in
    place today, a concept that we think is really important.
        Senator Hoeven. Thank you.
        Senator Nelson. Well, thank you, Senator Hoeven.

                  AOC deg.HISTORIC PRESERVATION FUND

        Mr. Ayers, in setting up a historic preservation fund
    without having identified specific projects means that almost
    anything could qualify for that fund. Is that fair to say? When
    we set up funds like this we run the risk of losing some
    control over prioritization of projects as we try to establish
    priorities going through this budgeting process. That was the
    concern I had. Not that I would worry about the House not being
    able to establish their own priorities, of course.
        Senator Nelson. But the fact that we lose some control over
    that prioritization. Is that fair to say? That might be one of
    the reasons that they just might like to do that, too, huh?
        Mr. Ayers. Well, certainly those funds can't be expended
    without the written authorization of the Appropriations
    Committee.
        Senator Nelson. Sure.
        Mr. Ayers. So, I think that's one way that the subcommittee
    can ultimately make the investment, but executing those funds
    they still have the control of whether you spend them or not.
        Senator Nelson. But the prioritization might switch from
    this process to another process?
        Mr. Ayers. I think that the potential is there for that to
    happen. I suspect we could put in controls or the Congress
    could put in some kind of control to ameliorate that.
        Senator Nelson. Oh, I trust them. That's why we call them
    trust funds.

                        AOC deg.UTILITY TUNNELS

        Senator Nelson. On the utility tunnels, I notice that you
    don't have any funding for the utility tunnel project. You
    still plan to meet the schedule of the 2012 settlement
    agreement deadline for completing the corrective measures?
        Mr. Ayers. Yes, Mr. Chairman. Our work is essentially
    finished. All of the citations except one have been closed by
    the OOC. And we've submitted, the necessary paperwork for them
    to consider closing the last one. So, we are ahead of schedule
    to complete that work by June of this year.
        Senator Nelson. So, Ms. Chrisler, are you satisfied that
    the process is working and that it is getting closed, the
    citations are being withdrawn?
        Ms. Chrisler. The work that the AOC has been doing has been
    wonderful. And we've been working very well together. And, yes,
    we are satisfied that----
        Senator Nelson. Everybody is playing nice with one
    another----
        Ms. Chrisler. Very nice.
        Senator Nelson [continuing]. And getting everything all
    done.
        Ms. Chrisler. That's right.

                AOC deg.ADDITIONAL COMMITTEE QUESTIONS

        Senator Nelson. That's good. That's the way we want it.
        That's all I wanted to ask.
        [The following questions were not asked at the hearing, but
    were submitted to the Architect for response subsequent to the
    hearing:]
                   Questions Submitted by Senator John Hoeven
                     aoc deg.zero-based budgeting
        Question. Since each of the agencies within the legislative branch
    were directed to develop and present their fiscal year 2013 budget
    requests using a zero-based budgeting approach, I would like to hear
    from you about how this process worked within your agency.
        Was this a helpful process or a hindrance in developing the budget
    request?
        Were you able to find sustainable efficiencies that will result in
    continued savings over time, or one-time only savings?
        Is this a process you will be able to replicate for future budget
    requests?
        Answer. The Architect of the Capitol (AOC) made good strides in
    implementing zero-based budgeting with its fiscal year 2013 request. In
    fact, AOC has been successfully using zero-based budgeting for its
    capital projects budget for a number of years.
        As in years past, in preparing its fiscal year 2013 request, the
    AOC performed an extensive prioritization process to analyze all
    capital projects, and requested those deemed to be the most critical
    due to condition assessments and congressional needs. AOC's Project
    Planning and Prioritization Process ranks every necessary project using
    the conditions of the facilities and the anticipated urgency with which
    we need to provide the levels of investment and maintenance required to
    ensure they remain safe, functional, and secure. The first priority, of
    course, is to ensure the health and safety of all those who work in and
    visit the Capitol campus. This ``triage'' process for facilities
    identifies the most serious issues first, which we assess carefully to
    develop solutions to fix the problems while also addressing necessary
    life-safety issues, security requirements, energy-savings
    opportunities, and historic preservation measures.
        We also applied a zero-based budgeting philosophy as we developed
    the operations budget. Utilizing this approach presented challenges,
    but yielded positive results because, while the request includes
    mandatory payroll increases, AOC's fiscal year 2013 operations budget
    request largely holds operational spending at fiscal year 2012 levels.
        In a true zero-based budget process, AOC would build the budget up
    from zero to the necessary level. This would have required increased
    resources and time. AOC adopted a modified approach that followed the
    intent of zero-based budgeting without requiring an increase in
    resources. Using this approach greatly assisted us in looking at the
    total program to ensure that our operations focus on obtaining best
    value and increasing efficiencies while continuing to provide maximum
    support to the Congress. The key benefit of using zero-based budgeting
    in developing the fiscal year 2013 request was that we performed
    extensive analysis of historical, current and future costs, and
    prepared a budget to accommodate shrinking Federal budgets.
        AOC plans to continue to mature its zero-based budget process
    through the increased use of cost accounting data and analysis. We also
    have ``right-sized'' our payroll request and will continue along those
    lines in future requests. AOC has always developed its capital project
    requests by examining the entire cost of a project. Through zero-based
    budgeting, we have increased emphasis in this area and will continue to
    perform in-depth analysis of the entire cost of projects. We have also
    increased our focus on cost-benefit analysis. We plan to continue to
    refine zero-based budgeting efforts to maximize use in future budget
    requests. Our initial efforts found some one-time only savings. Most
    efforts resulted in cost avoidances, that is, by doing things more
    efficiently, we were able to reduce the costs of carrying out
    operations, programs, or projects. We will continue to seek long-terms
    efficiencies and savings as we know we need to do more with less. We
    continue to focus on improving our operations, and attempt to realize
    more efficiencies and save taxpayer money.
        aoc deg.voluntary early retirement authority/voluntary
                          separation incentive payment
        Question. The Committee provided guidance in the fiscal year 2012
    appropriations legislation that each agency within the legislative
    branch should consider using Voluntary Early Retirement Authority
    (VERA)/Voluntary Separation Incentive Payment (VSIP) in order to reduce
    salary costs to the agency.
        Were you able to utilize VERA/VSIP authority; and if so, was this a
    successful mechanism for reducing costs?
        Are those savings realized immediately, or in the out-years?
        Realizing that losing people who are eligible for retirement or
    early separation often means losing some of the best and brightest
    people with the greatest institutional knowledge within your
    organization, how have staffing reductions impacted your agency?
        Do you have succession plans in place that allow for a smooth
    transition of responsibilities?
        Answer. AOC applied for, and received approval to use VERA/VSIP
    authority for 2012; however, this authority was not used because,
    through a variety of other initiatives it has implemented, AOC will
    remain under the set payroll ceilings.
        Internal reviews regarding the impact of implementing VERA/VSIP
    showed that a significant reduction in AOC workforce would have a
    corresponding impact on the number and level of services that the AOC
    provides to the Congress and the American people. In addition, any use
    of VERA/VSIP authority does not result in immediate savings, given the
    funding required. Savings, if any, would be realized in out-years.
        Instead, through careful management of overtime, by changing
    employee work schedules, implementing a temporary, targeted hiring
    freeze, and managing when vacancies are filled, AOC has determined that
    it will be able to meet its fiscal year 2012 payroll without
    implementing VERA/VSIP.
        These actions are not without impacts, for example, AOC has
    implemented a targeted hiring freeze. Because AOC has a broad talent
    base, we are maximizing the use of our existing workforce and their
    skill sets. However, this has placed a greater burden on all of our
    employees who are now required to complete additional tasks due to the
    unfilled vacancies.
        AOC continues to examine additional personnel cost savings
    initiatives. As noted earlier, additional reductions in AOC workforce
    could have a corresponding reduction in the number and level of
    services provided to the Congress. Therefore, AOC is carefully studying
    a number of options and will consult with its Oversight Committees to
    ensure its prioritization of services matches the most pressing needs
    of the Congress.
        To mitigate potential impacts on services, we would prioritize
    services, cross-utilize and cross-train employees, and provide regular
    and consistent communication with all customers in order to manage
    expectations as changes to the level and/or of services provided are
    adjusted.
        AOC's talented workforce is the key to our success. We have
    succession plans at the appropriation level, and we are working to
    engage cross-functional teams, to implement best practices to help us
    become more efficient in our operations, and providing services across
    multiple jurisdictions to maximize the existing talents of our
    personnel and to further enhance efficiencies and reduce costs.
               aoc deg.fiscal year 2013 budget requests
        Question. I realize that it is important for each agency to request
    what it believes is necessary in terms of funding for operations and
    projects without knowing how much funding will be available in the next
    budget cycle; however, it should be clear to everyone what path we are
    on given the fiscal situation still facing our country. Therefore it
    concerns me that each agency represented here today, except for the
    Open World Leadership Center, requested a budgetary increase for fiscal
    year 2013.
        What would be the impact to each of your agencies if you were held
    to the fiscal year 2012 enacted level of funding?
        What would be the impact of a reduction less than the fiscal year
    2012 funding level?
        At what funding level reduction could your agency no longer
    continue to provide the services you are required to provide without
    making significant changes to the agency and its mission?
        Answer. As noted in the previous response, AOC's fiscal year 2013
    operations request is essentially flat. The request does take into
    account mandatory payroll increases, but it largely holds AOC
    operational spending to fiscal year 2012 levels.
        With regard to the fiscal year 2013 capital projects budget
    request, we worked to prioritize our efforts to ensure that every
    resource goes toward the most needed and most important work. For
    fiscal year 2013, our responsibilities also will include two very
    staff- and resource-intensive activities--preparing for the
    Presidential Inaugural ceremony, and orchestrating the postelection
    office moves in the House and Senate.
        While AOC was able to reduce its budget request for capital
    projects in fiscal year 2013 to $161 million, a 10-percent decrease
    from its fiscal year 2012 capital projects request, it does include
    several large Deferred Maintenance projects including Phase II of the
    Capitol dome restoration, the chiller replacement and revitalization of
    the refrigeration plant, and the stabilization of Union Square--a new
    requirement in fiscal year 2013.
        If AOC were held to fiscal year 2012 funding levels, on the
    operations side, critical technology updates would again be postponed,
    which could jeopardize information technology system security and
    stability. In addition, important facility condition assessments that
    are vital to assessing the stability, safety, and functionality of our
    buildings would be delayed, resulting in an increased number of
    Deferred Maintenance and Capital Renewal projects. Other efforts such
    as AOC-wide life-safety and emergency preparedness training and
    programs, energy-savings initiatives, and public educational outreach
    through the Botanic Garden and Capitol Visitor Center would be severely
    curtailed or eliminated.
        With regard to the capital projects portion of AOC's budget,
    freezing funding or cutting major restoration projects has lasting
    repercussions. The longer Deferred Maintenance or Capital Renewal
    projects are delayed, the conditions in the facilities will continue to
    deteriorate; deficiencies will grow more serious, and ultimately will
    be more costly to repair.
        A number of life-safety improvements are also necessary, such as
    installing smoke detectors and fire alarms, as well as emergency
    generators and emergency lighting. Many elevators require complete
    refurbishment; the exterior stone on many of the buildings across the
    Capitol campus, including the Senate and Capitol buildings required
    extensive repairs and preservation; and in order to keep up with
    increasing demand, electrical system and heating, ventilation, and air
    conditioning (HVAC) updates are critical in the very near future.
    Additional consequences of not addressing looming Deferred Maintenance
    and Capital Renewal projects are the continued crumbling of facilities'
    infrastructure; a loss of historic artwork and architectural features;
    continued system and building failures; and security threats.
        AOC fully recognizes that we must balance our stewardship
    responsibilities with fiscal restraint; however, if it is funded below
    the fiscal year 2012 budget levels, congressional facilities will
    continue to deteriorate causing an increase in operating budget levels
    and an increase in risk of facility or system failure that could
    directly impact congressional operations.
        Despite the best efforts of AOC's talented craftsmen and women to
    anticipate and make needed repairs, as these buildings continue to age,
    they become more difficult and costly to maintain. Making necessary
    improvements requires significant investment, and today the backlog of
    Deferred Maintenance project totals more than $1.6 billion.
        As we developed this budget, we worked to prioritize our efforts to
    ensure that every resource goes toward the most needed work. In
    addition, we are continually finding ways of working faster, smarter,
    and cheaper. Our efforts to date have resulted in reducing the costs of
    carrying out our daily operations and projects. However, the reality is
    that receiving operating funding below fiscal year 2012 levels could
    result in a reduction of number and level of services that AOC provides
    to Congress and the American people. And, receiving capital project
    funding below the amount requested for fiscal year 2013 will result in
    increased risk of failure in terms of facility systems, infrastructure,
    security, and life-safety efforts. To this end, AOC's fiscal year 2013
    budget reflects the highest requirements to try to prevent or delay
    malfunctions and/or failures.

                              LIBRARY OF CONGRESS

    STATEMENT OF HON. JAMES H. BILLINGTON, LIBRARIAN OF
                CONGRESS
        Senator Nelson. Now, Dr. Billington, the floor is yours.
        Dr. Billington. Thank you, Mr. Chairman Nelson and Senator
    Hoeven.

                    LOC deg.NEW LIBRARY LEADERSHIP

        I think I should first maybe just introduce the four new
    faces, who lend fresh luster to our executive committee. I will
    begin with Mary Mazanec, the new head of the Congressional
    Research Service; David Mao, new head of the Law Library of
    Congress; Roberta Shaffer, head of Library Services; and Maria
    Pallante, the new Register of Copyrights. We're very fortunate
    in having them with us.

          LOC deg.GRATITUDE FOR CHAIRMAN NELSON'S LEADERSHIP

        So, Mr. Chairman and Mr. Hoeven first of all to you, Mr.
    Chairman. I understand this will be our last hearing with you,
    and I wish to express our deep appreciation for your
    outstanding service in the Senate and your many years of
    support for the LOC. The LOC, by the way, now collaborates with
    a number of Nebraska institutions--the University of Nebraska,
    Lincoln Library, Nebraska State Historical Society, Durham
    Museum, and others. The late Charles Durham was, in fact, the
    first private donor to our congressionally commissioned
    Veterans History Project which has now become the largest oral
    history project in American history.
        I'm pleased to present our fiscal year 2013 budget request
    and to thank the Congress for having been the greatest patron
    of a library in human history, creating and expanding the reach
    of the LOC throughout every period of our history, viewing the
    LOC, as a unique institution of fundamental importance for our
    knowledge-based democracy. All of us at the LOC are deeply
    grateful for the support you've given to making America's
    oldest Federal cultural institution into the world's largest
    and most inclusive collection both of recorded human knowledge
    and of America's cultural creativity.
        For fiscal year 2013 we are seeking funding just to
    maintain current core services adjusted for inflation at the
    reduced fiscal year 2012 level. We have asked for no program
    increases, and the requested funding will allow the LOC time to
    conclude the intensive IT and zero-based budget review that is
    now underway and was called for in the House report for fiscal
    year 2012. Over the next year, the results of this review will
    inform our decisions and resource allocations that are needed
    to preserve and enhance priority mission functions in the
    smaller budget times.
        I have my written statement. I have itemized the major
    works we've been able to do even with the budget reductions in
    fiscal year 2011 and the added ones in fiscal year 2012.
        In our effort to absorb the fiscal year 2012 appropriations
    reductions, we offered a voluntary separation incentive
    program, accepting early retirement for 186 staff, which
    nonetheless meant losing the institutional memory of important
    and one of a kind curators and technicians. We have been using
    the realities of the current budget environment to strengthen
    our program to get the various parts of the entire LOC
    community to work together more economically and effectively by
    adopting and reinforcing LOC-wide strategies.
        Under our experienced Chief of Staff, Robert Dizard, Jr.,
    we have made major strides in improving LOC's Web presence in
    the unifying effort better to bring together resources and
    scholarly expertise from all across LOC. We're in the process
    of making important structural changes that will more fully
    integrate our digital and analog resources.
        I want to especially mention, if I could, and to the
    distinguished representative leader of the AOC, our need for
    funding, in his budget, for Module 5 for preservation and
    storage at Fort Meade. This is essential if we are to continue
    to acquire and preserve our uniquely comprehensive collections
    and to make them rapidly accessible for the Congress and the
    American people.
        Our fiscal year 2013 request is, in essence, a petition not
    to deepen further than we already have the reductions in LOC's
    budget, which could put our core services at greater risk.
    Reductions have already cut deep into LOC's muscle. We ask that
    they not be allowed to cut further on into the bone.
        Two of our most pressing national American needs for
    security and economic competitiveness are increasingly
    dependent on an expanding base of knowledge and its
    accessibility. The LOC is in many ways a peaceful national
    arsenal for the information age that we are living in.

                               PREPARED STATEMENT

        So, Mr. Chairman and Mr. Hoeven, thank you again for your
    support of the LOC and for your consideration of our fiscal
    year 2013 request. I cede back the remaining seconds.
        [The statement follows:]
                 Prepared Statement of Dr. James H. Billington
        Mr. Chairman, Mr. Hoeven, and members of the subcommittee: I am
    pleased to present the Library of Congress (LOC) fiscal year 2013
    budget request.
        The Congress of the United States has created and sustained its
    library, the Nation's library, for 212 years, through every period of
    our history. The Congress has viewed its library--America's oldest
    Federal cultural institution--as a unique institution of fundamental
    importance for our knowledge-based democracy. Mr. Chairman, all of us
    at LOC are deeply grateful for the support you give to this, the
    world's largest and most inclusive collection of recorded human
    knowledge and of America's cultural creativity.
        LOC's mission is to support the Congress in fulfilling its
    constitutional duties and to further the progress of knowledge and
    creativity for the American people. Our fiscal year request for 2013,
    Mr. Chairman, respects the need for budgetary austerity and asks for
    what is truly important for America in this information age.
        We are seeking funding just to maintain current core services,
    adjusted for inflation, at the reduced fiscal year 2012 level. We have
    asked for no program increases. The requested funding will allow the
    LOC time to conclude the intensive information technology (IT) and
    zero-based budget review, now underway, that was called for in the
    House report for fiscal year 2012. Over the next year, the results of
    the review will inform our decisions on resource allocation that are
    necessary in order to preserve and enhance priority mission functions
    within smaller budgets.
        In fiscal year 2011, we were able to continue these services with
    reduced resources as follows. It enabled us to:
      --Responded to more than 763,000 congressional research requests,
            delivering to the Congress more than 1 million research
            products and approximately 30,000 items directly from the LOC's
            collections;
      --Registered more than 670,000 claims to copyright;
      --Provided reference services to more than 500,000 individual users;
      --Led a nationwide effort with more than 19,000 teachers throughout
            the country to advance K-12 students' understanding of American
            history and culture by providing 20 million primary documents
            from our collections online free of charge;
      --Circulated more than 25 million items to more than 800,000 blind
            and physically handicapped Americans;
      --Gave state-of-the-art preservation treatment to 10.7 million items
            in the collections; and
      --Welcomed nearly 1.7 million visitors to our exhibits and public
            facilities here on Capitol Hill.
        In response to the appropriations reductions in fiscal year 2012,
    and in an effort to absorb the reductions without damaging the LOC's
    mission-critical programs, we offered a voluntary separation incentive
    program, accepting early retirement for 186 staff--which nonetheless
    meant losing institutional memory in some highly specialized areas of
    research and curation.
        As a result of the fiscal year 2012 reductions:
        The Congressional Research Service (CRS) eliminated 40 positions
    and decreased its investments in IT, research materials, and
    professional development activities. With fewer resources, we are
    increasingly challenged both to maintain the quality and timeliness of
    response that characterize CRS work and to ensure coverage of all
    issues for the Congress.
        The Copyright Office made significant cutbacks in its IT budget and
    reduced or delayed hiring, because receipts were lower than expected
    and because appropriated funding was reduced. As a result, critical
    upgrades to the electronic registration service that directly supports
    copyright commerce will take a longer period of time to put in place
    and raise concern about a potential new backlog in copyright claims
    processing, adversely affecting both authors and users of copyrighted
    materials.
        The law library lost four key positions (including a senior foreign
    law specialist for Canada) and is concerned about sustaining its
    historic ability both to recruit expert foreign legal specialists for
    important jurisdictions and to acquire current and new foreign legal
    and legislative material needed to respond to congressional requests.
        Library Services lost 50 staff in the Acquisitions and
    Bibliographic Access Directorate alone--the most basic of LOC's
    services--along with other reference and public service staff. Budget
    reductions in fiscal year 2012 have led to the postponement of
    purchasing switches and routers needed to archive video of Senate floor
    proceedings and have delayed installation of compact shelving at the
    Packard Campus facility.
        For the National Library Service for the Blind and Physically
    Handicapped, unless $6 million in no-year funds for playback machines
    can be reprogrammed to allow the purchase of content media cartridges,
    the shortage of funds for flash cartridges will disrupt the Digital
    Talking Book program production cycle, and could dramatically affect
    the delivery of digital books and magazines to patrons and slow the
    analog-to-digital conversion of retrospective titles.
        I have listed some of the impacts, but there has also been an
    important strategic bright spot amid the practical difficulties posed
    by our current budget environment: it has encouraged the entire LOC to
    work better together in pursuit of LOC-wide strategies. We have made
    major strides in improving the LOC's Web presence in a unified effort
    that has brought together resources and expertise from across the LOC.
    We are in the process of making robust structural changes that will
    more fully integrate our digital and analog resources.
        I also want to make special mention again of our need for funding
    in the Architect of the Capitol's budget for Module 5 at Fort Meade.
    This is an essential element of our increasingly pressing collections
    management and access requirements.
        Our fiscal year 2013 request is, in essence, a petition not to
    deepen the reductions in the LOC's budget and put our core services at
    greater risk. Reductions have already cut deep into the LOC's muscle.
    We ask that they not be allowed to cut into bone.
        Mr. Chairman, the Congress of the United States has been the
    greatest patron of a library in human history. Each year, its LOC is
    privileged to serve directly every Member of Congress, every
    congressional committee, and millions of Americans, often in ways that
    would otherwise be unavailable to them. We want to continue these
    services. We, as a Nation, need this institution, which serves as the
    sole keeper of both the mint record of America's copyrighted creativity
    and of the world's greatest repository of preserved and curated
    knowledge.
        Mr. Chairman, Mr. Hoeven, and members of the subcommittee, I thank
    you again for your support of the LOC and for your consideration of our
    fiscal year 2013 request.
                                     ______

    Prepared Statement of Mary B. Mazanec, Director, Congressional Research
                                    Service
        Mr. Chairman, Senator Hoeven, and members of the subcommittee: I
    want to begin by saying what an honor it is to have been appointed
    Director of the Congressional Research Service (CRS) by Dr. Billington
    last December. This--my first presentation on the CRS budget before
    this subcommittee--is an opportunity for me to describe some of the
    accomplishments of the past fiscal year, plans for the future, and the
    truly unique work of the dedicated staff of CRS.
                   loc deg.support for the congress
        Major world and national events and an active legislative agenda
    demanded much of CRS staff this past year. Despite significant staff
    reductions and cutbacks in other resources, I believe we were able to
    successfully accomplish our mission of providing objective and
    authoritative information and analysis of the issues before the
    Congress. Let me outline briefly some of the major areas in which we
    provided support to the Congress last year.
        The state of the economy dominated much of the legislative agenda
    and will probably continue to be an overarching issue in 2012 and
    beyond. CRS policy analysts and economists analyzed options to provide
    economic stimulus, create jobs, assist the unemployed, and reduce the
    deficit. We provided briefings and seminars on the sustainability of
    the debt and deficit, approaches to address the budget deficit and
    methods to stimulate economic expansion. CRS budget and congressional
    procedural experts produced a series of products on the operation of
    the Budget Control Act of 2011 and its implications for agencies and
    programs.
        CRS tracked and analyzed rules and regulations implementing
    financial reform legislation and provided legal analyses of aspects of
    the new financial regulatory structure. Analysts conducted several
    seminars on banking and financial intermediation and the basics of the
    financial system. Economists and policy experts analyzed the
    implications of the economic challenges facing the Euro zone countries
    for the United States economy and world financial stability.
    Reauthorization of the Export-Import Bank and policies surrounding
    China's currency were issues of interest that will carry over into this
    session of the Congress.
        CRS foreign policy and military experts were called upon to analyze
    volatile and quickly changing events in the Middle East and North
    Africa. Egypt, Syria, Libya and other countries in the region have
    entered an era of rapid, dramatic, and fundamental change with
    implications for the region as a whole and for the United States. CRS
    specialists also provided support on United States strategy in
    Afghanistan and Iraq, including governance and security issues
    following drawdown of United States presence in both countries.
    American involvement in North Atlantic Treaty Organization (NATO)
    military operations in Libya raised questions of war powers and options
    facing the NATO-led coalition forces.
        Reauthorization of the anti-terrorism tools in the USA PATRIOT Act
    prompted requests for legal and policy analyses of the scope of the
    Government's law enforcement authorities in the national security
    context and the application of the state secrets privilege in
    litigation. Attorneys also analyzed the detainee provisions in the
    recently enacted National Defense Authorization Act. The debate over
    the Federal Aviation Administration reauthorization saw CRS analysts
    addressing such issues as air traffic control modernization, fuel tax
    proposals, and transportation security.
        Several devastating natural disasters at home and abroad--from
    flooding and wildfires to the Japanese earthquake and tsunami--prompted
    congressional interest. CRS provided information and analysis on
    Government disaster relief programs and the relief operations of the
    Army Corps of Engineers. Analysts also evaluated the implications of
    the Japanese nuclear incident for United States nuclear energy policy
    and the safety of nuclear reactors.
        The Supreme Court will be ruling this term on the constitutionality
    of key provisions of the healthcare legislation as well as the
    authority of States to legislate in the area of immigration. Both of
    these controversial issues have been features of the legislative agenda
    for the past two Congresses and have occasioned legal analyses by CRS
    attorneys. The decisions are certain to generate much congressional
    interest and have implications for not only the operation of programs
    directly implicated but also for the scope of congressional power.
        CRS legislative procedure experts completed a major revision of a
    Senate committee print on cloture. Last updated in 1985, the revision
    included much additional analysis and numerous case studies of the
    cloture process. Analysts and attorneys also supplied legal and
    historical analyses of the recess appointment power both preparatory to
    and in the wake of the President's recess appointments in January.
        Many of the issues recounted will continue to be of interest to the
    Senate and the Congress in this session. CRS recently completed its
    annual legislative planning process for the second session of this
    Congress. We identified more than 160 issues likely to be before the
    Congress and organized our product line and web resources around those
    issues. We have been meeting with leadership offices to ensure that CRS
    is well positioned to support the Congress' legislative agenda.
        Our support for the Congress spans the entire legislative agenda
    and our expert and multidisciplinary staff are ready to provide
    confidential tailored memoranda and personal briefings, more widely
    available CRS Reports for Congress, seminars and programs on the
    legislative process and topical issues, and information and advice in
    response to a phone call or email. CRS is also making strides in
    providing access to its expertise and information via the technological
    tools that our clients rely on to do their work.
        While we are operating under increased budget pressures in
    technology and research resources, we continue to enhance the
    functionality of our Web site. CRS.gov is the gateway to all CRS
    analytical and informational resources, including our analysts and
    informational professionals. A useful and accessible Web site is an
    efficient way to deliver CRS services and expose clients to all that
    CRS has to offer. This past year we have introduced customization
    capabilities which enable users to create accounts and tailor the
    information they would like to receive from CRS, get updates on new
    products, programs and changes to the Web site, and facilitate their
    placing specific requests. We have also made it easier for users to
    focus more quickly on notable CRS products, featured topics that are
    dominating the legislative agenda, and to have access to basic data
    resources that complement the analytical content of CRS reports.
        We are currently in the process of examining more robust search
    capabilities and ways to make CRS subject-matter experts more
    accessible to our clients. We have also enhanced the mobile Web site
    and continue to explore ways to make CRS material more accessible on
    the variety of mobile devices that have become such an important part
    of the way Members and staff access information.
        CRS is also repurposing the Senate Research Center (SRC) in the
    Russell Senate Office Building into an education and outreach facility
    to better serve our clients. Members and their staff should find it
    more convenient to attend CRS seminars and briefings, and to meet with
    CRS experts in the SRC. CRS expects to begin offering an expanded list
    of events from the SRC in early spring 2012.
                loc deg.fiscal year 2013 budget request
        The CRS budget request for fiscal 2013 is $109.2 million, with
    almost 90 percent devoted to salary and benefits for our staff. CRS
    continues to operate at its lowest staff level in more than three
    decades and we lowered our hiring ceiling by 40 positions in fiscal
    year 2012. The small percentage of nonpay expenditures is limited to
    basic support for research and analysis. This request is mindful of the
    difficult fiscal issues facing the Congress and does not include
    funding for additional specialized technical skills and policy
    expertise that would be helpful in meeting the growing policy demands
    placed upon the Congress.
                                   conclusion
        I want to close by reiterating what an honor it is to have been
    named Director of CRS. I am aware of the great responsibility of CRS to
    provide objective and nonpartisan assistance to the Congress and I am
    committed to following in the footsteps of my distinguished
    predecessors. I believe that this mission of contributing to an
    informed national legislature is even more vital and important today as
    the Congress is exposed to a flood of information from all sides and
    Members must sort through the myriad of voices that vie for their
    attention in order to make sound policy choices. I intend to ensure
    that CRS remains the Congress' primary source for the analysis and
    information that it needs to perform its legislative functions and that
    we continue to explore new and innovative ways we can best serve--as
    shared staff--the committees of the Congress, Members, and their
    staffs. I thank you for your continuing support.
                                     ______

      Prepared Statement of Maria A. Pallante, Register of Copyrights and
                    Director, United States Copyright Office
        Mr. Chairman, Mr. Hoeven, and members of the subcommittee: Thank
    you for the opportunity to present the fiscal year 2013 budget request
    of the United States Copyright Office. We deeply respect the need to
    engage in responsible fiscal management in these austere times.
        The Copyright Office, already a lean operation, does not seek
    additional full-time equivalents or funding for new projects, but we do
    hope to ensure that our existing staff is compensated competitively so
    as to maintain a strong, talented workforce that will sustain the
    Copyright Office in the 21st century. As copyright issues become more
    ubiquitous, and as the office charts a course for the future, it will
    need to pursue intelligent growth to ensure that it can meet the needs
    of the national copyright system well into the future.
        For fiscal year 2013, the Copyright Office requests a total of
    $52.772 million, offset by fee collections of $28.029 million, and
    licensing royalty collections of $5.582 million, applied to the
    office's Licensing Division and the Copyright Royalty Judges.
    Specifically, our requests are as follows:
      --A 2.2-percent increase ($0.999 million) more than fiscal year 2012
            to support mandatory pay-related and price level increases
            affecting administration of the office's core business systems
            and public services;
      --A 1.8-percent increase ($0.093 million) more than fiscal year 2012
            in offsetting collection authority for the Copyright Licensing
            Division to support mandatory pay-related and price level
            increases affecting the administration of the office's
            licensing functions; and
      --$2 million to restore the Copyright Office's base funding.\1\
    ---------------------------------------------------------------------------
        \1\ The enacted budget for fiscal year 2012 directed the Copyright
    Office to utilize no-year funding (collected from fees for services) to
    offset expenses, effectively reducing our spending ratio of
    appropriated dollars to fees at the same time that fees and receipts
    were lower than anticipated. To ensure sufficient funding for
    operations in fiscal year 2013, including the ability to cover
    necessary staffing and critical technology upgrades when fees
    fluctuate, the office requests restoration of its base appropriations.
    As outlined in Priorities and Special Projects of the United States
    Copyright Office: 2011-2013 (www.copyright.gov/docs/priorities.pdf),
    the office is in the midst of a multi-year evaluation of fees,
    services, technology, and other issues that will inform its future
    strategies for intelligent growth.
    ---------------------------------------------------------------------------
                       loc deg.program overview
        The U.S. Copyright Office plays a critical role in promoting and
    disseminating American works of authorship and in sustaining large and
    small businesses in the information, entertainment, and technology
    sectors. It administers the national copyright registration and
    recordation systems (and exercises associated regulatory authority) in
    accordance with title 17 of the U.S. Code. The office's registration
    system and the companion recordation system constitute the world's
    largest database of copyrighted works and copyright ownership
    information.
                   loc deg.copyright and the economy
        In terms of the larger U.S. economy, many authors, composers, book
    and software publishers, film and television producers, and creators of
    musical works depend on the registration system to protect their
    creative works and business interests. Based on a study released in
    2011 using data from 2010,\2\ these core sectors--whose primary purpose
    is to produce and distribute creative works--account for more than 6.36
    percent of the U.S. domestic gross product, or nearly $932 billion. The
    core copyright industries also employed 5.1 million workers (3.93
    percent of U.S. workers), and that number doubles to more than 10.6
    million people (8.19 percent of the U.S. workforce) when the workers
    that help and support the distribution of these works are added into
    the equation.
    ---------------------------------------------------------------------------
        \2\ Stephen E. Siwek, Copyright Industries in the U.S. Economy: The
    2011 Report, prepared by Economists, Inc. for the International
    Intellectual Property Alliance (2011).
    ---------------------------------------------------------------------------
                        loc deg.law and policy
        The Register of Copyrights is the principal advisor to the Congress
    on issues of domestic and international copyright policy. She works
    closely with both copyright owners and users of copyrighted materials
    to sustain an effective copyright law--on issues ranging from
    enforcement to fair use.
        Through its policy work, the Copyright Office provides leadership
    and technical expertise to ensure that the copyright law stays relevant
    and updated, not only to protect authors in the 21st century, but also
    to ensure updates for users of copyrighted works. These include
    appropriate exceptions for libraries, persons who are blind, and
    certain noncommercial educational activities.
        The Copyright Office participates in important U.S. trade
    negotiations relating to intellectual property (e.g., treaties and free
    trade agreements) at both the bilateral and multilateral levels. It
    also works with the Department of Justice (DOJ) on critical copyright
    cases.
    Fiscal Year 2011
        In fiscal year 2011, the Office provided ongoing assistance to the
    Congress on a number of complex issues and delivered a major study on
    market-based alternatives to statutory licenses for cable and satellite
    retransmission. The Register testified twice on major copyright
    legislation regarding:
      --enforcement measures to combat the operators of illegal, infringing
            Web sites trafficking in infringing copyrighted works, such as
            movies, music, books, and software; and
      --new provisions that would update the criminal penalties for
            infringement of the exclusive right of public performance that
            occurs through the streaming of the work (e.g., a television
            program or live sporting event) to make the penalties similar
            to those for infringement based on the distribution right.
        The Office participated in major negotiations at the World
    Intellectual Property Organization and with major trading partners. On
    the litigation front, DOJ called upon the office on several important
    issues, including challenges to the constitutionality of copyright law
    amendments, interpretation of the first sale doctrine, and issues
    related to the importation of copyrighted works.
                 loc deg.registration and recordation
        The copyright registration and recordation systems protect, and
    document for the public, a diverse array of American authorship,
    including motion pictures, software, books, musical compositions, sound
    recordings, photography, and fine art, as well as databases, Web sites,
    and other online works. The Office reached a significant milestone in
    fiscal year 2011 by returning to normal levels of processing and claim
    completion and eliminating the backlog. At the start of fiscal year
    2011, it had approximately 380,000 claims awaiting processing, and
    received an additional 539,332 claims. The office closed 734,256 claims
    during the year--nearly 195,000 more than it received. It ended the
    year with its standard workload of approximately 185,000 claims on
    hand, of which approximately one-half are awaiting further action from
    the claimants and one-half are awaiting Office action. Those in the
    Office's working queue will, on average, be processed within 2 to 4
    months, depending on the complexity of the claim.
                           loc deg.licensing
        The Copyright Office helps administer certain compulsory and
    statutory license provisions of the U.S. Copyright Act, which pertain
    to setting royalty rates and terms and determining the distribution of
    royalties for certain copyright statutory licenses. These licenses
    cover activities including secondary transmissions of radio and
    television programs by cable television systems and secondary
    transmissions of network and non-network stations by satellite
    carriers. The Office's primary clients with respect to the statutory
    licenses are copyright owners and users of copyrighted works that are
    subject to statutory copyright licenses. The Office is responsible for
    collecting and investing royalty fees for later distribution to
    copyright owners, examining related documents, providing information to
    various constituencies as part of its public affairs program, and
    recording documents for several licenses for which royalties are
    handled by outside parties.
        In fiscal year 2011, the Office's Licensing Division collected
    nearly $326 million in royalty fees and distributed approximately $144
    million in royalties to copyright owners, according to voluntary
    agreements among claimants or as a result of determinations of the
    Copyright Royalty Judges. The Division also began a multiyear business
    process re-engineering program designed to decrease processing times
    for statements of account, implement on-line filing processes, and
    improve public access to Office records. The new processes will be
    implemented and refined throughout fiscal years 2012 and 2013.
                         loc deg.acquisitions
        The Copyright Office also administers the mandatory legal deposit
    of works published in the United States. In fiscal year 2011, the
    Office managed the deposit of more than 700,000 copies of creative
    works for the Library of Congress' (LOC) collection, which LOC would
    otherwise have had to purchase, valued at approximately $31 million.
        Because more and more journals, magazines, and newspapers are
    ``born digital'', the Copyright Office has led a LOC-wide effort to
    obtain and manage serials that publishers supply only in electronic
    formats. Although the project currently focuses on mandatory deposit
    provisions under title 17--provisions that require publishers to
    deposit copies of certain works with LOC within 3 months of
    publication--it serves as a test bed for the intake of works by LOC
    through other mechanisms, including the registration system. The
    Office's current work sets the stage for LOC's electronic acquisition
    strategy, which will ultimately enhance and diversify LOC's collections
    to capture and reflect American Internet culture.
        loc deg.priorities for a 21st century copyright office
    Fiscal Year 2012
        On October 21, 2011, the Register of Copyrights released Priorities
    and Special Projects of the U.S. Copyright Office (www.copyright.gov/
    docs/priorities.pdf), a comprehensive document that articulates the
    significant statutory duties of the Office as well as expectations of
    the copyright community. This document received tremendous positive
    feedback from a wide array of copyright stakeholders and the media. It
    includes everything from strategic evaluation of technical systems to
    planning for intelligent business growth for the future to updating the
    Compendium of Copyright Office Practices--the primary source of
    registration practice followed by Copyright Office staff, the public
    and courts--for the digital era.
        The communication of these priorities and special projects
    represents a commitment from the Office to address complexities in the
    copyright system and prepare for future challenges. The Office will use
    the priorities document as a roadmap to improve the quality and
    efficiency of its services subject to the availability of budgetary
    resources. The document outlines the Office's work on current and
    future law and policy questions including orphan works, small claims
    solutions for copyright owners, mass book digitization, illegal
    streaming, collaboration with WIPO, and updates to registration
    practices to accommodate works created online. The office will also
    undertake improvements to operations including:
      --technical upgrades to electronic registration;
      --increased public outreach and copyright education; and
      --re-engineering of its recordation system.
        The following are some of the specific policy projects the Office
    has completed or commenced in fiscal year 2012:
      --an analysis of legal issues relating to mass book digitization, the
            Google book search litigation, and applicable licensing models;
      --a major study and recommendations to the Congress regarding
            copyright protection for pre-1972 sound recordings;
      --research and analysis of small claims solutions for individual
            authors and other copyright owners;
      --a rulemaking on exceptions to the prohibition on circumvention of
            measures controlling access to copyrighted works for ultimate
            determination by the Librarian of Congress (pursuant to the
            Digital Millennium Copyright Act); and
      --the development of an updated fee schedule that takes into account
            the Office's fiscal requirements as well as the objectives of
            the copyright system.
        The Register of Copyrights will serve on the negotiating team for
    the United States for a major treaty to protect performers in the
    context of audiovisual works at a Diplomatic Conference to be held in
    June 2012 in Beijing, and will provide treaty implementation advice to
    the Congress, as appropriate.
        Finally, the Office will continue to evaluate, streamline, and
    otherwise improve its public services, including processing times and
    quality assurance for the examination of copyrighted works, processing
    of claimant information, and issuance of copyright registration
    certificates.
    Fiscal Year 2013 and Beyond
        Fiscal year 2013 will be an extremely important year for the
    Copyright Office. The Office will continue its implementation of the
    Register's priorities and special projects; the research and analysis
    phase of many of these projects will conclude by or before October
    2013. Some of these projects relate directly to the stewardship and
    effective operation of the Nation's copyright registration system in
    the 21st century, and will yield important data to inform the Office's
    focus and strategies for fiscal years 2014-2018.
        The Office will address the implementation of its fee schedule and
    associated practices early in fiscal year 2013, following research in
    fiscal 2011 and 2012, and public consultation and delivery of a major
    study to the Congress on the topic in fiscal year 2012.
        The Office will also conclude a major analysis of the technical
    aspects of registration and recordation in fiscal year 2013, including
    crafting a strategy to address certain technology, portal, and
    processing issues about which it is studying and consulting with
    stakeholders and experts in fiscal year 2012. It will continue the
    critical work of ensuring standards for repositories of electronic
    works of authorship, and digitizing historic copyright records from the
    period of 1870 to 1977 and making them searchable online.
        The Office will continue its work on major negotiations for
    intellectual property protection in the Asia-Pacific rim and other
    regions of the world, and continue major work on the implementation of
    worldwide protection for performers in audiovisual works. It will work
    with the Congress on a number of major studies and policy developments,
    including orphan works, revisions of certain exceptions to copyright
    (including for libraries), mass digitization policy, and final work on
    small claims solutions for copyright owners (with a major study due to
    the Congress in October 2013). The office will publish portions of a
    major revision of its lengthy Compendium of Copyright Office Practices
    during fiscal year 2013, and release the final publication in October
    2013.
         loc deg.challenges of the current fiscal environment
        The Office is navigating an increasingly challenging budget
    environment. Since fiscal year 2010, it has absorbed a 22.7-percent
    reduction in its appropriation, partially offset by using $2 million in
    carryover funds, resulting in an effective cut of 13.1 percent. The
    overall effect was a 7-percent reduction in total budget authority
    which takes into account offsetting collections. In fiscal year 2012, a
    reduced appropriation, as well as collections that were lower than
    expected, required the Copyright Office to make significant cutbacks.
    The Office substantially reduced its information technology budget,
    slowing critical upgrades to the Office's electronic registration
    service that directly supports copyright commerce and affects both
    authors and users of copyrighted materials. The Office also reduced its
    workforce by 44 staff members through Voluntary Early Retirement
    Authority and Voluntary Separation Incentive Payments programs.
        Although the Office is currently understaffed, it has taken steps
    to delay or reduce new hiring and to reduce training, travel, supplies,
    and new equipment expenditures. The Office is concerned that continued
    funding challenges could have an adverse impact on the Office's
    registration program, potentially leading to another backlog of
    copyright claims awaiting processing. It successfully eliminated a
    backlog in fiscal year 2011 that had occurred as a result of its
    transition to electronic processing in 2007. Further reductions will
    also lead to an adverse impact on its ability to participate in
    international negotiations and other policy efforts that are important
    to U.S. trade interests. The Copyright Office is committed to
    intelligent growth, recognizing the need to develop and implement a
    clear business strategy that takes into account the needs of the
    national copyright system, while exercising sound fiscal judgment.
                       loc deg.fees for services
        On October 1, 2011 the Office commenced a study of the costs it
    incurs and the fees it charges with respect to the registration of
    claims, recordation of documents, and other public services, pursuant
    to its authority under 17 U.S.C. 708(b). The statute requires that the
    Office establish fees that are ``fair and equitable and give due
    consideration to the objectives of the copyright system.'' 17 U.S.C.
    708(b)(4). Such objectives include, for example, protecting creative
    works of authorship, ensuring a robust public database of authorship
    and licensing information, and facilitating the recovery of reasonable
    costs incurred by the Office.
        As noted previously, the Office will deliver the fee study to the
    Congress in fiscal year 2012, with implementation as appropriate in
    fiscal year 2013.
                                   conclusion
        Mr. Chairman, I want to thank you for your consideration of our
    budget request today and for the subcommittee's past support of the
    U.S. Copyright Office. Thank you in particular for considering the
    funding we require to sustain a first-rate staff and meet necessary
    expenses, enabling us to perform our core duties under the law and
    build the infrastructure necessary to support America's copyright
    system in the years ahead.

        Senator Nelson. Thank you.
        Senator, would you like to go first?
        Senator Hoeven. That's fine. Go ahead, Mr. Chairman.
        Senator Nelson. Dr. Billington, first of all, I want to
    commend you for submitting a budget that is as lean as you're
    suggesting. I appreciate how difficult it is to do that under
    our fiscal constraints regardless. It reflects a 2.8-percent
    increase, is truly bare bones, and we certainly don't want to
    cut through the bones as well as through the muscle.
        Now, it provides for minimal growth. Perhaps you could tell
    us, what sorts of priorities LOC is deferring into the future
    simply because of a leaner budget?

     LOC deg.BUDGETARY CONSTRAINTS AND THE DEFERRAL OF PRIORITIES

        Dr. Billington. Well, there's quite a list. Let me just
    mention----
        Senator Nelson. Just a few.
        Dr. Billington [continuing]. Just a few. We lost 22
    reference staff, and additional budget cuts will result in
    reduced levels of reference. We've lost 50 in acquisitions and
    bibliographic access, which is the absolutely most fundamental
    thing in the entire business of having orderly and available
    LOC services. We estimate, because of these losses, that
    catalog records will decrease by about 50,000.
        The entire LOC system depends on LOC cataloging, Mr.
    Chairman. It actually costs more to catalog a book properly
    than it does to buy it, and the Nation depends on this service
    we provide. The delayed processing of copyright registrations
    also will eventually lead to an arrearage, a problem we've
    overcome recently.
        CRS has the most serious problem. CRS no longer has the
    flexibility to shift resources to develop new analytic
    capacities in accordance with the congressional schedules and
    needs. It lost 40 people, and the professional expenditures for
    development and training to cover the broader spectrum of areas
    that individual analysts have to cover, also will increase.
        There is a lot of loss here and I'd like to go on, but
    there are very specific things we can point to, economics,
    healthcare, energy, and the copyright policy experts who
    directly address the important international questions, both
    domestically and internationally. IT security--for which we did
    not request any funding--had to be reprogrammed and we
    allocated substantial resources from other areas of the budget
    to cover IT security requirements.

                 AFFORDABLE ACCOMMODATIONS FOR LIBRARY VISITORS

        I should point out that what we have accomplished in the
    past year is that we have completed private fundraising for
    conversion of a nearby building here on Capitol Hill into
    affordable temporary housing, for the reconstruction of the
    building that the Congress bought long ago.
        Thanks to cooperation with the AOC, this renovated facility
    will enable access to the collections and the resources of LOC
    to teachers around the country who are using our primary source
    teaching material. We've trained an awful lot of teachers this
    past year. They want to come to use our collections, but they
    can't afford it. Interns are discovering in the copyright
    deposit collections enormous treasures of the American past.
    The lack of affordable residential housing makes it difficult
    for such interns to come to LOC.
        Just yesterday I received a letter from a distinguished
    Muslim scholar in Western Europe whom we were very anxious to
    bring here, who could offer us quite a mixed perspective. And
    he just couldn't afford to come because he couldn't find
    inexpensive temporary housing. Visiting scholars, teachers, and
    interns are of capital importance for making the best use of
    the unique national resources that LOC holds. The inability to
    house these visitors is creating a great deal of difficult
    choices, which we will make, but the need is becoming crucial.

                    LOC deg.FUNDING FOR FORT MEADE

        Senator Nelson. One further question. On that, what would
    be the impact of not funding the Fort Meade collections
    transfer program? If we didn't fund that, what would be the
    implications?
        Dr. Billington. Extending support for the transfer of
    collections to Fort Meade is separate and apart from the
    rationale for Module 5, which is that we have 1 million books
    sitting on floors now that are increasingly difficult to
    access. But extending support for the transfer of collections
    to Modules 3 and 4 also is essential.

              LOC deg.PUBLIC/PRIVATE CAPITAL INVESTMENTS

        And I might mention, by the way, that we were able to
    create the entire new Packard Campus, that was a $150 million
    project--actually, worth a lot more than that because of
    donated expertise--that is a major capital investment of the
    kind AOC was pointing out as difficult to produce with annual
    funding. But Packard Campus funding and the private funding
    which also is creating the affordable residential scholar
    center for teachers all over the country who want to come and
    see the originals of what they're teaching in the classroom,
    all of that has been done with private funding. The requested
    $1.7 million is simply to extend the period of time to complete
    the collections transfer to Fort Meade Modules 3 and 4 and
    provide interim storage for collection materials at the
    Landover Center Annex.
        So, this funding is important, but only a stopgap measure
    for new capital investments are made. The compact storage
    modules at Fort Meade are much more economical for the long
    term and meet preservation standards for storage. Just as the
    Packard Campus is giving us the possibility of both storing and
    preserving and making accessible basically the national
    patrimony of radio, television, movies, and recorded sound in a
    way that is for the ages because the capacity there is
    enormous, the new residential facility will be affordable--for
    young scholars, for people that are working with the world
    digital library that we're helping produce, who want to come
    from all over the world and all over the United States because
    of what there is here. They're not able to use it because there
    is no inexpensive and convenient place to stay. And we estimate
    roughly that the center will be able to accommodate about 2,500
    of these short-term stays each year.
        This facility will make a huge difference in the
    contribution to K through 12 education. Our Web site, with its
    immense amount of material online, primary documents, is
    enabling teachers to see the originals and pass on the
    enthusiasm and inspiration that comes from seeing the
    originals. They then can go back to struggling schools all over
    America and teach.
        Those capital investments have been handled on the private
    side. They're very important for the long haul for our own
    health and also for the gathering of the kind of information we
    really need in this information age. By the way, the
    differential between what the LOC has and what other places
    have is increasing because the strain on other libraries
    throughout America is increasing. Both private and public
    libraries are suffering. Therefore, if we don't get the storage
    that we have requested, we will have to cut back on
    acquisitions. And that hurts the whole country which depends on
    the depth and diversity of our collections.
        Senator Nelson. Well, thank you. Thank you.
        Senator Hoeven.

           LOC deg.LIBRARY PRIORITIES AND FUNDING REDUCTIONS

        Senator Hoeven. Thank you, Mr. Chairman.
        Dr. Billington, it looks like your budget request is about
    a 2.8- percent increase. And I know that in your case, it's
    very challenging to hold the line and find savings in your
    budget because it's largely people intensive, and that makes it
    very challenging. But as was the case last year, I think we're
    going to end up working within a number that is going to be
    less than the budget submissions that we have here.
        So, in terms of your budget, how would you prioritize to
    try to find additional savings? Would you look at specific
    programs? And if so, which programs? Are there some things you
    can do across the board? What do you do if you have to find
    some more savings in this budget versus the 2.8-percent
    increase?
        Dr. Billington. I'm sorry. Would you repeat your question?
        Senator Hoeven. I'll try once again. Your budget increase
    is 2.8 percent. We may not be able to increase your budget by
    2.8 percent. If so, how would you start to identify savings?
    Are there some programs you would look at? Would you look at
    across-the-board savings? How would you try to identify
    additional savings beyond the 2.8-percent increase that you
    submitted in your budget?

      LOC deg.LOSS OF CRUCIAL STAFF THROUGH RETIREMENT INCENTIVES

        Dr. Billington. Well, it's very difficult. We created $11
    million of cost avoidance with the buyout, but, of course,
    that's a purely voluntary option. I have no authority to really
    encourage people either to apply or not to apply for such an
    option. We lost some very crucial people. We'll give you, for
    the record, a list of people that we lost.
        [The information follows:]

      LIBRARY OF CONGRESS FISCAL YEAR 2012 EARLY OUT (VERA)--BUYOUT (VSIP)
                                  PARTICIPATION
    ------------------------------------------------------------------------
                 Organizational unit              Position title  Participants
    ------------------------------------------------------------ --------------
    Library Services [LS]:
        LS--ALLS--AFC--Veterans History Project:
            Library Technician..................               1
        LS--Acquisitions and Bibliographic
         Access [ABA]
            Librarian...........................              35
            Library Technician..................              17
        LS--Collections and Services [CS]:
            Archivist...........................               1
            Collection Protection Work Leader...               1
            Computer Operator...................               1
            Librarian...........................              14
            Library Technician..................               9
            Material Handler....................               1
            Secretary...........................               1
            Supervisory Librarian...............               1
            Technical Information Specialist....               1
            Technical Support Assistant.........               1
        LS--CS--Packard Campus NAVCC:
            Librarian...........................               1
        LS--Partnership and Outreach Programs
         [POP]:
            Writer-Editor.......................               1
        LS--Preservation [PRES]:
            Librarian...........................               3
            Office Automation Assistant.........               1
        LS--Technology Policy (Tech):
            Information Technology Specialist...               2
            Librarian...........................               1
        National Library Service for the Blind
         and Physically Handicapped:
            Library Technician..................               2
            Office Automation Assistant.........               1
            Warehouse Worker....................               1
    Office of Strategic Initiatives:
        Computer Assistant......................               2
        Information Technology Specialist.......               4
    Law Library:
        Foreign Law Specialist..................               1
        Librarian...............................               1
        Library Technician......................               1
        Supervisory Librarian...................               1
    Office of the Librarian: Senior                            1
     Congressional Relations Specialist
    Office of the Chief Financial Officer:
        Senior Operating Accountant.............               1
    Office of Support Operations:
        Human Resources:
            Administrative Officer..............               1
            Administrative Specialist...........               1
            Human Resources Specialist..........               1
        Integrated Support Services [ISS]:
            Fire Prevention Engineer............               1
            Motor Vehicle Operator..............               1
            Safety Specialist...................               1
            Visual Information Specialist.......               1
        ISS-Logistics:
            Motor Vehicle Operator..............               1
            Program Specialist..................               1
            Warehouse Worker....................               1
            Warehouse Worker Leader.............               1
        ISS-Facilities: Food Service Worker                    1
    Copyright Office:
        Copyright--Basic:
            Accounting Technician...............               1
            Administrative Support Clerk........               1
            Attorney-Advisor....................               1
            Copyright Specialist................              14
            Deposit Copies Storage Clerk........               1
            Information Technology Specialist...               1
            Lead Mail Assistant.................               1
            Librarian (Acquisitions)............               1
            Library Technician (Copyright)......               8
            Mail Clerk..........................               5
            Secretary (Office Automation).......               1
            Supervisory Copyright Specialist....               4
            Supervisory Office Automation                      1
             Assistant..........................
            Writer-Editor.......................               1
        Copyright--Licensing:
            Library Technician..................               1
            Supervisory Copyright Specialist....               1
    Congressional Research Service:
        Administrative Operations Assistant.....               1
        Administrative Support Assistant........               1
        Biological Science Analyst..............               1
        Economist...............................               2
        Foreign Affairs Analyst.................               1
        Information Technology Specialist.......               3
        Librarian (Research Specialist).........               2
        Program Specialist......................               1
        Program Support Assistant...............               2
        Social Science Analyst..................               4
        Staff Assistant.........................               1
        Technical Information Specialist........               3
                                                 ---------------------------
          Total participants....................             186
    ------------------------------------------------------------------------

        Dr. Billington. Although the increase we're asking for is
    largely for mandatory pay raises, the last thing we want to do
    is contemplate further reductions in staff, because it's the
    staff that brings us the life, and is assuming more and more
    responsibility. As the demand for services increases and
    diversifies, the opportunities to make use of it and to sustain
    it are being curtailed. We'll have to just make the difficult
    decisions.

                LOC deg.IMPACT OF REDUCED ACQUISITIONS

        I can't really tell you how, because if you reduce, if you
    seriously reduce acquisitions, for instance, the impact on this
    institution, which is so utterly unique and so much larger and
    more comprehensive than other libraries, that it is acquiring,
    preserving, and making maximally accessible the world's
    knowledge and America's creativity, is immense.
        Because of the unique copyright deposits, the unique things
    we acquire, and the worldwide network of exchanges which we are
    a party to, rebuilding after significant budget cuts is very
    difficult. But if you reduce acquisitions, imagine you've been
    acquiring a scientific journal for 100 years. You skip a year,
    but you don't simply reduce the utility of the journal by one
    one-hundredth. You reduce it by about one-half in terms of its
    utility because scientific periodicals, all periodicals are
    constantly revising information published earlier. If you
    aren't up to date, you can't translate this into utility. You
    cannot make up for the information lost; that's why I talked
    about cutting into the bone.

            LOC deg.IMPACT OF CUTS TO PRESERVATION SERVICES

        Beyond acquisitions, we are unique in the preservation
    business across the world. We have the only program for the
    mass deacidification of paper. Twenty-five years ago, when I
    first came to LOC, a study said that 75,000 books are being
    reduced to virtual dust by the high acidic content of all paper
    that has been used since 1850. We have arrested that
    deterioration.
        The Congress has asked us to create standards for the
    physical conservation of collection materials. There is so much
    more history now and increasing numbers of requests, for
    example what did somebody say on television 20 years ago? You
    assume you can locate the answer, however, the relevant
    recording may not be there. We are a throw-away society, but
    LOC has a national responsibility to preserve the information
    that others throw away. That's what these new facilities--Fort
    Meade and the Residential Scholars Center--are about.

                       LOC deg.DIGITAL PRESENCE

        And then finally, we make the collections maximally
    accessible with our massive digital presence. We have 31
    million digital files online, including an enormous number of
    the primary documents of American history and culture that are
    essential for K through 12 education. Most everything we've put
    online is pure primary content. This is not just information
    you don't know you can believe or trust. So, cutting these
    kinds of essential services presents difficult choices.

                         LOC deg.STAFFING CUTS

        The most painful choice of all is if you have to cut the
    staff or have massive RIFs. As I said, we are getting very
    close to the bone. I can promise you that we will look, and not
    cry wolf. We will conscientiously continue as we've been doing,
    to do more with less. But the difficulty with institutions as
    large and as full of various things and the enormous
    possibilities for the future that they represent are that you
    don't know until after you've cut into the bone that the nerve
    ends have been frayed and the possibilities have been
    fundamentally changed.
        LOC is a unique world resource for the United States of
    America; otherwise, UNESCO wouldn't have looked at us as a
    partner in the creation of a world digital library, again,
    almost entirely privately funded. We're not going to do this
    kind of program at the expense of the more fundamental
    programs, but we're accomplishing a lot. We have wonderful,
    dedicated staff. The dedication of staff over long periods of
    service is terrific.

     LOC deg.ADDITIONAL BUDGET REDUCTIONS POTENTIALLY DEVASTATING

        I can't give you my formula, but I can assure you that the
    staff, which has never been stronger, will conscientiously do
    its best to make do with whatever resources you have given us.
    But I would be remiss in my obligations to you if I didn't warn
    that a great institution like this, that took 212 years to
    build, could be destroyed not because anybody wants it
    destroyed, but because it simply has tipped down and cannot get
    back up, because the effort to get up has doubled or tripled.
    Restoring what has been lost becomes impossible.
        But I would point out again, without a development office
    until recent years or a board of trustees, without a lot of
    appointees who can help in the fundraising, we have succeeded
    in raising significant funds for these capital projects. We've
    had wonderful cooperation from the AOC, not because we have a
    building complex, but just to remain faithful to our
    fundamental obligation of the Nation to acquire and preserve.
    Preservation is very important to almost everything produced--
    sound, movies, everything--and we have permission from the
    Congress to set up national registries for the preservation of
    sound and film.

                      LOC deg.NATIONAL PATRIMONY

        We have the obligation of creating a national patrimony of
    the things that America has uniquely created, as well as to
    gather material in 470 languages from all over the world. Who
    would have thought 40 years ago, even 25 years ago, that
    material from places like Afghanistan or Chechnya or Burundi
    would be important to have?
        LOC has probably the largest collection of Arabic and maybe
    even Farsi, Persian, Iranian materials anywhere. And there's so
    much here that's going to be important for future generations
    that we don't even know about, but we don't want to lobotomize
    the human memory. This institution is the most retentive and
    still-active guardian of human memory we have, and it's
    something that we just can't afford to let go. But I don't want
    to conduct a filibuster here, Mr. Chairman.
        Senator Hoeven. Dr. Billington, we appreciate tremendously
    what you and your staff do. It is a world-renowned institution
    and the quality of your work is absolutely incredible. So,
    we're going to do our best within the budget constraints that
    we have to work with, but thanks for being here. Thanks for
    being here today and for your input.
        No further questions, Mr. Chairman.
        Senator Nelson. Well, thank you.

                LOC deg.ADDITIONAL COMMITTEE QUESTIONS

        Well, let me associate myself with those complimentary
    remarks about the LOC, Dr. Billington, and all of your staff.
    There's no question about the quality of your work and how it's
    held in esteem. So, we appreciate very much.
        [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 John Hoeven
                     loc deg.zero-based budgeting
        Question. Since each of the agencies within the legislative branch
    were directed to develop and present the fiscal year 2013 budget
    requests using a zero-based budgeting approach, I would like to hear
    from you about how this process worked within your agency.
        Was this a helpful process or a hindrance in developing the budget
    request?
        Answer. The Library of Congress (LOC) undertook an in-depth review
    of operations and services to inform the development of the fiscal 2012
    spending plan and as the foundation for the development of requirements
    for fiscal 2013. This review involved an examination of the costs of
    individual programs and units within programs at a finer level of
    detail than done in the past and related these programs and costs to
    goals in LOC's strategic plan. Particular focus was directed at
    information technology infrastructure and information technology
    support operations across LOC, a part of the review that now is close
    to complete. This has been a labor intensive process. However, it was
    instructive and useful, resulting in insights into programs that could
    potentially be realigned to reduce or contain the damage of budget
    reductions to core mission services.
        Question. Were you able to find sustainable efficiencies that will
    result in continued savings over time, or one-time only savings?
        Answer. The budget review has not at this point revealed entire
    programs or operations that could be significantly reduced or
    eliminated to achieve savings. Reductions in staff will result in
    continued savings over time.
        Question. Is this a process you will be able to replicate for
    future budget requests?
        Answer. Some elements of the budget review done this year are
    likely to become permanent components and phases of LOC's annual budget
    formulation processes. The design of a strategy and methodology for the
    data collection, presentation, and review took several months of staff
    time, an investment of effort that will not necessarily need to be
    duplicated in future years.
        loc deg.voluntary early retirement authority/voluntary
                          separation incentive payment
        Question. The Committee provided guidance in the fiscal year 2012
    appropriations legislation that each agency within the legislative
    branch should consider using Voluntary Early Retirement Authority/
    Voluntary Separation Incentive Payment (VERA/VSIP) in order to reduce
    salary costs to the agency.
        Were each of you able to utilize VERA/VSIP authority; and if so,
    was this a successful mechanism for reducing costs?
        Answer. LOC was authorized to execute a VERA/VSIP retirement option
    in fiscal year 2012. The number of staff participating in the program
    was 186, resulting in reduced costs in fiscal 2012, net of the cost of
    incentive pay ($8 million), of approximately $11 million. The actual
    cost avoidance achieved through the VERA/VSIP incentive was
    significantly less than budget cuts LOC sustained this year. The
    overall reduction in LOC 's fiscal 2012 budget was $42.3 million, with
    the VERA/VSIP cost avoidance representing only 26.6 percent of that
    amount.
        Question. Are those savings realized immediately, or in the out
    years?
        Answer. The $11 million cited above represents the cost avoidance
    that will be realized by the end of fiscal year 2012. The annualized
    effect of the fiscal year 2012 VERA/VSIP retirements, independent of
    base funding cuts that will be sustained, is estimated to be $19
    million in fiscal year 2013.
        Question. Realizing that losing people who are eligible for
    retirement or early separation often means losing some of the best and
    brightest people with the greatest institutional knowledge within your
    organization, how have staffing reductions impacted your agency?
        Answer. Careful planning was done in preparation for executing the
    VERA/VSIP retirement program, to offer the buyout only to targeted
    positions across LOC where losses would cause the least damage to
    programs. Nonetheless, the departure of 186 experienced personnel,
    while also losing the opportunity to fill a number of vacant positions,
    represents a permanent and significant thinning of institutional
    capacity despite good succession planning.
        The Congressional Research Service (CRS) lost 24 analysts and
    attorneys resulting in the necessity to broaden research portfolios
    across the board and the potential for slower response rates. Among CRS
    retirements were the Senior Intelligence Analyst and the Senior Asia
    Specialist. Law library retirements included the expert in Canadian and
    Caribbean law and a senior law curator. LOC will operate with 22 fewer
    reference librarians as a result of the retirements, reducing services
    for researchers in the reading rooms and for libraries across the
    United States that rely on LOC's reference services. Fifty thousand
    fewer items are likely to be catalogued, impacting every library in the
    country. Staff retirements of the Copyright Office numbered 43,
    lessening the capacity of its copyright registration workforce.
        Question. Do you have succession plans in place that allow for a
    smooth transition of responsibilities.
        Answer. LOC has focused on succession planning as a strategic
    priority for at least a decade, after a study confirmed the number of
    retirement eligible personnel whose loss could threaten the
    institutional knowledge base. Nonetheless it has been difficult to
    recover from permanent cuts like those we have sustained this year,
    when there are minimal budgetary resources to refill essential
    positions or provide adequate levels of training. While organizational
    realignment can blunt the impact of some of the losses, there has been
    a permanent reduction in institutional capacity relating to the broad
    and deep knowledge of many of those who have retired.
               loc deg.fiscal year 2013 budget requests
        Question. I realize that it is important for each agency to request
    what it believes is necessary in terms of funding for operations and
    projects without knowing how much funding will be available in the next
    budget cycle; however, it should be clear to everyone what path we are
    on given the fiscal situation still facing our country. Therefore, it
    concerns me that each agency represented here today, except for the
    Open World Leadership Center, requested a budgetary increase for fiscal
    year 2013.
        What would be the impact to each of your agencies if you were held
    to the fiscal year 2012 enacted level of funding?
        Answer. Of LOC's fiscal 2013 funding request of $603.6 million,
    $14.3 million represents the estimated cost of mandatory pay-related
    and price level increases, costs that LOC has no choice but to cover.
    Without additional funding, absorbing these mandated costs will be
    possible only through the curtailment of other activities of a
    comparable value. For example, absorbing a cost of $14.3 million
    entirely by reducing staffing--if there were continued flexibility to
    do so--would require removing an additional 78 personnel from the
    payroll by October 2, 2012, the first day of the fiscal year. This
    would have an impact on the scope and timeliness of LOC's services to
    the Congress and the Nation.
        Question. What would be the impact of a reduction below the fiscal
    year 2012 funding level?
        Answer. A reduction below the fiscal year 2012 level would result
    in a realignment of services with a concretely negative impact on
    certain constituents. LOC would further reduce its research capacity
    for the Congress. Public services on Capitol Hill would be further
    reduced. Our capability to provide timely records of copyright
    registration would be seriously impaired.
        Question. At what funding level reduction could your agency no
    longer continue to provide the services you are required to provide
    without making significant changes to the agency and its mission?
        Answer. As the Librarian indicated in his fiscal year 2013 budget
    testimony, the current funding reductions have cut into LOC's muscle,
    and we are hoping to avoid cuts to the bone. In short, LOC would be at
    the point of having to make significant changes to its programs and
    services if funding were reduced below the fiscal year 2012 level.

                          OPEN WORLD LEADERSHIP CENTER

    STATEMENT OF AMBASSADOR JOHN O'KEEFE, EXECUTIVE
                DIRECTOR
        Senator Nelson. Well, Ambassador, the floor is now yours.
        Ambassador O'Keefe. Thank you very much, Mr. Chairman,
    Senator Hoeven. All of us at OWLC appreciate the opportunity to
    testify on our fiscal year 2013 budget request. And I would
    like to add to Dr. Billington's remarks about what an honor
    it's been to work with you, Mr. Chairman, over these couple of
    years. I deeply appreciated and deeply appreciate the guidance
    of your staff as well.
        Dr. Billington, of course, is on our board and he's the
    founding chairman of OWLC, so, I will be careful in my remarks.
    He is also my boss.
        We now have an Omaha chairman.

     OWLC deg.OPEN WORLD LEADERSHIP CENTER PROGRAMMING IN FISCAL
                                   YEAR 2012

        Ambassador O'Keefe. Despite several years of budget cuts,
    we have continued to hone our effectiveness both in the United
    States and abroad. Just this week we sent a delegation of
    Armenian bloggers to our 2000th host community. This year we
    will also expand our program to Uzbekistan beginning with
    Parliamentarians. Our strategic plan, approved by the board of
    trustees, envisions strengthening our work with American
    communities and leveraging their power to show what our
    delegates describe as ``the America we never knew existed''.
        The plan also establishes our new ``30 under 30''
    initiative. We're setting aside 30 percent of our slots for the
    generation that has just come of age after the breakup of the
    Soviet Union, and which has a far different world view than
    those who came before. Despite rising base costs of
    transportation and contracts, we have not requested an increase
    in funding in fiscal year 2013. There are several reasons for
    this.
        First and foremost, cost shares from our hosts throughout
    America, have risen steadily. We have also found partners
    willing to assume some international transportation costs. And
    we hope that private donations will help sustain our work in
    the coming fiscal year. In all, 25 percent of our resources
    will come from outside the legislative branch appropriation. It
    is this broad support, both materially and in spirit, that
    makes this program incredibly strong while allowing us to keep
    this request modest.
        I must emphasize, though, that our $10 million request
    stands as a tipping point. If we dip below that level, the cost
    per delegate rises. The strong base of communities diminishes.
    Our cost shares begin to dry up, and partners drift away.

     OWLC deg.OPEN WORLD LEADERSHIP CENTER RESULTS IN RUSSIA AND
                                OTHER COUNTRIES

        So, what has this investment produced? You will have read
    of the enormous crowds in Moscow and other Russian cities
    seeking to curb corruption and hold fair elections. Leaders of
    that movement are OWLC alumni. In February, we hosted more than
    40 regional legislators from Ukraine in communities across the
    United States. In a follow up survey, one of the frequently
    made comments shows how perceptions of these rising leaders, on
    OWLC programs, change, becoming overwhelmingly positive toward
    the United States, and I quote:
        ``I had some prejudices toward the United States. This trip
    made me change my mind. In some respects, my opinion changed
    drastically. Today at my department, we were discussing the
    United States and its citizens. Six out of seven members were
    present and started speaking negatively about America and its
    people. I began to defend Americans and gave examples of how
    they work for the benefit of the community, about the high
    level of their civic awareness and their readiness to help
    others.''
        As mentioned before, our hosts give time and money. But as
    you can see from this example, what makes the difference to our
    delegates is that the hosts give so much of themselves. All of
    us at OWLC deeply appreciate the engagement and support of
    Members of Congress, and particularly of this subcommittee
    where we remain a uniquely effective legislative instrument,
    providing the Congress with a resource that promotes
    constituent diplomacy.

                               PREPARED STATEMENT

        By supporting OWLC, you will allow Americans in every State
    to make a difference at the grassroots level and effect
    positive changes in communities in the complex and
    strategically important nations of Eurasia.
        Thank you, Mr. Chairman, Senator Hoeven.
        [The statement follows:]
                 Prepared Statement of Ambassador John O'Keefe
        Mr. Chairman, Senator Hoeven, distinguished members of the
    subcommittee: I appreciate the opportunity to present testimony on the
    Open World Leadership Center's (OWLC) budget request for fiscal year
    2013. OWLC--of which I am the Executive Director--conducts the only
    foreign-visitor exchange program in the legislative branch.
    Congressional participation in our programs and on our governing board
    has made OWLC a uniquely effective instrument for Members, their
    constituents, and communities around America. All of us at OWLC are
    deeply grateful for your support.
                                    overview
        The OWLC program connects the Congress to its constituents, who in
    turn practice public diplomacy on behalf of their elected officials.
    The net effect of these efforts is a deep and ongoing influence on the
    views and goals of OWLC delegates as they influence events in their own
    countries. With the power of the 2,000 communities throughout America
    that have participated over the life of the program, OWLC enhances
    professional relationships and understanding between political and
    civic leaders of participating countries and their counterparts in the
    United States. It is designed to enable emerging young leaders from the
    selected countries to:
      --observe U.S. Government, business, volunteer, and community leaders
            carrying out their daily responsibilities;
      --experience how the separation of powers, checks and balances,
            freedom of the press, and other key elements of America's
            democratic system make the Government more accountable and
            transparent;
      --develop an understanding of the U.S. free enterprise system;
      --learn how U.S. citizens organize and take initiative to address
            social and civic needs;
      --participate in American family and community activities; and
      --establish lasting professional and personal ties with their U.S.
            hosts and counterparts.
        Because OWLC provides such high-caliber programs, participants
    return to their countries with a tangible appreciation of America's
    democracy and market economy. To that end, OWLC has refined and focused
    on key themes central to democracy-building to improve the quality of
    the U.S. program. The impact of the 10-day United States stay is
    multiplied by continued postvisit communication between participants
    and their American hosts, their fellow OWLC alumni, and alumni of other
    U.S. Government-sponsored exchange programs.
       owlc deg.open world leadership center activities in 2012
        OWLC's plans for calendar year 2012 include programs for members of
    Parliament from Azerbaijan, Kazakhstan, Kyrgyzstan, Moldova,
    Turkmenistan, and Uzbekistan, and regional and municipal legislators
    from Russia and Ukraine. We have expanded our rule-of-law program
    beyond Russia and Ukraine to include Georgia, Kazakhstan, Kyrgyzstan,
    Moldova, Russia, Ukraine, and Serbia--countries where we are finding
    substantial cooperation and a slow, cautious movement toward an
    independent judiciary. We also continue to foster sister city/sister
    state programs in many locations in the United States that forge
    stronger ties between our countries.
        OWLC hosts in thematic areas that advance U.S. national interests,
    support American communities active in these areas, and generate
    concrete results. We will build on OWLC's incremental and growing
    successes, and will continue to emphasize such topics as the rule-of-
    law, human trafficking prevention, education, health, and the
    legislative branch's role in bringing about good governance.
        Our efficient stewardship of resources and programming attracted
    USAID to partner with and provide funding for OWLC programs for Serbia
    in 2012. The U.S. Embassy in Ukraine co-funded telemedicine programs in
    the United States and the Civilian Research and Development Foundation
    co-sponsored a delegation of Russian researchers in nanotechnology.
    These are just a few examples of inter-agency collaborations that the
    OWLC has accomplished due to our reputation for results and cost-
    effectiveness. In fact, every program hosted and sponsored by OWLC has
    a partnership and cost share component at its core.
         owlc deg.open world leadership center plans for 2013
        In fiscal year 2013, in concert with the board of trustees-approved
    strategic plan, OWLC has established a goal of bringing 30 percent of
    its delegates from the generation that has come of age since the
    breakup of the Soviet Union. This group differs from the previous
    generations both by its access to a greater range of information and,
    in some countries, a more nationalistic view of the world. To achieve
    this goal, we are developing a new group of nominators who will assist
    us in identifying emerging leaders of this rising generation. We are
    also seeking young professionals in the United States who will
    introduce these delegates to other young professionals in their
    communities.
        As an agency created to serve the Congress, OWLC will also assist
    Members who wish to invite their legislative counterparts from these
    strategically critical nations. We will provide a means for Members on
    fact-finding missions abroad to extend invitations to key members of
    legislative bodies to see firsthand the working of U.S. legislatures,
    at both the national and State levels. To fulfill the mandate from our
    Board, we are developing a program for Uzbekistan and plan to have
    members of both chambers of their Parliament as participants in 2013.
    We requested no increase in our appropriation and will fund this
    initiative through cost shares, savings, and redistribution of
    resources.
      owlc deg.breadth and depth of open world leadership center
                                  programming
        OWLC regularly evaluates program performance to ensure that OWLC is
    meeting its mission of focusing on a geographically and professionally
    broad cross-section of emerging leaders who might not otherwise have
    the opportunity to visit the United States:
      --Since the program was established with Russia in 1999, the OWLC
            program has now hosted emerging leaders from almost all the
            countries of the former Soviet bloc. The program added Ukraine
            in 2003. In 2007, OWLC expanded to Azerbaijan, Georgia,
            Kyrgyzstan, Moldova, and Tajikistan. OWLC's Kazakhstan and
            Turkmenistan programs began in 2008; its Armenia program was
            launched in 2011. In 2012, the program welcomed its first
            delegations from Serbia. OWLC has also hosted delegations from
            Belarus, Lithuania, and Uzbekistan.
      --More than 80 percent of Russian participants live outside Moscow
            and St. Petersburg.
      --More than 60 percent of OWLC delegates have been Federal, regional,
            or local government officials at the time of their visit.
      --1,645 Russian and Ukrainian judges have been hosted in U.S. courts
            and communities as part of OWLC visits focused on the rule of
            law. Another 145 judges from Azerbaijan, Georgia, Kazakhstan,
            Kyrgyzstan, Moldova, Tajikistan, Turkmenistan, and Uzbekistan
            have taken part in OWLC rule of law programs.
      --OWLC has brought 155 members of the Russian Federation Council and
            State Duma to the United States. Members of the national
            parliaments of Azerbaijan, Belarus, Georgia, Kazakhstan,
            Kyrgyzstan, Moldova, Turkmenistan, and Ukraine have also
            participated in the program. Of the Russian Duma members
            elected in December 2011, 27 are OWLC alumni.
      --More than 90 percent of delegates are first-time visitors to the
            United States.
      --More than one-half of all delegates are women. (Women did not have
            significant leadership opportunities in the Soviet Union.)
           owlc deg.open world leadership center in america
        OWLC delegates are hosted by a large and dedicated group of
    American citizens who live in cities, towns, and rural communities
    throughout the United States:
      --Since OWLC 's inception in 1999, more than 7,100 families have
            hosted participants in 2,000 communities in all 50 States.
      --In 2011, the 204 locally based OWLC host organizations included
            universities and community colleges, library systems, Rotary
            clubs and other service organizations, sister-city
            associations, courts, and nonprofits.
      --More than 150 U.S. Federal and State judges have hosted their
            counterparts from Russia, Ukraine, Azerbaijan, Georgia,
            Kazakhstan, Kyrgyzstan, Moldova, Tajikistan, and Turkmenistan.
        The generosity and enthusiasm of our American hosts is a mainstay
    of the program. For the 2012 grant proposal cycle, demand for hosting
    OWLC delegations was up to three times the supply of available hosting
    slots. In 2010, Americans gave $1.72 million worth of in-kind
    contributions to the OWLC representing 34 percent of the total cost of
    the hosting program. Other partners provided an additional $580,000 in
    in-kind contributions. We expect similar in-kind contributions for 2011
    when final reporting is complete.
        Visiting delegates, in turn, have enriched American communities by
    sharing ideas with their professional counterparts, university faculty
    and students, Governors and State legislators, American war veterans,
    and other American citizens in a variety of forums such as group
    discussions, Rotary Club breakfasts, and town hall meetings.
        In the past month alone, OWLC has learned of the following
    partnerships and projects implemented through the OWLC program or
    initiated and reported on by OWLC alumni:
      --In a significant development, OWLC has learned that the leaders of
            the new opposition in Russia that emerged in December include
            OWLC alumni.
      --On February 17, 2012, a sister-city partnership was signed between
            the Ukrainian regional capital city of Uzhgorod and Little
            Rock, Arkansas. The agreement was signed by Mayor Mark Stodola
            and a Deputy of the Uzhgorod City Council, Vasyl Gnatkiv, a
            member of an OWLC delegation visiting Little Rock to examine
            the role of legislatures in accountable governance.
      --A Ukrainian television reporter established an investigative
            journalism nongovernmental organization (NGO) based on his
            observations of a student-journalist project at Carrolton
            College in Atlanta, Georgia, which he visited during his OWLC
            exchange. The organization focuses on investigating and
            reporting on human rights violations. He is now turning his
            efforts to involving young, socially active Ukrainians in the
            political and governing processes through an organization
            called ``SAN'' (Self-Governed Alternative Network). The Network
            plans to support candidates for the fall parliamentary
            elections.
      --The southern Moldovan city of Cahul is benefiting from two projects
            initiated by an OWLC alumnus, hosted in Madison, Wisconsin in
            2009, who is both a city councilman and NGO administrator. The
            Cahul governmental authorities and local NGOs are collaborating
            on a project called ``Cahul--Youth Capital of Moldova 2012'' to
            promote activities for youth. The second project is supported
            by a grant from the U.S. Embassy and involves the establishment
            of a park between two housing projects, promoting its use for
            recreation, and encouraging volunteerism to maintain the park.
      --Two Tajik OWLC alumni, one hosted in Princeton, West Virginia and
            the other in St. Louis, were instrumental in the opening of
            ``Window to America'' and ``American Corners'' centers in their
            respective home cities. Both alumni worked with the local Tajik
            government to obtain rooms and other support for these learning
            centers that now bring to the local population both information
            about America and English language training through further
            support by the U.S. Embassy.
        Results such as these solidify the importance of these countries'
    participation in the OWLC program. Furthermore, OWLC provides ongoing
    benefits to the U.S. economy through such activities as purchases of
    equipment in the United States by OWLC alumni and follow-on exchange
    visits to the United States initiated by contacts made through OWLC. An
    example of the latter is an education exchange for children from
    Nadezhdinskiy, Russia planned for this summer by OWLC American hosts
    associated with People-to-People International in Scottsdale, Arizona.
    Besides learning English during their stay in Arizona, the group will
    visit Las Vegas, San Diego, and Los Angeles.
         owlc deg.highlights of calendar year 2011 programming
    Parliamentary Hosting
        The OWLC program hosted the first delegation of members from the
    new Parliament of Kyrgyzstan, elected in October 2010. During their
    stay in Washington, DC, they met with numerous Members of Congress and
    observed a session of the House of Representatives, presented at a
    roundtable at Johns Hopkins University School of Advanced International
    Studies where they provided each of their political party's view of the
    only fully democratic country in the region. They were also hosted in
    Pittsburgh and Harrisburg, Pennsylvania where the delegates observed
    the legislative process at the city and State levels.
        In May 2011, Representative Renee Ellmers (R-NC) served as the
    congressional host for two Moldovan parliamentarians examining
    accountable governance in the Raleigh area. The Moldovans had
    discussions with Representative Ellmers and several State legislators
    about their duties and office operations; viewed State legislative
    proceedings; heard about the role of the State Secretary of State's
    office; and learned about the preservation of parliamentary documents
    and the State legislature's online resources. North Carolina and
    Moldova have a formal ``Sister State'' relationship.
        The U.S. Mission in Ukraine turned to the OWLC program in September
    2011 to host Parliamentarian Lesya Orobets and directly funded this
    hosting program. During her visit, Deputy Orobets met with
    Congressional Ukrainian Caucus Cochair Representative Marcy Kaptur (D-
    OH) for a peer-to-peer conversation about economic development, current
    affairs, and representative government. Deputy Orobets chairs an
    education subcommittee and is fighting for greater transparency in the
    education system. She is also a pioneer in using social media to
    communicate with the Ukrainian electorate.
                   owlc deg.other program highlights
        Russia and Tennessee.--Senator Lamar Alexander requested that OWLC
    host healthcare leaders from Kirov, Russia in three locations in
    Tennessee. This nascent Tennessee-Kirov relationship was spearheaded by
    former U.S. Senate Majority Leader William H. Frist, MD, an original
    member of OWLC's Board of Trustees. Before traveling to Knoxville and
    Memphis (half to each), the 25 doctors, including the Minster of Health
    of Kirov Oblast, took part in a panel discussion on healthcare in the
    United States at the Center for Strategic and International Studies and
    toured the National Institutes of Health. The Memphis group had an
    intensive program at several research hospitals and concluded the
    program with presentations to their counterparts. The Knoxville group
    visited a university medical center and nursing schools. In Nashville,
    the two groups reunited in Nashville for an examination of the
    Vanderbilt Medical Center led by Dr. Frist, and had exchanges with
    Congressman Jim Cooper, the mayor of Nashville and the Tennessee
    Commissioner of Health. In the wrap up session, Dr. Frist led a
    discussion and had them list three areas for improvement in United
    States and Russian health delivery.
        Kyrgyzstan and Montana.--In March, Bozeman, Montana hosted a mayor
    and several local lawmakers from Kyrgyzstan for an accountable
    governance exchange. The delegates discussed mayoral duties, the role
    of the city commission, and citizen engagement with Mayor Jeff Krauss;
    reviewed infrastructure development with a city planning-department
    official; and met with an aide to the city manager. The delegates also
    learned about attracting business to rural areas at the Chamber of
    Commerce, explored how Montana State University's Local Government
    Center assists local governments in the State, and took part in the
    biennial Montana Mayors Forum in Helena.
        Ukraine and Virginia.--On March 4, 2011, the Arlington (Virginia)
    Sister City Association held an official signing ceremony with its
    newest sister city, Ivano-Frankivsk, Ukraine. This partnership was
    formalized as a result of OWLC, through which several delegations from
    Ivano-Frankivsk were hosted in Arlington, allowing the two cities to
    further develop strong ties in governance, social programs, and other
    areas. Yulia Melnyk, a Washington, DC-based correspondent for the Kyiv
    Post, has praised the partnership between the two cities for including
    an economic component intended to boost cooperation between Ukrainian
    and United States businesses.
        Georgia and Georgia.--In Atlanta, private and government lawyers
    from the Republic of Georgia observed jury selection and part of a
    criminal trial in Federal court (Georgia is just beginning to use jury
    trials); received an in-depth review of criminal-trial, appellate, and
    postconviction proceedings from a principal of the Maloy Jenkins &
    Parker law firm; and attended a class at Emory University School of
    Law. A tour and question and answer session at the Federal penitentiary
    was also timely, as prisons in Georgia's capital city of Tbilisi are
    implementing new regulations and practices. Representative Phil Gingery
    met with the delegates in Marietta.
        Armenia and Iowa.--During her visit to Iowa as part of the first
    OWLC delegation from Armenia, a newspaper reporter who covers political
    and government issues, was eager to see the impact of American media on
    social issues. Having seen how Americans respect their laws and the
    judicial system, the delegate explained this to her fellow Armenians in
    the article ``The U.S. Constitution is about Freedom of the
    Individual.'' In another article ``Where the Law Ends, Tyranny
    Starts'', she describes how ordinary citizens have access to Iowa
    leaders and are able to follow transparent decisionmaking processes. In
    subsequent articles, the reporter published an interview with a Des
    Moines Register reporter and other articles on human trafficking, human
    rights, and domestic violence. Ten days in the United States gave our
    delegate a chance to create an unbiased glimpse of America and
    Americans for a broad audience in Armenia.
        Kazakhstan and Wisconsin.--In October 2011, a delegation of local
    government officials from rural towns and villages of Kazakhstan spent
    a week in Mauston, Wisconsin to observe how municipalities are governed
    in rural America. City of Mauston officials described the role of
    elected officials and the authority and accountability of a
    professional city administrator and city departments. In addition, the
    delegates learned how public private partnerships can enhance community
    development as well as the role of businesses and citizens in economic
    development in rural Wisconsin. During the daylong program at the State
    capitol in Madison, delegates met with lobbyists who described
    strategies for citizens to inform and influence public policy by
    representing interests of groups with shared policy concerns.
        In November, five OWLC delegations from the Russian republic of
    Buryatia traveled to the United States for programs that were partially
    funded by the Russian ERA Foundation, whose founder, Senator Vitaly
    Malkin, represents Buryatia in the Russian parliament. Individual
    delegations visited Illinois, Maryland, Michigan, Nebraska, and Ohio.
    Further financial support for the delegation to Omaha, Nebraska was
    provided by the Suzanne and Walter Scott Foundation. University
    agricultural experts visited soil-testing facilities, discussed
    international operations and marketing at an agriculture company,
    examined no-till farming at the University of Nebraska, and discussed
    Federal agricultural programs with an aide to Senator Ben Nelson.
                        owlc deg.budget request
        In this lean fiscal environment, we are committed to keeping costs
    down while maintaining program quality. When constructing our budget,
    however, we must consider the fact that in reducing the number of
    participants hosted, there comes a tipping point in terms of
    efficiency. Certain base costs remain whether bringing 500 participants
    or 2,000. Using economy of scale, it is our experience that bringing
    1,200 participants a year is that tipping point. Below that number, the
    program becomes less cost effective and the per person cost rises. To
    that end, our budget request of $10 million is based on bringing 1,200
    participants in fiscal year 2013.
        OWLC spends its appropriation in two categories:
      --direct program costs; and
      --administration costs.
        Direct program costs includes:
      --grants to host delegations in the United States;
      --a logistical coordinator; and
      --the direct program portion of salary and benefits of Washington, DC
            and Moscow staff.
        This is the minimum staff level required to manage 1,200
    participants in a program year.
        OWLC's fiscal year 2013 budget request breaks down as follows:

    ------------------------------------------------------------------------
                              Item                                Amount
    ------------------------------------------------------------------------
    Direct program:
        Logistical contract.................................      $5,720,000
        Grants/other hosting costs..........................       3,283,450
        Salary/benefits.....................................         685,922
                                                             ---------------
          Total, Direct program.............................       9,689,372
                                                             ===============
    Administration:
        Salary/benefits.....................................         408,255
        Services of other agencies..........................         182,000
        Professional services...............................         146,640
        Miscellaneous office................................          36,606
                                                             ---------------
          Total, Administration.............................         773,501
                                                             ===============
          Total, Budget.....................................  \1\ 10,462,873
    ------------------------------------------------------------------------
    \1\ The amount in excess of $10 million shown here will be covered by
      donations and other offsets.

                                    summary
        OWLC has served the Congress well, earning strong bipartisan and
    bicameral support. This modest budget request, representing a flat
    budget, will enable OWLC to continue to make major contributions to an
    understanding of democracy, civil society, and free enterprise in a
    region of vital importance to the Congress and the Nation. On behalf of
    the Congress, this powerful global network will continue to make a
    significant and positive mark on events in this strategically important
    region. This subcommittee's interest and support have been essential
    ingredients in OWLC's success.

        Senator Nelson. Thank you, Ambassador.
        As a courtesy, would you please go first, Senator Hoeven?
        Senator Hoeven. Surely, Mr. Chairman.
        I see that you've requested $10,462,873, of which $462,873
    is funding that you have raised. So, I guess the question I
    ask, is there more that you could do to raise dollars for the
    program that would in essence help us with this budget?

       OWLC deg.OPEN WORLD LEADERSHIP CENTER FUNDRAISING EFFORTS

        Ambassador O'Keefe. Senator, we just had our annual board
    meeting a few weeks ago. The chairman was there. We discussed
    the issue of fundraising. Quite frankly, our staff is seven and
    we do not have a development person. To do major league
    fundraising requires a major league investment in development
    itself. And, so, what I would like to do and what the board
    expects is to set out a budget for a development person for
    next year so that we can begin that process and mine the
    opportunities that might be available out there.
        Senator Hoeven. I'm sorry. Did you say getting your staff
    to start doing that or----
        Ambassador O'Keefe. No, Sir.
        Senator Hoeven [continuing]. Getting a development person,
    I missed that.
        Ambassador O'Keefe. Yes. Senator, it's to hire a
    development person, but that would require nonappropriated
    funds. So, I have to raise the money to get the person to raise
    the money, and that is the charge that my board has given me
    for this coming year.

           OWLC deg.OPEN WORLD LEADERSHIP CENTER AND SERBIA

        Senator Hoeven. Talk a little about some of the work that
    you did with Serbia. I see that you received some funding from
    USAID for the Serbia programs. Would you talk about that a
    little bit?
        Ambassador O'Keefe.Yes, Sir. About 1\1/2\ years ago, USAID
    and the Embassy in Serbia, because they knew of the
    efficiencies of our program, asked us to run a program. They
    gave us $500,000. We put it together and then they gave us
    another $500,000. So, we're going to bring about 120 people to
    the United States, 60 this year, 60 next year.
        I mention parenthetically, they expected us to bring 60
    total because that's what it would have cost them in their
    structures. We can double that number for them.
        Senator Hoeven. You don't run those dollars through your
    budget, then. Those are matching dollars that you just used to
    partner? How does it work?
        Ambassador O'Keefe. It's transferred into the OWLC trust
    fund. In the statute that establishes the Center, we have a
    trust fund and our appropriation when it comes, goes into the
    trust fund as do transfers from other agencies. This can either
    be done as a reimbursement to us or directly into the trust
    fund. So, this was a transfer to us.
        Senator Hoeven. Do you have more of those, it sounds like a
    good partnership. Sounds like it went well. Do you have plans
    to do more of that with other countries and with other
    agencies?
        Ambassador O'Keefe. there are targets of opportunity. And
    as you are aware, assistance funds in former Soviet states and
    in the Balkans are diminishing and they're being moved to other
    priorities. But we do look for ways to do this. So, for
    example, I mentioned the parliamentarians from Uzbekistan. The
    Embassy will be paying for the transportation to the United
    States and then we'll pick up the costs from there.
        So, we always are looking for ways to stretch the
    appropriation that you give us. It's one reason why we can keep
    our requests flat because we are constantly finding partners to
    work with us.

       OWLC deg.OPEN WORLD LEADERSHIP CENTER EXPANSION TO EGYPT

        Senator Hoeven. You also have an initiative to assist
    Members who want to invite their legislative counterparts from
    countries that were formerly part of the Soviet Union. What's
    the status of that? And is it restricted solely to countries
    that are part of the former Soviet Union?
        Ambassador O'Keefe. The legislation allows us to bring
    people from other countries. The only requirement is we have to
    give you, the subcommittee, 90-day notice and we have to have
    the board approve.
        Senator Hoeven. I was recently in Egypt and met with the
    speaker of the parliament and other members of the Freedom and
    Justice Party, which is actually the Muslim Brotherhood----
        Ambassador O'Keefe. Right.
        Senator Hoeven. But when they get elected it's the Freedom
    and Justice Party in the Egyptian Parliament. They're about 40
    percent of the Egyptian Parliament together with another
    Muslim-based party where they're about 65 percent of the
    parliament. We were there on the nongovernmental organization
    worker issue.
        I was there with Senator McCain and others. Among the
    things we talked about was the possibility of parliament
    members with the Freedom and Justice Party coming here and
    possibly interacting with Members of Congress. Does that fit
    within the scope of what you do?
        Ambassador O'Keefe. Yes, Sir. I actually had that
    conversation with Dr. Billington a few months ago and it can be
    done. We can do a program for them. We can structure it to your
    needs and their needs. The length can be adjusted.
        Now, understand, I'd have to reprogram funds from elsewhere
    for this fiscal year, but we're an instrument of the Congress.
    And the executive branch has more than 200 exchange programs in
    agencies you would be surprised at having one. The Congress has
    one, it's us. And, so, this fits exactly, I think, with our
    next step; that emerging democracies are going to succeed, not
    simply because people are in the street and not simply because
    there's an executive, but it's going to succeed if there is
    this balance between legislative, judicial, and executive
    branches. We are in a unique position, especially when you go
    visit counterparts in these countries and are able to make that
    offer. It would take us 90 days to put it together in any case,
    but it is legal and it is possible.
        The point I emphasize, since we're an independent agency
    with a board that does oversee us, we're very small, but we
    also can be very nimble. We're not in the same way as if you
    were to ask an executive branch agency to help with this.

    OWLC deg.OPEN WORLD LEADERSHIP CENTER ABILITY TO WORK OUTSIDE
                                THE FORMER USSR

        Senator Hoeven. If you think about it, the work that you've
    been doing with Russia and the other countries of the former
    USSR, it makes sense for you to look at some of the Middle East
    countries because you have a similar situation going on.
    Whether you look at Tanzania or Egypt or now Libya, Yemen,
    you've got a number of these countries that are going from a
    dictatorship or some type of totalitarian regime, military
    rule, to self determination. Egypt is an example. And we want a
    relationship with those countries.
        So, I do see this as an opportunity. I would ask maybe that
    you work with my staff. I think there are a number of other
    Senators that would be interested in putting this together,
    including perhaps Senator McCain, Senator Graham, myself, and
    Senator Blumenthal. I think we should take a look because it
    might be something that would be worthwhile and something we
    should pursue.
        Ambassador O'Keefe. I will do that tomorrow.
        Senator Hoeven. Thank you, Ambassador. I appreciate it.
        Ambassador O'Keefe. Yes, Sir. Thank you, Sir.
        Senator Hoeven. No further questions.
        Senator Nelson. Thank you, Senator Hoeven.

         OWLC deg.OPEN WORLD LEADERSHIP CENTER AS PART OF THE
                               LEGISLATIVE BRANCH

        Ambassador O'Keefe you made the major points that need to
    be made for the value of Open World being part of the
    legislative branch rather than part of the executive branch.
    That's why from the very beginning I resisted the efforts from
    the other body in the Congress to put the program under the
    State Department. It works right where it is, and we're going
    to continue to pursue the independence of it from the executive
    branch because it belongs within the legislative branch. We're
    going to do legislators to legislators and future legislators
    and future leaders as opposed to executive to executive.
        It's where it should be and it's doing exactly what we need
    to have it do. If anything, we need to find ways to expand it.
    Problem is the budget constraints, but you're very adept and
    very agile and nimble at looking for other ways to attract
    funding. You should know that we will continue to work with you
    every way that we can to make certain that it happens.
        Thank you very much.

                OWLC deg.ADDITIONAL COMMITTEE QUESTIONS

        Ambassador O'Keefe. Thank you, Mr. Chairman. And, again,
    thank you for your help and support.
        Senator Nelson. Thank you.
        [The following questions were not asked at the hearing, but
    were submitted to the Center for response subsequent to the
    hearing:]
                   Questions Submitted by Senator John Hoeven
                     owlc deg.zero-based budgeting
        Question. Since each of the agencies within the legislative branch
    were directed to develop and present the fiscal year 2013 budget
    requests using a zero-based budgeting approach, I would like to hear
    from you about how this process worked within your agency.
        Was this a helpful process or a hindrance in developing the budget
    request?
        Answer. By way of background, the Open World Leadership Center
    (OWLC) has been engaged in zero-based budgeting since 2010 when we
    first re-negotiated our large logistical contract which enables the
    target number of program participants to travel each year. However, the
    larger effort of compiling a zero-based budget for our annual
    appropriation was still a demanding, frustrating, enlightening, and
    ultimately fruitful one that gave us the opportunity to submit an
    appropriated budget based not only on historical data but built on
    current fiscal realities.
        At a micro level, (OWLC only), the zero-based budget process once
    again enhanced our awareness of the need to manage resources in the
    most efficient way possible while at the same time heightening our
    commitment to maintaining program quality. This was the most
    complicated part of the new budget approach and to complete that part
    we had to start with our single largest expenditure in each fiscal
    year: the logistical contract that enables some 1,200 participants per
    year to come to the United States. As noted in the testimony, the 1,200
    number allows the greatest efficiencies while it maintains the momentum
    of the program. Once we had established a new baseline for the
    contract, it was not difficult to apply the same rigorous review to
    subsequent renewals and then to the second-largest expenditure area in
    OWLC: grants to national and local organizations in charge of hosting
    OWLC delegations. While the business of re-negotiating our large
    logistical contract had its trials, the work we did with our grantees
    was the most challenging and complex by far. Because each national
    organization submits its own budget to us to fund an OWLC delegation,
    we repeated the zero-based budget lessons we learned above to each of
    the grant proposals that came before us. We looked at each budget
    submission and started from scratch even if, and at times especially
    if, the grantee was a repeat grantee. We worked very hard with the
    grantee to arrive at a budget that was fair, realistic, and conducive
    to providing a quality program. That effort, along with the
    contribution of significant cost shares from the grantees, made it
    possible to fund programs for the targeted level of 1,200 participants
    in fiscal year 2012.
        While the zero-based budget approach did not by itself solve any
    ``funds available'' issues in OWLC, which strives to accomplish its
    mission in any fiscal environment, it did uncover serious cost savings
    so that OWLC could continue hosting at prior year levels. Equally
    important, the zero-based budget approach provided a meaningful
    incentive to partner with other U.S. Government agencies and
    departments to accomplish mutually inclusive and overlapping goals. In
    that regard, OWLC is now working with the United Sates Aid for
    International Development for Serbia programming and a special
    telemedicine program for Ukraine as well as with the U.S. Embassies in
    Turkmenistan, Armenia, and Uzbekistan.
        Question. Were you able to find sustainable efficiencies that will
    result in continued savings over time, or one-time only savings?
        Answer. The exercise did result in sustainable efficiencies because
    OWLC continues to apply a zero-based budgeting approach to most of its
    fiscal operations. As mentioned above, OWLC has been engaged in zero-
    based budgeting practices to a large degree since fiscal year 2010.
    After that first effort, where we achieved savings of about $1.5
    million, we recognized it as an opportunity to assess the impact of
    other budget line item expenditures on operations, effectiveness, and
    quality of programming.
        The most important lesson we learned is the value of analyzing
    carefully all requests for funding from OWLC: just as it is not
    appropriate to automatically add a fixed percentage to a request from
    year to year--whether it is OWLC, its logistical contractor or its
    grantees, it is also not always beneficial to cut a fixed percentage
    from a budget request from year to year. In this way, OWLC is in a
    unique position of being both the arbiter of sound fiscal practices
    with its contractors and grantees and the recipient of difficult fiscal
    decisions from our Congress in the current fiscal environment.
        Question. Is this a process you will be able to replicate for
    future budget requests?
        Answer. OWLC will continue to apply zero-based budget principles to
    its fiscal operations.
       owlc deg.voluntary early retirement authority/voluntary
                          separation incentive payment
        Question. The Committee provided guidance in the fiscal year 2012
    appropriations legislation that each agency within the legislative
    branch should consider using Voluntary Early Retirement Authority
    (VERA)/Voluntary Separation Incentive Payment (VSIP) in order to reduce
    salary costs to the agency.
        Were each of you able to utilize VERA/VSIP authority; and if so,
    was this a successful mechanism for reducing costs?
        Answer. In the last 2 years, OWLC has reduced its staff by 22
    percent through attrition (down to 7 from 9). When the VERA was offered
    in fiscal 2012, only one staff member was eligible and she declined the
    incentive.
        Question. Are those savings realized immediately, or in the out-
    years?
        Answer. Vera/VSIP was not used.
        Question. Realizing that losing people who are eligible for
    retirement or early separation often means losing some of the best and
    brightest people with the greatest institutional knowledge within your
    organization, how have staffing reductions impacted your agency?
        Answer. Staffing reductions have been absorbed by current staff.
    However, further reductions would impact program quality.
        Question. Do you have succession plans in place that allow for a
    smooth transition of responsibilities?
        Answer. OWLC is formulating a reorganization for board approval at
    its next annual meeting. The reorganization will reflect funding
    reductions over the last 2 years, the trend toward broader geographic
    scope, a continuing emphasis on a lower average age of participants,
    increasing numbers of regional and national legislators (begun in
    fiscal year 2010), and more cost shares with other partners.

                              OFFICE OF COMPLIANCE

    STATEMENT OF TAMARA E. CHRISLER, ESQ., EXECUTIVE
                DIRECTOR
        Senator Nelson. Well, now we find out who is following the
    rules.
        Ms. Chrisler, it's your turn.
        Ms. Chrisler. Thank you, Mr. Chairman, Senator Hoeven. I'm
    pleased to be here today.
        The mission of the OOC is simple: we work with the Congress
    to ensure a fair, safe, and accessible community for you, your
    staff, and your constituents.
        Before the Congressional Accountability Act (CAA) was
    passed, there were some procedures for employees to contest
    allegations of workplace discrimination, but there were no laws
    in place. Occupational Safety and Health Administration (OSHA)
    protections didn't apply and the legislative branch was not
    fully accessible to people with disabilities. But all that
    changed with the enactment of CAA in 1995. The Congress sought
    to give employees an avenue of redress for their claims of
    discrimination, to hold itself out as a premiere employer, and
    to demonstrate accountability to its constituents. It was the
    right thing to do.
        The CAA established the OOC, which performs the work of the
    Equal Employment Opportunity Commission, Federal Labor
    Relations Authority, OSHA, and several departments of several
    divisions of the Department of Justice and the Department of
    Labor. We do a lot of work with a little money. Because our
    work can involve contentious issues, it may be difficult to see
    the value that we bring. So, let me explain how the work we do
    is crucial to the work you do.
        On average, more than 90 percent of the discrimination
    claims presented to the OOC are resolved within our
    administrative procedures. Without these procedures, the
    Congress would be seeing many more cases proceed to public
    litigation or to the press.
        OOC's Americans with Disability Act pre inspection of the
    CVC allowed for the identification of dozens of access barriers
    that were corrected more quickly and at a lower cost than if
    OOC had not been involved. In addition, since the 109th
    Congress, OOC has facilitated a 60-percent reduction in safety
    and health hazards affecting legislative branch employees, from
    13,140 hazards in the 109th Congress to 9,200 hazards in the
    110th Congress and 5,400 hazards in the 111th Congress.
        The numbers dropped so drastically because of the skill and
    the dedication of our inspectors, the technical assistance and
    education we provide, and the collaboration and cooperation of
    the employing offices. The work of the OOC and the AOC on the
    improvements in the power plant utility tunnel speaks volumes
    to the shared efforts in this community to improve safety and
    health in your backyard. So, you see, the work that we do
    complements the work that you do. We're just asking for the
    funding to do it.

                     OOC deg.COST-CUTTING MEASURES

        Over the last two appropriations cycles, OOC has worked to
    keep its funding requests at a minimum, resulting in a shortage
    of necessary funds. In fiscal year 2011 we didn't request
    funding for an inspector that we needed to develop the risk-
    based inspection and abatement approach that you asked us to
    institute. Instead, we requested that OSHA provide a
    nonreimbursable detailee. Budget cuts prevented that from
    happening, but we continued to keep our requests low and we
    didn't ask for the funding.
        We also didn't ask for the funding for an online training
    tool for Members' staff that would save your staff time, money,
    and travel in educating on the CAA.
        We mentioned last year that cuts to our funding would
    impact our operations, and it has. We've had to lay off an
    attorney. We've had to cut inspector hours by nearly 50
    percent. We've eliminated technical assistance that we provide
    to employing offices. We've reduced the rates of our hearing
    officers. We've eliminated training for all OOC employees and
    travel for our nonboard members. We've reduced maintenance on a
    case tracking system that continues to crash, and we limited
    travel for board members to Washington, DC to conduct board
    business. We've cut back on the purchase of supplies and
    information technology equipment, and we've reduced basic
    custodial services.
        So, we've tightened our purse strings just like every other
    agency and we've lived with the funds that we've been
    appropriated. But the job we've been doing is not the job you
    deserve. Without restoring some of the cuts to the OOC, the
    Congress will face more claims in the public forum. Employees
    will seek remedies through the media. Workplace hazards will
    jeopardize working conditions and emergency evacuations and
    barriers may prevent your constituents from accessing your
    offices.

                        OOC deg.FUNDING REQUEST

        If funded as requested, OOC will be able to add one safety
    and health inspector. Now, that might not seem like a lot, but
    with this inspector we'll be able to further implement the
    risk-based inspection and abatement approach that will save
    money in the long run. We'll be able to identify barriers to
    the public access for people with disabilities. We'll be able
    to keep under contract our current pool of distinguished
    mediators and hearing officers which will maintain the
    integrity of our dispute resolution program.
        Our request for an additional $389,000 is minimal. We
    service 30,000 employees and cover 18 million square feet of
    work space in the Washington, DC metropolitan area alone. Our
    requested funding is tiny compared to the job we do, yet this
    funding is critical to the operations of our agency and to the
    services we can provide to you that make your workplace
    accessible, fair, and safe.

                               PREPARED STATEMENT

        On behalf of the board of directors and the entire staff of
    the OOC, I thank you for allowing us to appear before you and
    for your support of the agency.
        [The statement follows:]
                    Prepared Statement of Tamara E. Chrisler
        Mr. Chairman, Senator Hoeven, and distinguished members of the
    subcommittee, I am honored to appear before you, representing the
    Office of Compliance (OOC). Joining me today are General Counsel Peter
    Ames Eveleth; Deputy Executive Director Barbara J. Sapin; Deputy
    Executive Director John P. Isa; and Budget and Finance Officer Allan
    Holland. Collectively, we present to you OOC's request for
    appropriations for fiscal year 2013, and we seek your support for our
    request.
        Before I go into our appropriations request, I'd like share a
    little about the work of OOC and the value we add to the congressional
    community.
      ooc deg.history of the congressional accountability act of
                       1995 and the office of compliance
        The mission of OOC is simple: we work with the Congress to ensure a
    fair and safe workplace for Members, their staff, and their
    constituents. The Congress saw fit in 1995 to apply workplace laws to
    the legislative branch, and the congressional workplace is a better
    environment because of that decision.
        Before the Congress enacted the Congressional Accountability Act of
    1995 (CAA), there were certain administrative procedures in place for
    employees to contest allegations of workplace discrimination, but there
    were no laws protecting employees from discrimination. The majority of
    staff with allegations of discrimination either remained silent, let
    bad feelings fester, or made their concerns public, seeking remedies
    through the media. None of those approaches was ideal for resolving
    workplace claims of discrimination, and none ensured employees of the
    legislative branch a fair system to address their concerns. Frequently,
    ``remedies through the media'' was the most effective approach for an
    employee.
        Prior to 1995 and the enactment of the CAA, Occupational Safety and
    Health Act (OSHA) protections did not apply to the legislative branch,
    and, unlike with allegations of discrimination, there were no internal
    controls to ensure the application of OSHA protections. Consequently,
    many employees--including our electricians, landscapers, and utility
    tunnel workers--worked without the protections that apply in the
    private sector and executive branch to help prevent harmful, and
    sometimes deadly, results.
        Also prior to the CAA's passage in 1995, the legislative branch was
    not fully accessible to the public. Constituents with disabilities
    often confronted substantial barriers when trying to enter
    congressional buildings. The Americans with Disabilities Act required
    public facilities such as schools and hospitals to provide access for
    people with mobility, vision, hearing, or other impairments. But people
    with disabilities were not guaranteed access to the very Senators and
    Congressmen who were their elected representatives. With the passage of
    the CAA, they now enjoy full access to committee proceedings, or to
    observe debate in the Senate or House.
        The Congress passed the CAA in 1995 with nearly unanimous,
    bipartisan support. In doing so, the Congress sought to give employees
    an avenue of redress for their claims of discrimination; to hold itself
    out as a premier employer subject to the same responsibilities and
    employee protections as private sector employers; and to demonstrate
    accountability to its constituents. It was the right thing to do.
        The CAA established OOC. With a five-member nonpartisan board of
    directors, four appointed executive staff, and a modest pool of
    talented and dedicated employees, OOC performs the work of the Equal
    Employment Opportunity Commission, the Federal Labor Relations
    Authority, the Occupational Safety and Health Administration, and
    several divisions of the Department of Justice and the Department of
    Labor (DOL). We perform our duties independently, efficiently,
    collaboratively, and cost effectively.
          ooc deg.the value of office of compliance services
        Much of the work of the OOC can involve contentious issues:
      --employees alleging discrimination or unsafe working conditions;
      --people with disabilities alleging barriers to access; and/or
      --veterans seeking credit for service in applying for legislative
            jobs.
        Unlike the services provided by other agencies (e.g. beautifying
    efforts of the Architect of the Capitol, security efforts of the United
    States Capitol Police, and the research services provided by the
    Library of Congress), the value of the services provided by OOC may not
    be so easily recognized. So, let me explain the crucial nature of the
    work we do.
        Because of the CAA and the OOC, allegations of discrimination in
    the congressional workplace can now be addressed confidentially and
    comprehensively. Professional counselors well-versed in the substantive
    protections of the CAA can help an employee work through a claim
    without disrupting the employing office's work environment. These
    objective and neutral counselors can also be helpful to an employing
    office when an office contacts the OOC for help in resolving an issue
    before it disrupts the workplace. During confidential mediation, a
    certified and neutral third-party will meet with an employee and the
    employing office to facilitate a mutually acceptable solution to a
    problem.
        On average, more than 90 percent of claims presented to our agency
    are resolved within our administrative procedures. It is fair to say
    that without the continued effectiveness of these statutorily mandated
    programs, the Congress would be seeing many more cases proceed to
    litigation or to the press.
        Due to the passage of the CAA, the 30,000 employees of the
    legislative branch can perform their duties with the same OSHA
    protections as private sector workers across the country. OOC safety
    and health staff inspect workplaces to identify hazards so they can be
    remedied before accident or injury occurs. Since the 109th Congress,
    when OOC began conducting comprehensive safety and health inspections
    of workplaces in the Washington, DC metropolitan area, our safety and
    health staff have facilitated a 60-percent reduction in the safety and
    health hazards affecting legislative branch employees. In the 109th
    Congress, our inspectors identified 13,140 hazards. In the 110th
    Congress, there were 9,200 hazards identified; and in the 111th
    Congress, there were 5,400 hazards identified. This reduction is due in
    large part to the skill and dedication of our inspectors, the technical
    assistance and education we provide to employing offices, and the
    collaboration and cooperation of employing offices in abatement
    efforts.
        When the Congress enacted the CAA, it guaranteed for the first time
    that all members of the public, including people with disabilities, had
    access to legislative branch facilities. At the request of this
    subcommittee and its counterpart in the House, our inspectors performed
    an Americans with Disabilities Act (ADA) ``preinspection'' of the
    Capitol Visitor Center (CVC) before its December 2008 opening. OOC
    inspectors identified dozens of access barriers in CVC's 580,000 square
    feet, involving doors, ramps, restrooms, dining areas, and other
    facilities. Because our team was brought in before the contractors had
    finished their work, many of the barriers were corrected more quickly
    and at lower cost than might otherwise have been the case. As a result,
    CVC welcomes hundreds of thousands of visitors every year and offers
    comprehensive, barrier-free access to all.
        As is clear, services provided by OOC minimize disruption to the
    important work you do on behalf of the American people. These services
    help to create the workplace envisioned by CAA. We are required to
    resolve workplace rights issues quickly so that the essential work of
    the legislative branch can continue. We are required to identify safety
    and health hazards--including emergency evacuation--so they can be
    corrected before an employee, Senator, or Representative is injured. We
    are required to ensure public access to the legislative branch for all,
    including people with disabilities. We are required to educate the
    congressional community on the rights and responsibilities provided in
    CAA. We recognize the positive impact that these statutory mandates
    have on the congressional community, and we are asking for the funding
    necessary to continue this essential work.
            ooc deg.necessary funding for fiscal year 2013
        For fiscal year 2013, OOC is requesting a total of $4,206,000: 12
    percent less than our fiscal year 2012 appropriations request and 10.19
    percent ($389,000) more than our fiscal year 2012 enacted funding level
    of $3,817,000. This small requested increase restores a portion of the
    13.1-percent reduction in funding OOC has absorbed over the last 2
    fiscal years: 6.7 percent in fiscal year 2011, and 6.4 percent in
    fiscal year 2012.
            ooc deg.what we have not requested in the past
        Mindful of the fiscal constraints facing the Federal Government,
    over the last two appropriations cycles, OOC has worked to keep its
    funding requests to a minimum, resulting in a shortage of necessary
    funds.
        During fiscal year 2011, OOC worked to develop the risk-based
    inspection and abatement approach that the conference committee on
    fiscal year 2010 legislative branch appropriations directed OOC to
    institute. Developing and implementing that approach required an
    additional safety and health inspector, as risk-based inspections are
    more complex than the wall-to-wall inspections we had performed
    previously. We didn't request funding for that purpose. Instead, we
    renewed our fiscal year 2010 request to OSHA to detail one or more
    safety and health inspectors on a short-term, nonreimbursable basis, to
    provide temporary inspection assistance at no additional expense to
    OOC. As in fiscal year 2010, however, budget constraints continued to
    prevent DOL and other agencies from supplying nonreimbursable
    detailees. Because we had been advised that no detailee would be
    available in fiscal year 2010, fiscal year 2011, or the foreseeable
    future, we did not make a third request in fiscal year 2012. In fiscal
    year 2012, the need for an additional inspector was still pressing,
    yet, in an effort to present a minimal budget, we refrained from asking
    this subcommittee for the necessary funding.
        In addition, to keep our budget requests low, we previously have
    not requested funding for many initiatives on workplace issues that
    would benefit agencies, employees, and Member offices. For example, to
    save time, money, travel, and to provide privacy to employing offices
    and their staff, offering an online training program directly linked to
    OOC's Web site would be the most effective means of educating the
    covered community on rights and responsibilities under the CAA.
    However, because of the need to minimize our budget requests, we have
    not asked for funding for this type of training.
                   ooc deg.our cost-cutting measures
        OOC has been sensitive to the challenges faced by this
    subcommittee, and we have kept our budget requests low. In order to
    continue pursuing our mission with the funding provided to us, we
    reorganized our staff and cut back services. We were required to lay
    off an attorney, which left a gap in our case-handling ability. We have
    had to cut inspector hours by nearly 50 percent since fiscal year
    2010--leaving many workplaces, including Member offices, uninspected.
    We have been forced to eliminate the technical assistance we provide to
    employing offices, as those hours are needed to perform inspections of
    high-hazard areas. We have reduced the rates paid to our hearing
    officers, established a flat per-case rate for our mediators, and
    brought some mediations in-house. We have eliminated training for all
    employees and travel for non-board members. Because of the reductions
    in funding, we have had to reduce maintenance on a case tracking system
    that continues to crash. We have limited travel for our board members
    (all but one of whom lives outside the Washington, DC metropolitan
    area), cut back the purchase of supplies and information technology
    equipment, and reduced certain basic custodial services. We have
    tightened our purse strings, just like every other agency, and figured
    out a way to get the job done with the funds we have been appropriated.
        The job we've been doing, however, is not the job you deserve.
    Budget cuts seriously threaten our ability to ensure the safety and
    accessibility of the congressional workplace and the confidential
    resolution of workplace disputes.
            ooc deg.what we will do with requested funding
        The funding requested in fiscal year 2013 will restore a portion of
    the funding that was cut over the last 2 fiscal years. At the requested
    level for fiscal year 2013, the OOC will be able to add one safety and
    health inspector, which will help us implement the risk-based
    inspection and abatement approach that you asked us to undertake, and
    evaluate additional legislative branch facilities to identify any
    barriers to public access for people with disabilities. We will also be
    able to maintain our current pool of distinguished mediators and
    hearing officers, ensuring the continued integrity of our confidential
    dispute resolution program.
        The remainder of the increase will allow the agency to meet its
    obligations under inter-agency service agreements and replace the
    dysfunctional case management system. We are still not asking for
    everything we need, but we are asking for additional funding so that we
    can restore some of the critical services that make the legislative
    branch a more accessible, fair, and safe workplace.
                                   conclusion
        The work of OOC adds value to the congressional campus--that is
    clear. Because of the Congress' decision to apply workplace rights
    laws, safety laws, and public access laws to the legislative branch,
    the congressional community is closer to being in line with executive
    branch agencies and the private sector. Funding OOC at the requested
    level will help ensure that these laws can be applied as the Congress
    envisioned in the CAA.
        OOC's request for an additional $389,000 is minimal--less than 1
    percent of the fiscal year 2012 enacted funding level of any of the
    agencies for which we provide services. We provide services to 30,000
    legislative branch employees, whose workplaces span nearly 18 million
    square feet in the Washington, DC metropolitan area alone. Our
    requested funding is an infinitesimal sum in light of the enormous
    responsibility placed upon us by the CAA. Yet, this funding is critical
    to the operations of our agency and to the services we can provide to
    you.
        On behalf of the board of directors and the entire staff of the
    OOC, I thank you for your support of this agency. I would be pleased to
    answer any questions.

        Senator Nelson. Thank you. I understand that if you don't
    have enough personnel, you can't get the job done. I do
    understand that, and that inspections are employee intensive
    just by their very nature.
        Instead of adding staff, is it possible to go through the
    process and ask how often you're performing inspections,
    whether you could extend the time frame reasonably? Is there a
    study that would do that? I know you can just make a decision
    of, well instead of safety every 18 months we'll do it every
    24. But are there any studies that would be helpful to show
    that perhaps by extending 1 month or 2 months or something like
    that, you reduce the work load but you don't increase the
    safety hazard?
        Ms. Chrisler. It's a very good question, Mr. Chairman, and
    thank you for it.
        As we've developed our operational plan for fiscal year
    2011 and fiscal year 2012 when we've absorbed the cuts that
    we've absorbed, we've discussed that. We've discussed how we
    can do our job with less money. We've discussed how we can
    conduct the inspections. We've discussed, you know, how we
    address the employees that seek our services. When employees
    come to our office and request counseling or mediation, we
    don't turn them away. We have to provide the services to the
    employees.
        In some of the discussions that we had with respect to our
    inspections, we've talked about how the lack of resources will
    delay inspections. And it's not as much about pushing an
    inspection off for 1 month. You put the nail right on the head.
    It is very resource intensive. And with respect to the risk
    based approach that you've asked us to implement, it's not a
    matter of just getting a lot of inspections done. It's a matter
    of getting the inspections done right.
        So, with this risk based, we take a look at the programs
    that are involved. We make sure that we are focusing our
    attention on high hazard areas; the Power Plant, machine shops,
    and elevator pits. We look to see whether the employees are
    wearing the proper protective equipment and whether they are
    communicating, utilizing the proper hazard communications, and
    ensuring that they're performing their jobs properly.
        So, it's intensive in the sense that we review programs. We
    watch employees perform their jobs. We have to make sure that
    they're doing their jobs in accordance with the standards. So,
    there's a lot involved in this, but it's cost efficient because
    when employees are performing their jobs the way they're
    supposed to, then you're looking at less time where employees
    are out because of illness or injury due to a work related
    injury.
        You're looking at less workers' compensation. You're
    looking at increased productivity. So, it's cost effective to
    approach inspections this way.
        Senator Nelson. Yes, and it's also very difficult to equate
    directly how the inspections might have not avoided an injury
    or something like that. We all understand it. It's common
    sense, understandable that safe work environments just pay for
    themselves, although sometimes hard to demonstrate it.
        But it would seem to me that on a risk-based system that
    there would be some give and take on how often and where and
    how you do it to where you could save one position or something
    like that.
        In other words, I'm not quarreling that you think you need
    an additional full-time equivalent (FTE) or that you want a
    couple of other FTEs. I do understand that. But in lieu of that
    in tight times, I'm just wondering if you--if you could look--
    go back to the drawing board and look a little bit more
    closely. I always try to sharpen my pencil just a little bit
    more to see if there is a way to do that because I'm not trying
    to push you into moving beyond safety requirements and good
    standards as I am saying, could you just keep working with
    those just a little bit more? I mean, during tight times, I
    don't think we have to end up with a less safe workplace if an
    inspection is every third time or every second time unless
    there is an indication that that's how things become less safe.
        I just--there's a point where it's--there's a tipping
    point. We understand that.
        Ms. Chrisler. Right.
        Senator Nelson. I just want to come as close to the tipping
    point as I can be and as judicious with the taxpayers' dollar
    as I possibly can. That's all I'm asking.
        Ms. Chrisler. And as do we. And we have reached the point
    of that tipping point. We have actually reduced our inspector
    hours. And it's not about the--as I mentioned before--pushing
    inspections back as much as it is having the people to do the
    work. We've reduced our inspection hours to the point where we
    have the equivalent of 1 1/2 contract inspectors doing the work
    that we need to get done.
        So, when we in fiscal year 2011 and fiscal year 2012 went
    back to the drawing board to make those cuts, we've cut and
    we've cut and we've cut. And now we're at the point where
    further cuts would significantly impede the work to be done.
        I was going to say something else. I can't remember what I
    was going to say.
        Just to use my colleague's analogy at the end of the table,
    we've cut through muscle and we've cut to the bone. And any
    further cuts will be cutting limbs at this point. We've cut our
    programs. We've cut our personnel. So, yes, we have been very
    mindful of being judicially responsible with the appropriations
    that we've been given, and we want to continue to do the job
    that we need to do with the least amount of money that we've
    been given.
        And, so, we again can go back to the drawing table because
    there is always more to cut. But at this point we are cutting
    to the point where we won't be able to do the work that we need
    to do.
        Senator Nelson. All right. Thank you.
        Senator Hoeven.
        Senator Hoeven. Thank you, Mr. Chairman.
        The main question that I have relates to public access and
    any barriers to public access for people with disabilities. I
    guess I'm just wondering, it looks like you're still in the
    process of going through, making that determination. But are
    there new facilities or something that is requiring you to do
    that, or changes in the facilities that requires you to do
    that? Because I would have thought that would have been done.
    So, unless there's some changes, I'm not sure I understand
    exactly why that's necessary.
        Ms. Chrisler. There are areas where it wasn't done and
    there are continual improvements that are being made. And those
    areas need to comply with ADA requirements as well. So, for the
    new construction, yes. For the new improvements that are made
    to the Canon building, the Longworth, and at some point the
    Senate office buildings as well; when those construction
    improvements are made, the resulting space has to meet the ADA
    requirements.
        Senator Hoeven. But wouldn't those ADA requirements be part
    of the new construction? In other words, to have that new
    construction you have to be ADA compliant when you build it.
    So, again, I'm still not quite understanding why you have to go
    back and review it.
        Ms. Chrisler. Right.
        Senator Hoeven. I think that's a requirement when you build
    it, isn't it?
        Ms. Chrisler. Well, sometimes those requirements are met
    and sometimes they're not.
        Senator Hoeven. So, it's going back and evaluating and
    making sure those requirements have been met?
        Ms. Chrisler. You know--yes. And with the construction of
    the CVC, we were brought into the process early, which was
    good, because we didn't have to go back to make the
    corrections. So, allowing OOC to assist and provide the
    technical assistance early in the construction is cost
    effective and it makes a lot of sense. And that's what we work
    with the AOC on. We work collaboratively to make sure
        Senator Hoeven. Excuse me. Is the AOC doing that on the
    front end?
        Ms. Chrisler. We remain in communication with each other
    and we work together to ensure that that's done in every
    instance where it can be done.
        Senator Hoeven. Right. So, if they're doing it on the front
    end, do you still have to go back and review it or not? That's,
    I guess, where I'm getting a little confused here.
        Ms. Chrisler. Well, as I mentioned, we don't always get in
    at the very beginning stages of the construction. Try as we
    might and working as collaboratively as we can, that's not
    always met. When it can be, we're there, like with the CVC, but
    other times we do have to go back and we work and we stay in
    communication with each other and we work as efficiently as we
    can.
        Senator Hoeven. Okay. That's really the only question I
    had, Mr. Chairman.
        Thank you.
        Senator Nelson. Thank you, Senator Hoeven.
        If we put together a process that if you are brought in at
    the front end to make certain that the requirements are all
    there in place and that you expect that they would be followed,
    and then get a certification from the AOC that those have been
    followed to the letter, and you spot-check from time to time,
    not that Mr. Ayers would do anything out of the ordinary, but
    just to make sure that the system is working that way. Could
    that result in perhaps fewer steps in the process?
        We want the process to work. It's got to be a protocol. It
    needs to be consistent. And if it is and everybody feels that
    the risk-based effort is being accomplished, is that a
    possibility?
        Ms. Chrisler. It sounds like a wonderful possibility that
    we could sit down and discuss.
        Senator Nelson. Yes. Well, that's what I'd like to have you
    do. It will put the AOC on the record, which I'm sure he
    wouldn't mind at all.
        No, I understand. You two are working very well together.
    It's a great improvement from when I first took over as
    chairman of this subcommittee, and I tell you what, I really
    appreciate that fact. It works better for all of us. And at the
    end of the day, it's a better system for the people who work
    here and the people who come here and do their business here.
        So, do you have any further comments or questions, closing
    comments?
        Senator Hoeven. Mr. Chairman, I guess the only further
    comment I have is I think we're going to be required to find
    more savings.
        So, I would just encourage you to go through and start
    prioritizing and give serious thought to where we can find some
    more savings. I'm pretty sure we're going to have to do that.

                OOC deg.ADDITIONAL COMMITTEE QUESTIONS

        That being said, you know, I really appreciate the work
    that you're doing, and I think everybody does. You're
    professional. You do an outstanding job. And, you know, we're
    going to do the best job we can working with you on this
    budget. Thanks for coming in today and for your testimony.
        Senator Nelson. I want to thank all of you as well for
    attending today's hearing.
        [The following questions were not asked at the hearing, but
    were submitted to the Office for response subsequent to the
    hearing:]
                   Questions Submitted by Senator John Hoeven
                     ooc deg.zero-based budgeting
        Question.. Since each of the agencies within the legislative branch
    were directed to develop and present fiscal year 2013 budget requests
    using a zero-based budgeting approach, I would like to hear from you
    about how this process worked within your agency.
        Was this a helpful process or a hindrance in developing the budget
    request?
        Were you able to find sustainable efficiencies that will result in
    continued savings over time, or one-time only savings?
        Is this a process you will be able to replicate for future budget
    requests?
        Answer. For the last seven appropriations cycles, the Office of
    Compliance (OOC) has utilized a zero-based budget approach to develop
    its annual appropriations requests. Each year, OOC reviews its current
    needs and evaluates whether prior initiatives or projects will continue
    in the next fiscal year to determine the amount of funds necessary to
    meet our mission. This approach allows OOC to develop its budget from
    the ground up, making a thorough assessment of its fiscal needs each
    appropriations cycle and prevents OOC from requesting funding that is
    no longer necessary. Over the years, we have found that this approach
    helps ensure that our appropriations requests are based on a continuing
    assessment of the most efficient ways to support OOC's substantive
    programs and statutory mandates. This process is necessary to ensure
    financial responsibility in developing a budget. Through utilizing the
    zero-based budget approach, OOC has enjoyed savings in the
    administration of the Office, from reduced supply purchases to savings
    on contracts with vendors and interagency agreements. OOC has also
    changed its business practices to increase our use of technology to
    disseminate educational materials and decrease our printing and
    distribution costs. As we have in the past, OOC will continue to
    utilize a zero-based budget approach as we develop future
    appropriations requests.
        ooc deg.voluntary early retirement authority/voluntary
                          separation incentive payment
        Question.. The Committee provided guidance in the fiscal year 2012
    appropriations legislation that each agency within the legislative
    branch should consider using Voluntary Early Retirement Authority/
    Voluntary Separation Incentive Payment (VERA/VSIP) in order to reduce
    salary costs to the agency.
        Were you able to utilize VERA/VSIP authority; and if so, was this a
    successful mechanism for reducing costs?
        Are those savings realized immediately, or in the out-years?
        Realizing that losing people who are eligible for retirement or
    early separation often means losing some of the best and brightest
    people with the greatest institutional knowledge within your
    organization, how have staffing reductions impacted OOC?
        Do you have succession plans in place that allow for a smooth
    transition of responsibilities?
        Answer. Although OOC was authorized to utilize VERA and VSIP
    programs, we were unable to offer these programs to any of our
    employees during fiscal year 2012, given the lack of necessary
    resources. Nor do we forsee a future ability to utilize VERA/VSIP
    authority as a means of reducing costs.
        VERA allows agencies that are undergoing substantial restructuring
    to temporarily lower the age and service requirements of employees in
    order to increase the number of employees who are eligible for
    retirement. The positions from which the employees retire would remain
    vacant, thereby resulting in a cost savings for the agency. VSIP, also
    known as buyout authority, allows agencies that are downsizing or
    restructuring to offer employees lump-sum payments up to $25,000 as an
    incentive to voluntarily separate. The success of both VERA and VSIP
    depend upon the savings incurred from lapsed salary of vacant
    positions. As an agency with a broad mandate, a budget of only $3.17
    million, and an employee complement of only 22 full-time equivalents
    (one of which is held by the Board of Directors), OOC cannot afford the
    personnel and financial costs associated with VERA and VSIP. We are not
    funded at a level where we can offer employees a pay-out to voluntarily
    separate. Nor do we have multiple layers of employees performing
    similar tasks to allow positions to remain vacant: when a position is
    vacant in OOC, the task either does not get completed or our already
    over-extended staff must absorb the additional duties. Practically
    speaking, a vacant position at OOC means forgoing the function of the
    position. Thus, an unfilled position means uncompleted work.
    Uncompleted work means essential services that are not provided.
        In short, given our severely limited personnel and fiscal
    resources, we cannot use VERA/VSIP programs to reduce costs.
        Question. Fiscal year 2013 budget requests. I realize that it is
    important for each agency to request what it believes is necessary in
    terms of funding for operations and projects without knowing how much
    funding will be available in the next budget cycle; however, it should
    be clear to everyone what path we are on given the fiscal situation
    still facing our country. Therefore it concerns me that each agency
    represented here today, except for the Open World Leadership Center,
    requested a budgetary increase for fiscal year 2013.
        What would be the impact to each of your agencies if you were held
    to the fiscal year 2012 enacted level of funding?
        What would be the impact of a reduction less than the fiscal year
    2012 funding level?
        At what funding level reduction could OOC no longer continue to
    provide the services you are required to provide without making
    significant changes to OOC and its mission?
        Answer. In responding to your questions regarding OOC's fiscal year
    2013 budget request, let us briefly give an overview of our statutory
    mandate.
                        ooc deg.agency overview
        The Congress established the Office of Compliance as an independent
    agency of the legislative branch to administer the Congressional
    Accountability Act (CAA).
    OOC deg.Confidential Dispute Resolution Program
        The Confidential Dispute Resolution program provides advice,
    information, confidential counseling and mediation, administrative
    hearing and appellate review services to employing offices and
    employees of the Legislative Branch. The demand for OOC services is
    driven by the needs of the covered community; delivery of these
    services is not discretionary, and must be provided in accordance with
    our statutory mandate and the strict timelines set forth in CAA.
    OOC deg.Education and Outreach Program
        Section 301(h) of CAA requires an education and outreach program to
    educate Members, agencies, and staff about their obligations, rights,
    and liabilities under the CAA and how to resolve workplace rights
    disputes through OOC's confidential processes. OOC implements this
    mandate by providing informational seminars and creating and
    distributing educational materials to employers and employees about
    statutory rights and responsibilities in the congressional workplace,
    such as posters, brochures and statistical reports about harassment,
    discrimination, disability, and veterans' rights, and family and
    medical leave. In addition, CAA requires the annual distribution of
    educational materials to home addresses of all employees. OOC
    previously sent an annual newsletter but now provides just a one-page
    notice of rights in order to reduce expenses. The notice of rights has
    been highly effective in educating employees about their rights and we
    have received positive feedback from Members who also have had
    questions about their obligations as employers.
        OOC also works with various agencies and both chambers of the
    Congress to provide educational resources and training at their
    request. These employers ask for this training not only to inform
    employees and managers about the law, but also to improve the workplace
    environment and to prevent workplace strife, embarrassing publicity,
    and costly litigation, which is ultimately paid for by taxpayers.
    OOC deg.Safety and Health
        Under the Occupational Safety and Health (OSH) Act provisions in
    section 215(e) of CAA, OOC is charged with conducting inspections of
    legislative branch facilities at least once each Congress. The Office
    of the General Counsel of OOC is responsible for administering certain
    provisions of the OSH Act, the public access provisions of the
    Americans with Disabilities Act (ADA), and the unfair labor practice
    provisions of the Federal Service Labor-Management Relations Act that
    were adopted by CAA and apply to most legislative branch employees.
        After receiving increased funding for OSH inspectors in fiscal year
    2006, OOC was able for the first time to conduct comprehensive wall-to-
    wall inspections of all facilities on Capitol Hill (other than district
    or State Member offices); consequently, during the 110th Congress, we
    were able to inspect more than 96 percent of the 17 million square feet
    occupied by legislative branch offices in the metropolitan Washington,
    DC area. Similarly, 96 percent of nearly 18 million square feet was
    inspected during our 111th Congress inspections. These comprehensive
    inspections led to a substantial reduction in the number of serious
    hazards in legislative branch workplaces, from 13,141 in the 109th
    Congress to 5,400 in the 111th Congress.
                ooc deg.confidential dispute resolution
        Question. What would be the impact to each of your agencies if you
    were held to the fiscal year 2012 enacted level of funding?
        Answer. Since fiscal year 2010, the confidential dispute resolution
    program has had a steady reduction in funding. To meet these reduced
    funding levels, OOC has had to modify how it delivers services. For
    example, in fiscal year 2011, because of reduced resources for contract
    mediators and as a cost-savings initiative, OOC managers (who are
    trained in conducting mediations) took on the additional task of
    mediating a large number of cases. To further reduce expenditures, OOC
    restructured fiscal year 2012 vendor contracts in a manner which will,
    in effect, limit the time available in mediation to resolve conflicts
    voluntarily and confidentially. OOC also reduced the rate it pays to
    independent hearing officers.
        The current funding levels do not permit OOC to update or replace
    its rudimentary case management system. The current case management
    system was obtained to replace a rapidly failing and unsupported system
    that was supposed to manage case docketing and correspondence with
    parties in dispute resolution proceedings. It was also anticipated that
    this system would generate mandated annual statistical reports. The
    funds available at the time we procured the system were minimal, so the
    system we were able to procure only met the minimal needs of OOC. The
    continued lack of funding has made it impossible for OOC to afford the
    updates necessary to fully develop the system, especially to retrieve
    reliable reporting, trending, and cost information. This information
    would be used to support our reporting mandate, for educating the
    covered community, and for continuous review of expenses to enable OOC
    to engage in necessary cost-cutting measures.
        OOC has had to defer maintenance on noncritical operations for
    several years. We have been unable to purchase adequate office
    supplies, including materials needed to properly store or destroy
    records, resulting in overcrowding and reduced efficiency in our core
    operations areas, and necessitating time-consuming workarounds. There
    has been insufficient funding for counselors and legal staff to receive
    the continuing education needed to remain current with the developing
    law in this area; staff have had to pursue this education on their own.
    Current funding levels also prevent OOC from moving to an electronic
    filing system that would create efficiencies at all levels--for OOC and
    the parties who utilize its services.
        Continued funding at the fiscal year 2012 level will perpetuate
    insufficiencies in basic OOC operations. It will require OOC to
    continue to perform its dispute resolution mandate with inadequate
    staffing, equipment, and supplies, and extend the practice of regularly
    taking employees away from their core function to perform additional
    duties, further constraining OOC's ability to perform its mission.
    Continued reduction in fees for mediators and hearing officers creates
    the possibility of losing and not being able to replace talented
    professionals. Consequently, OOC runs the risk of not having a
    sufficient pool of qualified experts available to handle all the needs
    of the covered community, including confidential adjudication of staff
    claims against Member offices, leading to frustrated employees seeking
    resolution through the media.
                    ooc deg.education and outreach
        Over the course of the last 2 fiscal years, OOC cut its educational
    and outreach program budget by 46 percent. Under its current fiscal
    year budget, OOC has allotted $30,000 to educate and provide outreach
    services to agencies, Members of Congress, and 30,000 employees
    nationwide; that amounts to $1 per employee comprehensively for our
    education and outreach services. These funds are insufficient and have
    not allowed OOC to provide basic programs needed to educate the
    congressional community.
        Because of budget cuts, OOC has not been able to maintain a
    technologically current Web site. OOC's Web site receives 3,000 visits
    per month. The site is aging and becoming outdated, and does not
    contain current Wordpress 3.3 technologies that would enhance its
    functionality and reduce its service costs.
        Requests for new training and seminars continue to increase in
    fiscal year 2012. OOC has received numerous requests from employers
    (e.g., Office of the Architect of the Capitol, United States Capitol
    Police, United States Commission on International Religious Freedom),
    labor unions, and employees to provide training on family and medical
    leave requirements, how to handle reasonable accommodation requests for
    employees with disabilities, effective internal mediation processes for
    employment disputes, and harassment prevention. Under current budget
    conditions, OOC will not be able to address most of these needs.
    Producing effective training programs requires significant time for
    preparation and research by OOC staff. Where appropriate, tailoring
    materials to each particular workplace may be necessary. OOC's current
    resources will not support this service. Furthermore, effective
    training courses often require the use of instructive videos that
    provide visuals and situational scenarios. OOC's budget will not allow
    for the purchase of these videos.
        One of the most efficient, broad-reaching, and cost-effective ways
    to provide training to the Congress and its workforce is through online
    resources. OOC has been researching ways to provide online training
    courses not just for agencies, but also for Member offices so that
    chiefs of staff and other managers can properly address important
    issues, such as family and medical leave and how to prevent harassment
    in the workplace. OOC does not have sufficient funding to provide
    online resources as part of our education and outreach program.
                       ooc deg.safety and health
        In response to the continuing reductions to OOC budget commencing
    in fiscal year 2011, OOC has substantially cut the scope of its safety
    and health and ADA public access programs mandated by CAA by, among
    other measures, reducing safety and health inspector hours; reducing
    and limiting constituent-requested ADA inspections; delaying and
    limiting investigations of employee requests for safety and health
    inspections and constituent requests for inspections of barriers to
    public access under the ADA; and discontinuing requested technical
    assistance to employing offices, except in very limited circumstances.
    In response to further cuts in fiscal year 2012, we continued to reduce
    services and laid off a staff attorney whose work was principally
    related to fire and life safety conditions on Capitol Hill. During
    fiscal year 2012, OOC anticipates being able to inspect most high-
    hazard workplaces, but only some high-risk operations. We have had to
    cut back inspections of safety procedures and programs mandated by CAA
    by limiting our reviews to two programs and not inspecting others such
    as lockout/tagout programs addressing hazards relating to maintenance
    of machines, electrical repairs, and other operations. These safety
    programs are designed to provide protections to employees engaged in
    higher-risk operations. Further, shortly after the beginning of the
    112th Congress, OOC no longer had sufficient resources to inspect
    almost all offices and administrative spaces, including Member offices;
    the only offices we have inspected or will inspect during this Congress
    are located in the remaining Page Schools, the Library of Congress
    Taylor Street facility for the blind, National Library Service for the
    Blind and Physically Handicapped, and a limited number of areas of
    special emphasis. We expect this trend to continue in fiscal year 2013
    if funded at the fiscal year 2012 level.
        The reduced level of funding in fiscal year 2011 and again in
    fiscal year 2012 has required us to substantially reduce the number and
    scope of our inspections. Although to date our high-risk priority
    approach to inspections has successfully identified and led to the
    correction of many serious hazards, we anticipate that by the end of
    fiscal year 2012, we will only be able to inspect roughly 25 percent of
    the nearly 18 million square feet in the Washington, DC metropolitan
    area. Consequently, 13.5 million square feet will not be inspected in
    the current fiscal year, as well as in fiscal year 2013, if funding
    levels remain the same. ADA public access inspections most likely would
    have to be eliminated or reduced significantly, notwithstanding CAA
    requirements.
        Several recent studies have shown that Federal OSHA inspections
    reduce actual injuries in manufacturing facilities by roughly 20
    percent in the 2 years following the inspection.\1\ Unlike the
    Occupational Safety and Health Act, CAA does not require employing
    offices to record or report injury statistics. Thus, we are unable to
    determine whether or to what degree our inspections have reduced
    occupational injuries in the legislative branch. We can, however,
    report a parallel and significant reduction in identified hazards once
    OOC commenced comprehensive wall-to-wall inspections in all Capitol
    Hill covered facilities during the 110th Congress: from 13,141 hazards
    in the 109th Congress to 5,400 in the 111th Congress. In establishing
    CAA and safety and health requirements, the Congress thought that these
    inspections should be conducted once every 2 years. Thus, delaying
    inspections, as was discussed at the March 1, 2012 appropriations
    hearing before the Senate subcommittee, could have a detrimental impact
    on the safety and health of legislative branch employees.
    ---------------------------------------------------------------------------
        \1\  Haviland et al., ``Are there Unusually Effective Occupational
    Safety and Health Inspectors and Inspection Practices?'', RAND Working
    Paper March 2012, http://www.rand.org/content/dam/rand/pubs/
    working_papers/2012/RAND_WR914.pdf; Gray et al., ``Does Regulatory
    Enforcement Work? A Panel Analysis of OSHA Enforcement, Law and Society
    Review'', 1993,27:177-213.; Mendeloff et al., ``The Declining Effects
    of OSHA Inspections in Manufacturing, 1979-1998, Industrial and Labor
    Relations Review, 2005'', 58:571-586; Haviland, et al. ``What Kinds of
    Injuries Do OSHA Inspections Prevent?'', Journal of Safety Research,
    2010, 41:339-345; Burns et al., ``A New Estimate of the Impact of OSHA
    Interventions on Manufacturing Injury Rates, 1998-2005'', American
    Journal of Industrial Medicine, 2011.
    ---------------------------------------------------------------------------
        In light of the above studies, OOC would be remiss in doing
    anything other than what CAA requires, that is, to inspect such
    workplaces at least once each Congress. Yet, due to budget cuts, we
    have been unable to inspect fully many operations that potentially
    could cause serious injury or illness. There are many high-risk spaces
    and operations (e.g., machine shops, electrical transformer rooms, the
    Capitol Power Plant) that we have been unable to inspect fully. We are
    concerned that areas not inspected will return to the unsafe conditions
    in which we found them in the 109th Congress.
        In past years, we have conducted both OSH and ADA pre-inspections
    before a new facility opened; in the Capitol Visitor Center, we
    identified hundreds of conditions that were not consistent with OSH and
    ADA standards. The pre-inspection enabled correction of these
    deficiencies before the facility was opened to the public, thereby
    avoiding potential disruption to visitors and employees. Further, by
    identifying conditions that do not comply with OSH and ADA requirements
    before the work is approved by the Government's project manager, the
    contractor who is at fault--not the Government--can be required to
    absorb the cost of remedying such conditions. The former FDA building
    is scheduled to open in fiscal year 2013; absent sufficient resources
    more than our fiscal year 2012 funding level, OOC will be unable to
    conduct a pre-inspection of this facility or areas in other existing
    facilities that are continuously undergoing construction or renovation
    where compliance with new ADA standards is required.
        With level funding in fiscal year 2013, OOC would be unable to
    restore any of the services previously discontinued, including
    technical assistance, which currently is strictly limited to requester-
    initiated inspection cases and in the course and scope of the limited
    biennial inspections we are currently able to conduct. Investigation of
    employee requests for safety, health and ADA inspections could be
    further delayed; in fiscal year 2011, those requests involved serious
    hazards such as malfunctioning fire alarms, delayed emergency
    evacuation of people with disabilities, and improper handling of
    asbestos-containing materials, among others.
                ooc deg.confidential dispute resolution
        Question. What would be the impact of a reduction less than the
    fiscal year 2012 funding level?
        Answer. The program cannot withstand further reductions. A
    reduction less than fiscal year 2012 funding levels would severely
    obstruct the mission of OOC which, by law, must provide confidential
    dispute resolution services to the covered community. OOC has
    consistently sought funding necessary to ensure that it could meet the
    needs of its constituency. Despite that, the dispute resolution
    program's funding level in fiscal year 2012 is approximately 20 percent
    less than what it was in fiscal year 2010. Further, reductions would
    endanger the core function of this mandated program, leaving it without
    the resources to make necessary updates to its docketing and reporting
    system, to continue to provide the covered community with sufficient
    mediation services, to maintain the pool of quality jurists who ensure
    fair administrative hearings, and to maintain current staffing levels.
    Continuing reductions in funding could very well lead to a reduction or
    even a denial of mandated services.
        A further reduction in funding levels will negatively impact the
    dispute resolution program's basic operations of managing the docket,
    generating reports and providing confidential counseling. It will
    jeopardize OOC's ability to provide timely and confidential mediation
    and hearing processes for employees and employing offices who request
    needed services. Mediators' contracts cannot be reduced any further and
    should we be required to make additional cuts to hearing officers'
    contracts, we risk losing experienced, respected judges. If OOC is
    forced to suspend administrative hearings, or forgo written transcripts
    of hearings, employees may elect to take their complaints to the media
    or to Federal court rather than avail themselves of OOC's confidential
    hearing process. Utilizing a public forum to resolve employment
    disputes often drags the process out and increases costs. Any public
    exposure could adversely impact Members and the lives of employees
    seeking redress, and disrupt the operations of employing offices.
                    ooc deg.education and outreach
        Further reductions to our education and outreach program will force
    OOC to decline all newly requested training and to pare down current
    training. Depending on the size of the cut, OOC may also have to
    terminate the notification of rights mailing to employees, which
    consumes approximately 30 percent of our education and outreach budget.
    Eliminating this mailing would be detrimental to the services provided
    to Members and their staff because the notification of rights is the
    most effective means OOC has to provide direct and basic information
    about CAA to the congressional workforce. The notification was created
    in response to a recent baseline survey conducted by the Congressional
    Management Foundation at the request of OOC, which found that most
    congressional employees had limited-to-no knowledge of their workplace
    rights or of OOC. See fiscal year 2009 OOC ``Annual Report, State of
    the Congressional Workplace'', p. 38. This mailing is an essential part
    of our outreach mandate. Indeed, in fiscal year 2010 congressional
    stakeholders asked OOC to work with one of its oversight committees to
    increase its education and outreach efforts, because CAA is most
    effective when all are educated on the laws and the protections that
    govern the Congressional workplace. Receiving cuts to our already-
    underfunded program would be ruinous to this effort.
                       ooc deg.safety and health
        In view of the effects of previous funding reductions on our
    programs, further reduction from the fiscal year 2012 level would be
    devastating to OOC's safety and health and public access work. Still
    more layoffs would be inevitable. OOC does not have backup staff with
    the time and technical expertise to perform work on an extended basis
    for someone who has been laid off. Consequently, OOC would be incapable
    of meeting its very specific statutory obligations. This Office
    currently has a reduced complement of inspectors to perform all
    biennial and requested OSH and ADA inspections: one full-time and two
    part-time OSH inspectors and one full-time inspector whose time is
    divided between part-time ADA and occasional OSH inspection duties as
    well as administrative/technical responsibilities in support of both of
    these programs. A reduction less than fiscal year 2012 levels would
    mean that more legislative branch facilities would go uninspected for
    safety and health hazards. With a further budget-driven reduction in
    inspector resources, OOC would no longer have the time and variety of
    specialized technical experience necessary to conduct inspections of
    employing office safety and health procedures and programs, or the
    inspections of high-hazard workplaces, such as the Capitol Power Plant.
    Like attorneys and physicians, inspectors do not possess specialized
    expertise in every aspect of safety and health. The loss of needed
    expertise through further reduction in our inspector complement would
    have significant detrimental effects on our program and on the health
    and safety of the legislative branch workforce as a whole. Barriers to
    public access for people with disabilities would likewise go
    unidentified and unremedied. We would no longer be able to process all
    requests by employees for OSH and ADA inspections, and there would be
    further extended delays for some inspections. Technical assistance
    would be further reduced if not eliminated.
        Successful inspections depend on a level of collaboration and
    communication between OOC and the employing offices. This approach has
    greatly reduced the friction often observed between regulators and the
    regulated in other venues. Instead of issuing citations whenever a
    finding is identified, as is done in the private sector, OOC General
    Counsel ordinarily issues hazard findings that may be contested by the
    employing office. If this does not succeed in achieving an agreement to
    abate the hazard, a citation may then be issued, followed by a
    complaint. This pre-citation procedure fosters greater cooperation in
    most instances, but it is a voluntary procedure not required under CAA
    or OSH Act. OOC has also instituted various practices and procedures to
    foster better communications respecting OSH and ADA inspections,
    findings, abatement, and enforcement actions.
        These voluntary efforts by OOC are very time and resource
    intensive. Consequently, further reduced resources might force OOC to
    adopt a less labor-intensive, more enforcement-focused regimen,
    including unannounced inspections and more frequent use of citations
    rather than hazard findings to expedite hazard abatement.
        Question. At what funding level reduction could OOC no longer
    continue to provide the services you are required to provide without
    making significant changes to OOC and its mission?
                ooc deg.confidential dispute resolution
        The confidential dispute resolution program cannot withstand
    further reductions in funding. The program can no longer defer basic
    maintenance on essential systems, equipment and services such as its
    case management system, computer, and teleconferencing equipment,
    without jeopardizing its operations. OOC has no discretionary programs
    from which it can reallocate funds in order to support its core
    services and no functional redundancies to sustain any further cuts in
    staffing or with contract mediators and hearing officers. Once we cut
    employees or contractors, there is no one else to perform their jobs on
    a continuing basis. OOC has already modified the delivery of its core
    services by assigning managers with prior training in mediation to take
    on the additional responsibility of mediating cases that OOC cannot
    fund for mediation by independent professionals. Although this has
    worked on an interim basis, it is not the best or most efficient
    practice. It drains essential staff resources, which already are at a
    bare minimum. Using independent mediators ensures that parties have
    full access to those services when needed. The current status of
    resources has constrained OOC from performing at an optimal level. Any
    additional reductions in funding of this small agency will further
    undermine the effectiveness of our dispute resolution program and will
    likely result in employees seeking another forum in which to address
    their employment disputes--in the media or in court--rather than
    through OOC's confidential processes.
                    ooc deg.education and outreach
        Any cuts less than the fiscal year 2012 funding would prevent OOC
    from providing education and outreach services as required by CAA. As
    explained above, this program has received a 46-percent reduction since
    fiscal year 2010; further cuts would erode OOC's ability to educate
    employees and it would feed a common misperception that the Congress
    does not want legislative branch employees to be informed about their
    rights.
                       ooc deg.safety and health
        Even absent further funding reductions in fiscal year 2013, OOC is
    no longer providing the services we need to meet our mission under CAA.
    We have already made significant changes to improve the efficiency of
    OOC's operations and adjusted and reduced the scope of our programs.
    Previous budgets prevented us from renewing the contracts for two
    inspectors and forced us to reduce hours of current contract
    inspectors, which has already significantly impaired our ability to
    provide necessary safety and health and ADA services to the legislative
    branch. Any additional cuts would force OOC to further reduce and/or
    eliminate still more statutorily-required services. Given that Capitol
    Hill remains one of the biggest targets for terrorist acts, our
    inability to enforce safety laws through comprehensive workplace
    inspections would prevent us from ensuring clear emergency exit paths
    and from ensuring fire-protection containment.
        While we would continue to perform our responsibilities to the
    extent we were able, in reality, we would betray the vision of those
    Members of Congress who, with but one dissenting vote, approved the
    creation of OOC and its mission to assure a safe workplace, provide
    accessibility to programs and facilities to individuals with
    disabilities, and guarantee workplace rights in the legislative branch.

                              SUBCOMMITTEE RECESS

        Senator Nelson. The subcommittee will stand in recess until
    2:30 p.m. on March 15, 2012, when we'll meet in room SD-138 to
    take testimony on the fiscal year 2013 budget requests of the
    Government Accountability Office, the Government Printing
    Office, and the Congressional Budget Office.
        With that, we stand in recess. Thank you.
        [Whereupon, at 4 p.m., Thursday, March 1, the subcommittee
    was recessed, to reconvene at 2:30 p.m., Thursday, March 15.]

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2013

                                  ----------

                            THURSDAY, MARCH 15, 2012

                                           U.S. Senate,
               Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 2:35 p.m., in room SD-138, Dirksen
    Senate Office Building, Hon. Ben Nelson (chairman) presiding.
        Present: Senators Nelson and Hoeven.

                        GOVERNMENT ACCOUNTABILITY OFFICE

    STATEMENT OF GENE L. DODARO, COMPTROLLER GENERAL

                    OPENING STATEMENT OF SENATOR BEN NELSON

        Senator Nelson. I know that my friend and co-chair, Ranking
    Member Senator Hoeven, is on his way. I think I just got
    through the reporters a little faster than he did.
        You know, we complain when there are no votes, when we're
    not doing anything. And when votes are scheduled, they get in
    the way of the rest of our business. So it's one of those
    things. You can't win when you're losing.
        But I appreciate everybody being here, and we'll wait just
    a few minutes, because I know my ranking member is on his way.
        Since both Senator Hoeven and I have already had the
    pleasure and the opportunity to visit with our witnesses today,
    and I know there won't be any surprises, maybe I can start with
    some opening remarks. And then when Senator Hoeven arrives, we
    will give him an opportunity as well.
        The subcommittee will come to order. And good afternoon,
    everyone, and welcome. We meet this afternoon to take testimony
    on the fiscal year 2013 budget request for the Government
    Accountability Office (GAO), the Government Printing Office
    (GPO), and the Congressional Budget Office (CBO).
        I want to welcome our witnesses today. We've had the
    pleasure and the opportunity to visit privately earlier. And so
    we now have this opportunity to do so publicly as well: Gene L.
    Dodaro, the Comptroller General; Davita Vance-Cooks, who is
    Acting Public Printer; and Douglas W. Elmendorf, Ph.D.,
    Director of the CBO.
        This is our second hearing of the year and on the fiscal
    year 2013 budget requests for the agencies of the legislative
    branch. I'd like to start off today by commending our
    witnesses, particularly the GPO who submitted a budget request
    reflecting a freeze at the fiscal year 2012 enacted level and
    for submitting budget requests that reflect the tight fiscal
    constraints under which the Federal Government must continue to
    operate well into the future.
        Unfortunately, given the budgetary battles ahead of us, any
    growth in budgets very well may be too much growth. But we need
    to hear from each of our witnesses as to what the actual needs
    are for any increased funding for fiscal year 2013, so that
    we're fully informed when the tough funding decisions are made
    later this year.
        And, of course, with that upbeat message, we look forward
    to hearing from each of you this afternoon and to discussing
    your budget requests.
        Mr. Dodaro, this year GAO is requesting a total of $526.2
    million in appropriated funding, an increase of $15 million or
    2.9 percent more than the fiscal year 2012 enacted level. I
    know that still puts you under fiscal year 2010.
        This increased funding level would support an additional 64
    full-time equivalents (FTEs) more than the current level of
    2,982, which is the lowest number of FTEs since the 1930s.
        Is that accurate? I do not remember what you told me in the
    office.
        And I look forward to hearing the specifics of this request
    in light of the requested increase in FTEs, immediately
    following participation in the Voluntary Separation Initiative
    Payment (VSIP) program, and particularly given that the Library
    of Congress (LOC) and the GPO also participated in the VSIP
    program, but are not asking for FTE increases in fiscal year
    2013.
        Ms. Vance-Cooks, this is your first time appearing before
    this subcommittee, so you don't have to be nervous or anything
    like that. And I know you have some very big shoes to fill
    since the departure of Mr. Boarman. He served GPO with
    distinction, particularly given the tight fiscal restraints,
    and we appreciate his service.
        GPO continues to serve its citizens with efficiency and
    excellence, no matter how few resources we throw your way. And
    GPO has set the standard that others need to follow when it
    comes to finding savings and implementing cost-cutting
    initiatives, even though some of the challenges may be
    different in the agencies. But we hope that you'll continue to
    lead by example as we work toward funding fiscal year 2013. And
    congratulations on your appointment, and welcome.
        GPO is requesting a total of $126.25 million, the same
    level of funding as provided in fiscal year 2012. I understand
    that in fiscal year 2013, GPO has to undertake printing a new
    edition of the United States Code, in addition to all of the
    other regularly scheduled printing activities, yet you're not
    asking for increased funding to pay for this additional
    requirement. And we understand and appreciate very much your
    holding that line.
        Dr. Elmendorf, it's always good to see you. CBO is
    requesting $44.6 million in fiscal year 2013, an increase of
    roughly $850,000, or 1.9 percent more than the current year. I
    look forward to discussing the particulars of your budget in
    just a few minutes.

                               PREPARED STATEMENT

        When my colleague gets here, we'll ask for his opening
    remarks. But in the meantime, I'd like to call on Mr. Dodaro
    for your opening statement, followed by Ms. Vance-Cooks and Dr.
    Elmendorf.
        And as we always try to be careful in the amount of time
    that we put in for opening statements, if you could hold your
    time to somewhere around 5 minutes, that would be desirable.
        [The statement follows:]
                    Prepared Statement of Senator Ben Nelson
        Good afternoon everyone and welcome.
        We meet this afternoon to take testimony on the fiscal year 2013
    budget requests for the Government Accountability Office (GAO); the
    Government Printing Office (GPO); and the Congressional Budget Office
    (CBO).
        I want to welcome our witnesses today:
      --Gene L. Dodaro, Comptroller General;
      --Davita Vance-Cooks, Acting Public Printer; and
      --Douglas W. Elmendorf, Ph.D., Director of the CBO.
        I want to also welcome my Ranking Member Senator Hoeven.
        This is our second hearing of the year on the fiscal year 2013
    budget requests for the agencies of the legislative branch. I would
    like to start off by commending our witnesses today--particularly GPO
    who submitted a budget request reflecting a freeze at the fiscal year
    2012 enacted level--for submitting budget requests that reflect the
    tight fiscal constraints under which the Federal Government must
    continue to operate. Unfortunately, given the budgetary battles ahead
    of us, any growth in budgets very well may be too much growth. However,
    we should certainly hear from our witnesses as to what their needs for
    increased funding are for fiscal year 2013 so we are fully informed
    when tough funding decisions are made later this year. And with that
    upbeat message, we look forward to hearing from each of you this
    afternoon and to discussing your budget requests.
        Mr. Dodaro, this year GAO is requesting a total of $526.2 million
    in appropriated funding--an increase of $15 million, or 2.9 percent,
    more than the fiscal year 2012 enacted level. This increased funding
    level would support an additional 64 full-time equivalents (FTE); more
    than the current level of 2,982. I look forward to hearing the
    specifics of this request--specifically in light of the requested
    increase in FTEs immediately following participation in the Voluntary
    Separation Incentive Payment (VSIP) program--particularly given that
    the Library of Congress and GPO also participated in the VSIP program,
    but are not asking for FTE increases in fiscal year 2013.
        Ms. Vance-Cooks, this is your first time appearing before this
    subcommittee, and you have some very big shoes to fill since the
    departure of Mr. Boarman. He served GPO with distinction, particularly
    given the tight fiscal constraints. GPO continues to serve its clients
    with efficiency and excellence no matter how few resources we throw
    your way. GPO has set the standard that others should follow when it
    comes to finding savings and implementing cost-cutting initiatives, and
    we hope you will continue to lead by example as we work toward funding
    fiscal year 2013. Congratulations on your appointment and welcome.
        GPO is requesting a total of $126.25 million, the same level of
    funding as provided in fiscal year 2012. I also understand that in
    fiscal year 2013, GPO has to undertake printing a new edition of the
    United States Code in addition to all of the other regularly scheduled
    printing activities. Yet, you are not asking for increased funding to
    pay for this additional requirement.
        Dr. Elmendorf, it's good to see you again. CBO is requesting $44.6
    million in fiscal year 2013, an increase of roughly $850,000 or 1.9
    percent more than the current year. I look forward to discussing the
    particulars of your budget in just a few minutes.

        Senator Nelson. Mr. Dodaro.

                      SUMMARY STATEMENT OF GENE L. DODARO

        Mr. Dodaro. Thank you very much, Mr. Chairman. It's a
    pleasure to be here today.
        I'd also like to take this occasion, on the announcement of
    your retirement, to publicly thank you for the support that
    you've given GAO over the years in this position and other
    positions. It's been a pleasure to work with you, and I extend
    to you my best wishes.
        Senator Nelson. Thank you very much. I appreciate that.
        Mr. Dodaro. With regard to our request, as the auditor of
    the financial statements of the Federal Government, we're
    acutely aware of the seriousness of the Federal Government's
    financial situation, both in the short term and the long term.
    And accordingly, we've been working with reduced funding levels
    and working hard to do our part.

              GAO deg.MANAGING WITH CONSTRAINED RESOURCES

        Over this past year, we've absorbed a reduction of $45
    million, or more than 8 percent, in our appropriation. We've
    done it primarily through two ways.
        One is to drive down the administrative costs of our
    operations, and that's occurred to the tune of more than 18
    percent. We've deferred and eliminated some investments. We've
    reduced the amount of contractor support in a number of
    different areas. And we've taken a number of other initiatives
    to move in that direction.
        Second, because more than 80 percent of our costs are
    personnel costs, we've had to absorb that reduction by not
    replacing people. In addition to attrition about 40 or so
    people left this past year due to the voluntary early
    retirement initiative. This was necessary in the short run in
    order to avoid furloughs or layoffs of other people.
        I was concerned about furloughs and our ability to support
    the Congress. Our goal was to maximize our support to the
    Congress and minimize the effect on GAO people. We achieved
    that, I believe, through this year.

           GAO deg.RESTORING CAPACITY TO SERVE THE CONGRESS

        Unfortunately, in doing that, our staffing level is now, as
    you mentioned, at the lowest level since 1935. We will have
    less than 3,000 people by the end of this year. The staffing
    request is with an eye toward building the future capacity of
    GAO in order to have the knowledgeable and skilled workforce
    that we need in order to serve the Congress, including every
    standing committee and about 70 percent of the subcommittees.
        There are a lot of difficult issues ahead. We, like a lot
    of Federal agencies and people in the private sector, are going
    to be affected by the retirement of the baby boom generation.
    Forty percent of our senior executives, for example, are
    already eligible to retire. We've noticed an uptick in
    retirements over the past couple of years.
        So, we need to get prepared for the future. That's why
    we're asking for a 2.9-percent increase. It's primarily for
    staffing and to build the workforce of the future for GAO to
    serve the Congress and the country.
        We think that the Congress needs our services, particularly
    now in light of the serious financial situation. The investment
    in GAO pays handsome dividends.
        In the last year, for example, we returned financial
    benefits of $81 for every $1 invested in GAO. We think that
    this investment in the GAO is prudent. It will pay dividends in
    the short run and the long term, and it will better position
    GAO to provide the support to the Congress.
        Our mission and the reason we exist is to support the
    Congress in carrying out its constitutional responsibilities.
    Given the fiscal, security, and economic challenges the
    Congress faces a wide array of difficult decisions going
    forward. I believe GAO can make even more important
    contributions to helping the Congress make informed decisions
    to help reduce the costs of the Federal Government and enhance
    revenues.
        We had a chance to talk a little bit about the tax gap,
    which now stands, in the latest Internal Revenue Service
    estimate, at $385 billion. According to last year's estimate,
    there were about $115 billion in improper payments made. In
    addition, there are a number of other areas where we can make
    greater contributions to help the Congress not only deal with
    difficult decisions, but make our Government more efficient and
    more effective and better serve the American public.

                               PREPARED STATEMENT

        I know you'll give careful consideration, as always, to our
    request. I appreciate the opportunity to be here today and look
    forward to answering questions at the appropriate time. Thank
    you.
        [The statement follows:]
                      Prepared Statement of Gene L. Dodaro
        Mr. Chairman, Ranking Member Hoeven, and members of the
    subcommittee: I appreciate the opportunity to be here today to discuss
    the Government Accountability Office's (GAO) budget request for fiscal
    year 2013. I want to thank the subcommittee for its continued support
    of GAO. We very much appreciate the confidence you have shown in our
    efforts to help support the Congress in carrying out its constitutional
    responsibilities and to help improve Government performance and
    accountability for the benefit of the American people.
        GAO is requesting an appropriation of $526.2 million for fiscal
    year 2013 to support a staffing level of 3,100. This funding level
    represents a modest increase of 2.9-percent more than fiscal year 2012,
    and is 5.4-percent less than our fiscal year 2010 level. The majority
    of the requested increase represents the first step in rebuilding our
    staff capacity to a level that will enable us to optimize the benefits
    we yield for the Congress and the Nation.
        We have carefully reviewed every aspect of our operations from a
    zero base to identify opportunities to reduce costs without sacrificing
    the quality of our work and preserving our ability to assist the
    Congress in addressing the most important priorities facing the Nation.
    However, given that staff costs now represent about 81 percent of our
    budget and the deep reductions already taken in our infrastructure
    programs, reducing the size of our workforce could not be avoided. By
    the end of fiscal year 2012, for the first time in more than 75 years,
    GAO's staffing level will drop to less than 3,000 staff, resulting in a
    net reduction of 11 percent in our staff capacity, or 365 people, in
    only a 2-year period.
        Given the current size and scope of the Federal Government and the
    demand for our services, this staffing reduction will result in missed
    opportunities for us to identify ways to save money and generate
    revenue at a time when the country needs us most. I am also very
    concerned about maintaining our highly skilled workforce by both
    replacing departing staff and adding more highly skilled talent to
    address succession planning challenges and skill gaps. The cost to
    restore our staff capacity would be more than offset by billions of
    dollars in savings and other efficiencies resulting from GAO's work.
        Through productive discussions with our managers, Union, Employee
    Advisory Council, Diversity Advisory Council, and our staff, GAO has
    significantly reduced spending throughout the agency in areas ranging
    from human resources to travel to information technology (IT) to
    achieve a $45 million or 8.1-percent funding reduction since fiscal
    year 2010. But, now we seek your support to begin a multiyear effort to
    rebuild our workforce to ultimately achieve a target full-time
    equivalent (FTE) staffing level of 3,250. We believe this is the
    optimal level within the current environment to most effectively serve
    the Congress and produce a high return on the investment in GAO. It
    would be our goal to return to this FTE staffing level in future year
    funding requests.
        GAO is unique in our audit and evaluation capacity to support the
    Congress by performing original research, providing technical
    assistance, and conducting analyses to help the Congress make informed
    decisions across all segments of the Federal budget resulting in
    tangible results and enhanced oversight needed to address the
    seriousness of the Government's fiscal condition. In order for us to be
    most effective, GAO needs to be of a size commensurate with the current
    and emerging challenges facing the Federal Government and the
    seriousness of its fiscal outlook. We are extremely limited in our
    ability to target additional reductions without adversely impacting our
    capacity to support the Congress in reducing costs and improving
    Government during this critical period.
        gao deg.the government accountability office supports
        congressional decisionmaking, saves resources and helps improve
                                   government
        GAO's work directly contributes to improvements in a broad array of
    Federal programs affecting Americans everywhere and remains one of the
    best investments across the Federal Government. With this
    subcommittee's support, in fiscal year 2011 GAO provided assistance to
    every standing congressional committee and about 70 percent of their
    subcommittees. GAO issues hundreds of products annually in response to
    congressional requests and mandates. Actions taken related to our
    findings and recommendations yielded significant results across the
    Government, including financial benefits of $45.7 billion to reduce
    Government expenditures, reallocate funds to more productive areas, or
    increase revenues. These benefits produced a return on investment of
    $81 for every $1 invested in GAO.
        In fiscal year 2011, our work also contributed to more than 1,300
    improvements in Government operations that helped to change laws,
    improve services to the public, and promote sound management throughout
    Government. About 32 percent of these benefits were in the area of
    public safety and security, such as homeland security and justice
    programs and critical technologies. Another 40 percent were related to
    improvements in business processes and management, such as improved
    oversight of Federal oil and gas resources and detection of fraud,
    waste, and abuse.\1\
    ---------------------------------------------------------------------------
        \1\ A list of selected issues on which the Government
    Accountability Office assisted the Nation in fiscal year 2011 is
    included as Appendix I.
    ---------------------------------------------------------------------------
        GAO senior officials testified 174 times before the Congress on an
    array of complex issues including military and veterans disability
    systems, U.S. Postal Service fiscal sustainability, defense/weapons
    systems, and Medicare and Medicaid fraud, waste, and abuse.\2\ Fifty-
    seven of these hearings were related to high-risk areas and programs
    highlighted in GAO's biennial high-risk report.\3\ GAO's high-risk
    program calls attention to opportunities for cost savings and
    improvements in Federal agency and program management that offer the
    potential to save billions of dollars, dramatically improve service to
    the public, and strengthen confidence and trust in the performance and
    accountability of the U.S. Government. In fiscal year 2011, our work
    also included several products mandated under the Dodd-Frank Wall
    Street Reform Act on mortgages, securities markets, financial
    institutions, the Federal Reserve, and consumer protection.
    Additionally, our work included many other products related to
    healthcare related reforms.
    ---------------------------------------------------------------------------
        \2\ A list of selected issues on which the Government
    Accountability Office staff testified before the Congress during fiscal
    year 2011 is included as Appendix II.
        \3\ Our High-Risk List is included in Appendix III.
    ---------------------------------------------------------------------------
        As the Congress and the administration debate ways to improve the
    Federal Government's long-term fiscal outlook, our mission becomes ever
    more critical to help identify billions of dollars in cost-saving
    opportunities to tighten Federal budgets and identify revenue-
    enhancement opportunities. GAO seeks both to help position the
    Government to better manage risks that could compromise the Nation's
    security, health, and solvency, and to identify opportunities for
    managing Government resources wisely for a more sustainable future. GAO
    will continue to provide high-quality, high-value, and independent
    support to the Congress in ways that generate material benefits to the
    Nation.
        GAO's strategic plan for serving the Congress and the Nation, 2010-
    2015, highlights the broad scope of our efforts to help the institution
    of the Congress respond to domestic and international challenges,\4\
    such as:
    ---------------------------------------------------------------------------
        \4\ Our Strategic Plan Framework is included in Appendix IV.
    ---------------------------------------------------------------------------
      --addressing current and emerging challenges to the well-being and
            financial security of the American people;
      --responding to changing security threats and the challenges of
            global interdependence;
      --helping transform the Federal Government to address national
            challenges; and
      --maximizing the value of GAO by enabling quality, timely service to
            the Congress and being a leading practices Federal agency.
           gao deg.actions taken to reduce operational costs
        Since fiscal year 2010, GAO has significantly reduced spending
    throughout the agency. Our fiscal year 2012 funding level is $45
    million or 8.1-percent less than fiscal year 2010. We streamlined
    operations and reduced costs through staffing reductions, voluntary
    retirements, voluntary separation incentives, and extremely limited
    hiring to only replace critical vacancies; reducing staff retention
    programs, such as student loan repayments and incentive awards; and
    reducing or deferring investments in IT, facilities, and other support
    services. Since fiscal year 2010, we have reduced engagement support
    costs, such as travel and external specialized expertise by more than
    20 percent, and reduced infrastructure support costs, such as IT and
    administrative support services by more than 18 percent.
        In addition, we are continuing to explore other opportunities to
    reduce our infrastructure costs, provide staff more flexibility and
    increase our effectiveness and efficiency, such as streamlining our
    engagement-management process; expanding our telework policies;
    reducing our physical footprint both in headquarters and in our field
    offices; exploring office-sharing; expanding our video-conference
    capability; and attracting an additional tenant in headquarters to
    increase revenue. While we may only see limited financial benefits in
    fiscal year 2012, each of these initiatives provides the opportunity to
    generate significant long-term financial benefits to GAO that will help
    reduce our operating costs and enable us to maximize our effectiveness.
    For example, we have identified 31 recommendations for engagement-
    management improvements; some of which can be implemented quickly,
    while others require additional study to determine the best approach
    for implementation. When implemented, these recommendations will allow
    us to streamline and standardize our processes to achieve greater
    efficiency in our work without sacrificing quality, increase our
    responsiveness to the Congress, and deliver products to the Congress
    and the public more effectively and efficiently.
        We are also consulting continuously with congressional committees
    to assure that our work is focused on their highest priorities.
    Additionally, we continue to work with committees to amend or repeal
    statutory mandates for GAO studies that have outlived their usefulness
    or do not represent the best use of GAO's resources given current
    congressional priorities.
      gao deg.fiscal year 2013 budget request would help restore
                               essential capacity
        Our budget request seeks to partially restore funding to allow GAO
    to begin a multiyear effort to rebuild our workforce by hiring to
    replace departing staff to enable us to optimize the benefits we yield
    for the Congress and the Nation, bolster staff recruitment and
    retention programs, such as student loan repayments and incentive
    awards, and replace end-of-life technology to ensure our technology is
    current and remains on par with other Federal agencies.
        For the first time in more than 75 years, GAO's staffing level will
    drop to less than 3,000 in fiscal year 2012, resulting in a net
    reduction of 11 percent in our staff capacity in only a 2-year period.
    Further, we project losing an additional 190 people in fiscal year 2013
    based on historical trends. We also have a significant number of
    retirement eligible senior executive staff (about 40 percent),
    supervisory analysts (25 percent), and analysts (12 percent). We depend
    on a talented and diverse, high-performing, knowledge-based workforce
    to carry out our mission to support the Congress. This reduction in
    staff capacity is limiting our ability to support the Congress during
    this critical period when the unique insights that GAO provides are an
    essential element of congressional analysis and decisionmaking. It is
    imperative that we begin to replenish our workforce to both replace
    departing staff and add more highly skilled talent to address
    succession planning challenges and skill gaps. We have been and will
    continue to reach out to our congressional clients to ensure they help
    focus our work on the highest-priority areas to obtain the maximum
    benefit in this resource constrained environment.
        Our fiscal year 2013 budget request seeks to partially restore
    essential funding for staff recognition and benefits programs and
    critical investments eliminated or deferred due to budget constraints.
    Reductions in staff recognition and benefits programs jeopardize our
    ability to attract and retain staff when other organizations with whom
    we compete for human resources may offer these benefits. These tools
    are also essential to recognize and motivate our high-performing
    workforce. Moreover, all but the most critical investments in areas
    such as facilities and IT have been eliminated. Continued deferral of
    needed investments in our systems and building will ultimately diminish
    our productivity and effectiveness, likely lead to more costly repairs,
    and affect our ability to exchange data with other Federal entities.
        We are also requesting authority to use $24.3 million in offsetting
    collections from rental income and program and financial audits. In
    addition, we estimate about $4.7 million will be available from
    reimbursements of programs and financial audits to help offset our
    costs.
        If GAO's funding is reduced less than the requested level,
    additional reductions in our staffing level will be inevitable which
    would adversely affect our ability to produce results that can help
    deal with the Federal Government's fiscal challenges and provide
    timely, insightful analysis on congressional priorities and challenges
    facing the Nation. As a knowledge-based organization, about 81 percent
    of GAO's fiscal year 2013 budget is allocated for human capital costs--
    a slight increase from the previous year as a result of mandatory cost
    increases, the proposed increase in staffing, and deep reductions made
    in agency operations and infrastructure. We are extremely limited in
    our ability to target additional reductions in infrastructure-support
    costs beyond what has already been taken in order to meet the basic
    operations of the agency.
         gao deg.positive results from external organizations
        In regard to our internal operations, in fiscal year 2011 we
    received a clean opinion on our system of quality control for both our
    financial and performance audits from an external peer review conducted
    by a team of auditors from our counterparts at national audit
    institutions, and received an unqualified opinion on our financial
    statements from independent auditors. The Association of Government
    Accountants awarded us its Certificate of Excellence in Accountability
    Reporting for our Fiscal Year 2010 Performance and Accountability
    Report. We also received a ``Best-in-Class'' award for a concise, well-
    written, and highly readable ``Summary of GAO's Performance and
    Financial Information'' for fiscal year 2010.
        GAO was also once again recognized as one of the Best Places to
    Work. The annual survey conducted by the Partnership for Public Service
    identified GAO as number three in its rankings for all large
    organizations across the entire Federal Government. Washingtonian
    magazine selected GAO as one of the best places to work in the private
    and public sectors in Washington, DC, in its annual rankings.
                               concluding remarks
        Fiscal year 2011 was a very active and challenging time for GAO. We
    succeeded at performing our mission, responding to mandates, and
    accomplishing many of our goals while operating under budget and
    staffing constraints. We could not have achieved this level of
    performance without the outstanding efforts of our professional,
    diverse, and multidisciplinary staff. We also maintained our productive
    working relationship with the GAO Employees Organization, International
    Federation of Professional and Technical Engineers (IFPTE) which
    represents GAO's analyst staff and began implementing our first master
    collective bargaining agreement. On February 8, 2012, GAO's
    Administrative Professional and Support Staff voted in favor of having
    the IFPTE serve as their exclusive representative. GAO's Visual
    Communications Analysts and Lead Communications Analysts also voted to
    be included in the analysts' bargaining unit. In addition, we continue
    to work closely with the Employee Advisory Council and the Diversity
    Advisory Council on a range of issues.
        Fiscal years 2012 and 2013 bring more challenges with
    responsibilities to further assess and report on Government programs
    and financial regulatory reform efforts, among many other pressing
    issues. Our budget request has been carefully developed to represent
    the level of resources we need to continue effectively serving the
    important needs of the Congress by providing quality products in a
    timely fashion and to identify high opportunity areas for both
    eliminating waste as well as enhancing revenue across the Federal
    Government.
        I believe that you will find our budget request fiscally
    responsible and essential to ensure that we can maintain our capacity
    to assist the Congress and produce results for the American people. 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.
        Mr. Chairman, Ranking Member Hoeven, members of the subcommittee,
    this concludes my prepared statement. I appreciate, as always, your
    careful consideration of our submission and look forward to discussing
    our proposal with you.
     gao deg.appendix i: how the government accountability office
                     assisted the nation, fiscal year 2011
    Goal 1: Address Current and Emerging Challenges to the Well-Being and
            Financial Security of the American People
        Identified savings of $3.7 billion by reducing unneeded payments to
    Medicare Advantage plans.
        Identified the need for the Department of Health and Human Services
    to finalize guidance on how antivirals would be used during a pandemic.
        Identified opportunities for cost savings and reduced risk to the
    Government in a series of reports on undefinitized contracts, use of
    blanket purchase agreements where discounts were not sought, and cost
    reimbursement contracts.
        Improved consistency and compatibility of healthcare associated
    infection data.
        Led the Social Security Administration to improve oversight of its
    Ticket-to-Work program.
        Identified opportunities to enhance investigation of online child
    pornography.
        Recommended ways to strengthen the Federal Reserve's management of
    emergency assistance to stabilize financial markets.
        Developed a series of assessments of emerging technologies with
    important implications for the Nation.
        Found regulatory weaknesses in Environmental Protection Agency's
    water-based lead testing and treatment program.
        Informed improvements in air passenger rights to compensation for
    mishandled baggage.
    Goal 2: Respond to Changing Security Threats and the Challenges of
            Global Interdependence
        Encouraged enhanced desktop computer security to protect sensitive
    information, which 22 Federal agencies implemented.
        Identified progress and remaining work to implement homeland
    security missions at the Department of Homeland Security 10 years after
    9/11.
        Led the Department of Homeland Security to scale back the flawed
    advanced radiation detector program--avoiding costs of $1.2 billion.
        Identified challenges and recommended improvements in the
    Department of Defense's expanding cybersecurity mission.
        Surfaced potential costs and risks of contract transition during
    drawdown from Iraq, resulting in benefits of $77.5 million.
        Led Department of Defense to restructure the Joint Strike Fighter
    program--Department of Defense's most costly and ambitious acquisition.
        Improved monitoring and evaluation of the Departments of State and
    Labor and United States Agency for International Development projects
    to combat human trafficking.
    Goal 3: Help Transform the Federal Government To Address National
            Challenges
        Provided timely information on the debt limit and budget controls
    to help address the long-term fiscal challenge.
        Helped eliminate the Advanced Earned Income Tax Credit, avoiding
    $569 million in costs.
        Suggested that the Congress extend the statute of limitations for
    examinations involving offshore financial activity.
        Recommended that Office of Management and Budget establish
    realistic milestones for full implementation of the infrastructure
    needed to best use the electronic authentication capabilities of
    personal identify verification cards.
        Identified 227,700 tax delinquents receiving Federal benefits to
    explore ways to increase collection of unpaid taxes.
        Found ways to incorporate required data into Centers for Medicare
    and Medicaid systems to better detect improper payments.
        Issued updated Government auditing standards to reflect recent
    developments in the accountability profession.
        Recommended improvements to planning and implementation of Federal
    data center consolidation at 24 Federal agencies.

        Source: GAO.
     gao deg.appendix ii: selected testimony topics, fiscal year
                                      2011
    Goal 1: Address Current and Emerging Challenges to the Well-Being and
            Financial Security of the American People
    Safety of medical devices
    Departments of Defense and Veterans Affairs Care Coordination Program
    Department of Veterans Affairs prevention of sexual assaults
    State oversight of private health insurance rates
    Potential overlap and duplication in Government programs
    Incapacitated adults
    Federal workers' compensation
    Military and veterans disability system
    Oversight of Department of Defense tuition assistance program
    Securities lending in 401(k) plans
    Pension Benefit Guaranty Corporation management
    Financial literacy
    Mortgage foreclosures regulatory oversight
    Oversight of residential appraisals
    Troubled Asset Relief Program
    Interior's major management challenges
    Federal oil and gas restructuring
    Improvements needed for safe drinking water
    Food and agriculture emergency preparedness
    Airport and Airway Trust Funds
    Traffic and vehicle safety
    Use of American Recovery and Reinvestment Act transportation funds
    Unneeded owned and leased Federal facilities
    Department of Veterans Affairs real property realignment
    Needed U.S. Postal Service legislation
    Goal 2: Respond to Changing Security Threats and the Challenges of
            Global Interdependence
    Department of Homeland Security 10 years after 9/11
    Electronic employment eligibility verification
    Aviation security behavior detection program
    Maritime security U.S. counterpiracy action plan
    Cross-border currency smuggling
    Assessing national preparedness capabilities
    Visa overstay enforcement
    Combatting nuclear smuggling
    Flood insurance reform
    Efforts to address terrorist safe havens
    Antidumping and countervailing duties
    Diplomatic security training challenges
    Department of Defense space acquisitions
    Missile defense transparency and accountability
    Department of Defense cost overruns
    Joint Strike Fighter Program restructuring
    Coast Guard Deepwater Program
    Army's ground force modernization
    Littoral combat ship acquisition strategies
    Contract oversight of non-United States vendors in Afghanistan
    Addressing urgent warfighter needs
    Personnel security clearance process
    Goal 3: Help Transform the Federal Government To Address National
            Challenges
    Oversight and accountability of Federal grants
    Reducing improper payments
    Fiscal year 2010 U.S. Government financial statements
    Department of Defense financial management challenges
    Medicare and Medicaid fraud, waste, and abuse
    Fraud prevention in Service-disabled veteran-owned small business
    program
    Fraud prevention in the Small Business Administration's 8(a) program
    Tax delinquent American Recovery and Reinvestment Act contractors
    Protecting Federal information systems
    Information technology investment oversight
    Department of Veterans Affairs information technology
    Federal information technology spending
    Unfunded Mandates Reform Act requirements
    Budget enforcement mechanisms
    2010 census lessons learned
    Value added taxes
    Tax system complexity and taxpayer compliance
    Government Performance and Results Modernization Act of 2010
    implementation

        Source: GAO.
    gao deg.appendix iii: government accountability office's 2011
                                 high-risk list
    Strengthening the Foundation for Efficiency and Effectiveness
        Management of Federal oil and gas resources (new).
        Modernizing the outdated U.S. financial regulatory system.
        Restructuring the U.S. Postal Service to achieve sustainable
    financial viability.
        Funding the Nation's surface transportation system.
        Strategic human capital management.
        Managing Federal real property.
    Transforming Department of Defense Program Management
        Department of Defense Approach to business transformation.
        Department of Defense Business systems modernization.
        Department of Defense Support infrastructure management.
        Department of Defense Financial management.
        Department of Defense Supply chain management.
        Department of Defense weapon systems acquisition.
    Ensuring Public Safety and Security
        Implementing and transforming the Department of Homeland Security.
        Establishing effective mechanisms for sharing and managing
    terrorism-related information to protect the Homeland.
        Protecting the Federal Government's information systems and the
    Nation's cyber critical infrastructures.
        Ensuring the effective protection of technologies critical to U.S.
    national security interests.
        Revamping Federal oversight of food safety.
        Protecting public health through enhanced oversight of medical
    products.
    Transforming Environmental Protection Agency's Process for Assessing
            and Controlling Toxic Chemicals
        Managing Federal contracting more effectively;
        Department of Defense contract management;
        Department of Energy's contract management for the National Nuclear
    Security Administration and Office of Environmental Management;
        National Aeronautics and Space Administration acquisition
    management;
        Management of interagency contracting;
        Assessing the efficiency and effectiveness of tax law
    administration;
        Enforcement of tax laws; and
        Internal Revenue Service business systems modernization.
    Modernizing and Safeguarding Insurance and Benefit Programs
        Improving and modernizing Federal disability programs.
        Pension Benefit Guaranty Corporation Insurance Programs.
        Medicare program.
        Medicaid program.
        National Flood Insurance Program.
       gao deg.appendix iv: government accountability office's
                            strategic plan framework

        Senator Nelson. Thank you, Mr. Dodaro.
        And my ranking member is here, we'll certainly call on him
    for any opening remarks he might like to make.

                        STATEMENT OF SENATOR JOHN HOEVEN

        Senator Hoeven. Thank you, Mr. Chairman. Good to be here
    with you. I apologize for being late. We did have a couple
    votes on the floor that delayed things a little bit.
        But thanks to all of you for being here today. More
    importantly, thank you for what you do. We appreciate it. You
    do an outstanding job, not only for the Senators, but for the
    people of this great country. And so I want to start out by
    saying thank you, we appreciate it.
        As you know very well, we're in challenging times from a
    budgetary standpoint, and so it's incumbent on all of us to
    figure out how we reduce the deficit and the debt and get our
    financial situation in order.
        And I bring my experience as a Governor, as does our
    chairman, and I know he probably had an opportunity to cut
    budgets, and I certainly did, too, particularly early in my
    career. And I remember there are two kinds of schools of
    thought.
        One school of thought is everybody should take a
    proportional reduction. And the strength of that is that
    everybody is helping share the load, so there's a certain
    fairness from that standpoint.
        And then, of course, the other kind of general concept is
    some programs you have to prioritize, and some programs merit
    more resources, and some programs merit less resources, and
    some programs should be eliminated. And that, obviously, has
    real merit in that you maximize the use of your resources by
    prioritizing.
        And I think that goes very much to a lot of what you do,
    certainly at GAO and CBO, for example, you deal with that very
    issue, and it's very important.
        My sense is we have to do some of both; All of us are going
    to have to and I don't mean just here in Washington, DC; I mean
    throughout our country. We have to all be a part of solving
    this problem, and so we have to share the load in that respect.
        But then, at the same time, we have to do the very best job
    that we can prioritizing, times change, needs change, and
    programs change.
        So for us to do the best possible job here, we have to both
    make sure everybody understands that they have to participate,
    they have to be part of picking up the load here. That's very
    important.
        And then the other part is we have to recognize that there
    is a prioritization that we have to do that's important, and
    then we have to do the best job we can on that.
        So the number that we're going to have to make work for the
    legislative branch is not a number that the chairman and I will
    decide. Certainly, we'll have input. The chairman might even
    have more than I do. But we'll have a number that we're going
    to have make work.
        And it's my sense that for the legislative branch, the
    number that came to us in the administration's budget with an
    increase of 5.4 percent, we're going to have to make things
    work at less.
        And so I guess the main message I'd start with is, we know
    you put a lot of thought and a lot of effort into this. We're
    still going to have to go through it and continue to evaluate
    and prioritize as best we can, and then find more savings,
    recognizing that that's just where we are in terms of our
    financial situation.
        Now, with that said, you're the experts. And speaking for
    myself, and I think probably the chairman, too, we're going to
    look to you to tell us how to best do this. And we're going to
    work with you to do the best job we can.
        Senator Hoeven. Thank you.
        Senator Nelson. Thank you, Senator Hoeven.
        And I thought the ``W.H.'' over with the administration
    stood for ``White House.'' It stands for ``white hat'',
    offering 5.4 percent. Does that mean that we now have a
    different kind of hat to wear here?
        And the thing in Washington about shared sacrifice is,
    every time it's discussed, it seems to me, that somebody wants
    your share and for you to sacrifice. That's shared sacrifice.
    And they're ready to sacrifice until your last dime.
        So, anyway, we'll work together to get a budget so that we
    can continue to function at the level it needs to be and do it
    in, hopefully, the smartest way possible, because of the
    outstanding input that you've given us thus far. And I know
    there'll be additional input as we try to work through this.
        So having said that, Ms. Vance-Cooks.

                           GOVERNMENT PRINTING OFFICE

    STATEMENT OF DAVITA VANCE-COOKS, ACTING PUBLIC PRINTER
        Ms. Vance-Cooks. Chairman Nelson, Senator Hoeven, good
    afternoon, and thank you for inviting me here today to discuss
    the GPO's appropriation request for fiscal year 2013.
        In the interest of time, as you have asked, I will briefly
    cover three points: first, our flat-line budget request;
    second, our emphasis on cost savings; and third, our commitment
    to technological improvements, all of which benefit the
    Congress and the American public.
        First, our flat-line budget request. The mission of GPO is
    to keep America informed. Over the past 151 years, GPO has
    accomplished this mission by producing and distributing
    information products for all three branches of the Federal
    Government. GPO's request for fiscal year 2013 is for a total
    of $126.2 million. This is the same level of funding that we
    have for the current fiscal year.
        As a result of a projected decrease in traditional
    printing, and in response to rapidly changing technological
    processes, we are proposing to shift a portion of our funds
    away from conventional printing and distribution activities
    toward an increased investment in technological improvements.
        This strategy reflects our commitment to keep America
    informed by continuing to transform ourselves into a digital
    information platform and a provider of secure credentials.
        We are reducing our request for the Congressional Printing
    and Binding appropriation by 8 percent, which is equivalent to
    $7.1 million. We are also requesting a small reduction in our
    Salaries and Expense appropriation. We want to take these
    reductions and apply them to our revolving fund, where they
    will be used to support the continued development of our
    information technology (IT) infrastructure, including our
    Federal Digital System (FDSys), which provides the public with
    online access to congressional and other information.
        We are also requesting funds for necessary maintenance and
    repairs to our facilities, principally our fire suppression
    system and the ongoing work to renovate our elevators, both of
    which pose health and safety risks.
        Point number two: GPO is, in fact, reducing the cost of
    operations. To generate cost savings, we conducted a buyout
    last year that resulted in the reduction of 250 positions. And
    with the additional reductions as a result of just general
    separations, we have reduced our workforce by 15 percent.
        This is the lowest staffing level in the past century. Our
    organization has right-sized, and we are fortunate to have
    dedicated and committed employees who are willing to work
    around the clock to support the needs of the Congress.
        We've cut back on overhead significantly, and we're
    reducing those costs to our fiscal year 2008 level.
        We conducted the first-ever survey of congressional offices
    on their printing needs, and it resulted in cutting hundreds of
    copies of the Congressional Record and other documents which
    are printed daily.
        We're even renting available space in our building to those
    agencies that need it, which helps us to reduce our costs.
        Third is the issue of technology. GPO is meeting the
    challenges of the digital age by using technology in innovative
    ways to accomplish our mission of ``Keeping America Informed'',
    and it supports openness and transparency.
        FDSys makes available more than 668,000 titles. We also see
    13.1 million documents downloaded each month. And we have
    established ourselves as a leader in the authentication of
    electronic documents by using our digital signature capability.
        We are the trusted provider of secure credentials for the
    Government, and we have entered the world of e-books and apps.
    We have a longstanding relationship with the Department of
    State in producing e-passports.

                               PREPARED STATEMENT

        In conclusion, our flat-line budget request, our emphasis
    on cost savings, and our commitment to technological
    improvements are important factors in helping GPO to do more
    with less.
        Chairman Nelson and Senator Hoeven, this concludes my
    opening remarks and I will be happy to answer any questions you
    have. Thank you.
        [The statement follows:]
                    Prepared Statement of Davita Vance-Cooks
        Mr. Chairman, Senator Hoeven, and members of the Senate
    Subcommittee on Legislative Branch appropriations: It is an honor to be
    here today to present the appropriations request of the Government
    Printing Office (GPO) for fiscal year 2013.
        Our request is for the Congressional Printing and Binding
    appropriation and the Salaries and Expenses appropriation of the
    Superintendent of Documents, both of which are included in the annual
    legislative branch appropriations bill. These two accounts cover GPO's
    provision of congressional information products and services as
    authorized by law and our provision of public access to congressional
    and other Government information products through statutorily
    established information dissemination programs under the Superintendent
    of Documents.
        All other GPO functions and activities--including the production of
    U.S. passports for the State Department as well as secure credentials
    for congressional and agency use, the procurement of information
    products and services in partnership with the private sector, the sales
    of Government information products and services to the public, and
    related operations--are financed on a reimbursable basis through GPO's
    business-like revolving fund, which also is authorized through the
    annual legislative branch appropriations bill.
                                   background
        GPO is the Federal Government's primary centralized resource for
    producing, procuring, cataloging, indexing, authenticating,
    disseminating, and preserving the official information products of the
    U.S. Government in digital and tangible forms. The agency is
    responsible for the production and distribution of information products
    for all three branches of the Federal Government, including U.S.
    passports for the Department of State as well as the official
    publications of the Congress, the White House and other Federal
    agencies, and the courts.
        Along with sales of publications in digital and tangible formats to
    the public, GPO supports openness and transparency in Government by
    providing permanent public access to Federal Government information at
    no charge through our Federal Digital System (www.fdsys.gov), which
    today makes more 680,000 Federal titles available online from both
    GPO's servers and links to servers in other agencies, and sees more
    than 13.1 million documents downloaded every month. We also provide
    public access to Government information through partnerships with
    approximately 1,220 libraries nationwide participating in the Federal
    Depository Library Program. In addition to GPO's Web site, www.gpo.gov,
    we communicate with the public routinely via Twitter--twitter.com/
    USGPO; YouTube--http://www.youtube.com/user/gpoprinter; and Facebook--
    http://www.facebook.com/USGPO.
        GPO first opened its doors for business 151 years ago, on March 4,
    1861, the same day Abraham Lincoln was inaugurated as the 16th
    President. Our mission can be traced to the requirement in Article I,
    section 5 of the Constitution that ``each House shall keep a journal of
    its proceedings and from time to time publish the same.'' We have
    produced every great American state paper--and an uncounted number of
    other Government publications--since President Lincoln's time,
    including the Emancipation Proclamation. Social Security cards,
    Medicare and Medicaid information, Census forms, tax forms, citizenship
    forms, military histories ranging from the ``Official Records of the
    War of the Rebellion'' to the latest accounts of our forces in Iraq and
    Afghanistan, emergency documents like the ration cards and the ``Buy
    Bonds'' posters used during World War II, the Warren Commission Report
    on President Kennedy's assassination, the Watergate transcripts, the 9/
    11 Commission Report, Presidential Inaugural addresses, Supreme Court
    opinions, and the great acts of the Congress that have shaped our
    society--all these as well as millions of other documents from the
    historic to the humble have been produced by GPO on their way to use by
    the Congress, Federal agencies, and the public. Last year, we opened a
    public exhibit on GPO's history that has received extremely positive
    reviews. I invite all of you and your staffs to come by for a visit.
        For the Clerk of the House, the Secretary of the Senate, and the
    committees of the House and the Senate, we produce the documents and
    publications required by the legislative and oversight processes of the
    Congress, including the daily Congressional Record, bills, reports,
    legislative calendars, hearings, committee prints, and other documents,
    as well as stationery, franked envelopes, and other materials such as
    memorials and condolence books, programs and invitations, phone books,
    and the other products needed to conduct business of the Congress. We
    also detail expert staff to support the information product
    requirements of House and Senate committees and congressional offices
    such as the House and Senate Offices of Legislative Counsel.
      gpo deg.government printing office and digital information
                                  technologies
        GPO's present and future are clearly being defined by digital
    technology, and digital technology itself has radically changed the way
    printing is performed today. This is especially true where the
    information products used by the House and Senate are concerned. GPO's
    conversion to digital databases for the composition of congressional
    publications occurred more than a generation ago. Today, the activities
    associated with creating congressional information databases comprise
    the vast majority of the work funded by our annual congressional
    printing and binding appropriation.
        In addition to using these databases to produce printed products as
    required by the Congress, we upload them to the Internet via FDSys.
    Since we first went online with congressional information in 1994, we
    have provided the Congress and the public with the definitive source
    not only of legislative, but executive and judicial information online.
        Our creation of digital databases of congressional information from
    which we can print and provide online public access has dramatically
    increased productivity and dramatically reduced costs to the taxpayer.
    As our budget submission shows, our digital production systems have
    reduced the level of the congressional printing and binding
    appropriation by more than two-thirds in constant dollar terms since
    1980 while expanding our information capabilities exponentially.
        GPO's congressional database systems also form the basic building
    blocks of other information systems supporting the Congress. Our
    congressional information databases are provided directly to the
    Library of Congress (LOC) to support its THOMAS system as well as the
    legislative information systems LOC makes available to House and Senate
    offices. GPO and LOC are also collaborating today on the digitization
    of previously printed documents, such as the Congressional Record, to
    make them more broadly available to the Congress and the public, and we
    are jointly developing a new process for updating the digital edition
    of the Constitution Annotated.
        GPO's digital systems also support other key Federal publications,
    including the U.S. budget and, most importantly, the Federal Register
    and associated products, which we also produce. Our advanced
    authentication systems, supported by public key infrastructure, are an
    essential component for assuring the digital security of congressional
    and agency documents.
        The other major products that GPO produces are U.S. passports for
    the Department of State, the premier component of our secure and
    intelligent documents business unit. At one time no more than a
    conventionally printed document, passports today incorporate a chip and
    antenna array capable of carrying biometric identification data, which
    with other security features has transformed this document into the
    most secure identification credential obtainable. We have also
    developed a line of secure identification ``smart cards'' to support
    the credential requirements of the Department of Homeland Security for
    certain border crossing documents, and our secure credential unit has
    been certified as the only government-to-government provider of
    credentials meeting the requirements of Homeland Security Presidential
    Directive 12 (HSPD-12).
        gpo deg.government printing office in partnership with
                                    industry
        Other than congressional and inherently governmental work such as
    the Federal Register, the budget, and secure and intelligent documents,
    we produce virtually all other information product requirements via
    contracts through a partnership with the private sector printing
    industry. In fact, our procurement operation handles approximately 75
    percent of all work sent to GPO for production, currently amounting to
    $350 to $400 million annually. This system is one of the Government's
    longest running and most successful programs of utilizing the private
    sector, which is represented by more than 16,000 individual firms
    registered to do business with us, the vast majority of whom are small
    businesses averaging 20 employees per firm. Contracts are awarded on a
    purely competitive basis; there are no set-asides or preferences in
    contracting other than what is specified in law and regulation,
    including a requirement for Buy American. This partnership provides
    great economic opportunity for the private sector.
       gpo deg.government printing office and open, transparent
                                   government
        Producing and distributing the official publications of our
    Government fulfills an informing role originally envisioned by the
    Founders, when James Madison said:

        ``A popular Government without popular information, or the means of
    acquiring it, is but a Prologue to a Farce or a Tragedy, or perhaps
    both. Knowledge will forever govern ignorance, and a people who mean to
    be their own Governors, must arm themselves with the power which
    knowledge gives.''

        A key mechanism for this purpose is the Federal Depository Library
    program (FDLP), which today serves millions of Americans through a
    network of some 1,220 public, academic, law, and other libraries
    located in virtually every Congressional District across the Nation.
    For more than a century, these libraries have served as critical links
    between ``We the People'' and the information provided by the Federal
    Government. GPO provides the libraries with information products in
    online or tangible formats, and the libraries in turn make these
    available to the public at no charge and provide additional help and
    assistance to depository library users. One of the other programs we
    operate is in fulfillment of an international treaty. Under it, we
    distribute certain Federal publications to other governments abroad as
    designated by the LOC. In return, they send the LOC their official
    publications, which the Library then makes available for the use of the
    Congress and the public.
        Along with these programs, we also provide public access to the
    wealth of official Federal information through public sales featuring
    secure ordering through an online bookstore for GPO sales publications
    and a partnership with the private sector to offer Federal publications
    as e-Books. We also operate effective and efficient information
    distribution programs for other Federal agencies on a reimbursable
    basis, including the General Services Administration (GSA) Consumer
    Information Center publications.
        As for the results of fiscal year 2011, I am pleased to report that
    GPO's businesslike operations and its record of savings for the
    taxpayer resulted in the generation of $5.6 million in net income for
    the year. As former Public Printer Bill Boarman noted in his annual
    report to the Congress, however, the achievement of this positive
    financial result was not foreordained. Instead, the financial condition
    of the agency earlier in the year and the fiscal realities of 2011
    presented GPO with a number of serious challenges. Overhead costs had
    increased significantly in recent years and were projected to increase
    further, threatening our financial stability. There was also a
    longstanding problem of nearly $30 million in unrecovered payments owed
    to GPO by Federal agencies.
        In response, we worked closely with this subcommittee and its
    counterpart in the House to resolve GPO's funding for fiscal year 2011
    at a level that was significantly lower than what was originally
    requested. We cut our annual spending plan for fiscal year 2011 as
    previously submitted to the Joint Committee on Printing by 15 percent.
    We held the line on salary increases consistent with the pay freeze
    ordered by the President, reduced the number of senior-level managers,
    and implemented controls on hiring, travel, overtime, and related
    discretionary accounts. Together these actions resulted in a
    significant reduction in overhead expenses. To address the problem of
    outstanding payments from Federal agencies, we created a multi-
    disciplinary task force, an effort that by yearend reduced the balance
    of outstanding payments by more than one-third.
        To help the Congress reduce its printing costs, during fiscal year
    2011 we conducted the first-ever survey of Senate and House offices on
    their continued need for daily printed copies of the Congressional
    Record and other documents. The survey resulted in an 18-percent
    reduction in the number of Congressional Record copies printed, the
    largest single-year reduction since GPO first introduced the online
    Congressional Record in 1994 (not counting the House's elimination of
    copies for public agencies and institutions designated by
    Representatives in 1995, the average annual reduction in the number of
    Congressional Record copies printed since 1994 has been 4 percent).
        During fiscal year 2011, we also conducted a voluntary separation
    incentive program, or buyout, to reduce staffing in anticipation of
    lower appropriations and other revenue sources. The buyout targeted a
    reduction of 15 percent of the workforce and, in combination with other
    staffing reductions, we achieved 95 percent of that goal, reducing
    GPO's workforce by 312 positions to 1,920, the lowest level in more
    than a century.
        Another cost-saving initiative has involved discussions with
    outside agencies over their potential use of available GPO space, which
    could significantly reduce our facilities expense, as recommended by
    this subcommittee in its report on our fiscal year 2012 appropriations.
    We now have an agreement with the Architect of the Capitol to expand
    its use of our space, and we are in discussions with other entities
    over their use of GPO space.
        While we worked to reduce costs in fiscal year 2011, we also made a
    commitment to do more with less. We developed and released a Strategic
    Vision Plan that emphasizes customer service. The focus of the plan has
    begun to take hold as shown by the results of a recent survey of GPO's
    customer agencies. We gained the approval of the Joint Committee on
    Printing for an annual spending plan for fiscal year 2012 that will
    yield new efficiencies in GPO's services while reducing costs by 6.4
    percent compared with last year's plan. We continued the development of
    FDSys as the Congress and Federal agencies move increasingly to the use
    of digital information products, and we added several new collections
    last year. At the request of the National Archives and Records
    Administration (NARA), we also used FDSys to support public access to
    the previously unreleased grand jury proceedings involving President
    Nixon, and recently we supported NARA again in releasing the audio
    tapes made on Air Force One as it returned to Washington following the
    assassination of President Kennedy.
        We started a Facebook page for GPO, implemented a new pilot project
    to make Federal court opinions freely available online to the public,
    and expanded our partnership with Google Books to include Federal
    consumer-oriented information made available by the GSA as well as the
    first volume of the ``Public Papers of President Obama''. In November
    we released a mobile web application of our online ``Member Guide'',
    the first of its kind by GPO, providing the public with access on a
    variety of devices to photos and other information about Members of
    Congress, and in January we supported the Library of Congress in its
    development of a new Congressional Record app for the iPad, as
    requested by the Committee on House Administration. Recently, we issued
    a mobile web application for the U.S. budget, which received more than
    77,000 hits in its first few days of use.
        In summary, GPO's program of reducing costs while continuing to
    expand GPO's critically important information services to the Senate
    and House of Representatives, as well as Federal agencies and the
    public, is working and showing real and measurable benefits, and we
    plan to continue following this path.
            gpo deg.fiscal year 2013 appropriations request
        We are requesting a total of $126.2 million for fiscal year 2013
    that will enable us to: meet projected requirements for GPO's
    congressional printing and binding operations during fiscal year 2013;
    fund the operation of GPO's statutory information dissemination
    programs; and continue the development of FDSys and implement other
    improvements to facilities infrastructure related to health and safety.
        Our request represents no increase over the level of funding
    provided for fiscal year 2012 in Public Law 112-74. Within our flat
    funding request, we are proposing to shift approximately $7.3 million
    from the congressional printing and binding and salaries and expenses
    appropriations to the revolving fund in order to expand our investments
    in digital information technology projects, including projects
    supporting increased online access to congressional and other Federal
    information, modernization of GPO's composition processes supporting
    congressional work, and related initiatives.
       gpo deg.congressional printing and binding appropriation
        We are requesting $83.6 million for this account, representing a
    decrease of about $7 million from the level of funding provided for
    fiscal year 2012.
        The estimated requirements for fiscal year 2013 include a marginal
    price level increase due to projected increases in printing costs.
    However, this increase is more than offset by projected decreases in
    volume due principally to anticipated workload reductions for the
    Congressional Record, miscellaneous printing and services (this
    workload category increased in fiscal year 2012 in part due to
    Inaugural printing requirements), calendars, hearings, and bills,
    resolutions, and amendments. These workload decreases will also offset
    the production of the 2012 edition of the U.S. Code, which by law is
    issued in a new edition every 6 years.
          gpo deg.salaries and expenses appropriation of the
                          superintendent of documents
        We are requesting $34.7 million for this account, a decrease of
    about $300,000 from the level approved for fiscal year 2012.
        The requested funding will cover mandatory merit and other pay
    increases for 114 FTEs, the same number as fiscal year 2012, as well as
    price level increases. The most notable workload increase will be for
    the production and distribution of copies of the U.S. Code for Federal
    depository libraries, since this is considered an essential FDLP
    publication. However these costs will be more than offset by a
    significant reduction in facilities and overhead costs formerly billed
    to this account resulting from the relocation of our depository
    distribution function from the main GPO buildings in Washington to our
    Laurel, Maryland, warehouse, as well as a reduction of other
    nonrecurring costs (including the FDLP's migration and modernization of
    legacy systems which was funded in fiscal year 2012), which will no
    longer be required to be funded in fiscal year 2013.
                        gpo deg.revolving fund
        We are requesting appropriations of $7.8 million for this account,
    to remain available until expended, to fund essential investments in
    information technology development and facilities improvements. Our
    request represents an increase of $7.3 million over the level of
    funding provided for this account for fiscal year 2012.
        The request includes $7.3 million for information technology
    development, including $3.9 million to continue developing FDSys, $1.5
    million each for GPO's Composition System Replacement and Oracle
    business system projects, and $400,000 for information technology (IT)
    security improvements. These IT projects include components that will
    have a direct impact on the provision of digital information production
    and dissemination services for the Congress, such as the development of
    a composition system to replace GPO's aging Microcomp-based system,
    improved support for congressional publications ingested into FDSys,
    and digitization of the bound Congressional Record, a project that GPO
    is working on in partnership with LOC. In addition, we are requesting
    $500,000 for life/safety improvements for our buildings that include
    continued elevator repairs and renovation and new fire pumps.
        Mr. Chairman, Senator Hoeven, and members of the subcommittee, this
    concludes my prepared statement. We deeply appreciate your support of
    our appropriations request for fiscal year 2012, and we look forward to
    working with you and your staffs in your consideration of our
    appropriations request for fiscal year 2013.

        Senator Nelson. Thank you very much.
        Dr. Elmendorf.

                          CONGRESSIONAL BUDGET OFFICE

    STATEMENT OF DOUGLAS W. ELMENDORF, Ph.D., DIRECTOR
        Dr. Elmendorf. Thank you, Mr. Chairman, Senator Hoeven. I
    appreciate the opportunity to present CBO's budget request for
    2013.
        As you know, our mission is to provide the Congress with
    objective, impartial, and nonpartisan analysis of budget and
    economic issues. In fulfilling that mission, we rely on a
    highly dedicated and highly skilled workforce. As a result,
    more than 90 percent of our budget is compensation for our
    staff.
        So the contours of our budget and staffing level are
    closely linked. Let me describe our budget request and its
    implications for our work. I'll be referring to the picture in
    front of you, which comes out of our budget request document.
        Our proposed budget for fiscal year 2013, the far right bar
    on the graph, is $44.6 million. In light of the tight budget
    constraints facing the Government, this request represents an
    increase of only 1.9 percent, or $850,000 from the amount
    provided in fiscal year 2012, and an increase of only 1.2
    percent, or $555,000, from the regular appropriation provided
    in fiscal year 2009.
        As you know, congressional demand for CBO's estimates and
    analysis has been extremely high during the past few years. In
    particular, the surge in Federal debt and projected deficits
    has led to ongoing congressional efforts to make fundamental
    changes in budget policy, which has strained our resources in a
    number of areas.
        We provided a tremendous number of estimates during the
    debate over appropriations for fiscal year 2011 that extended
    into the spring of last year, during the bipartisan
    negotiations last spring and summer about larger changes in
    policy linked to an increase in the debt limit, during the work
    of the Joint Select Committee on Deficit Reduction last fall,
    and during debates about many other possible changes in law.
        Given the daunting outlook for the U.S. economy and the
    Federal Government's budget, we have no reason to expect that
    the Congress' interest in analyses from CBO will wane for the
    foreseeable future.
        Despite that heavy workload, our funding for fiscal year
    2012, as you know, is less than the amounts provided in the
    preceding few years. To reduce expenses, we have significantly
    curtailed salary increases and sharply cut spending on IT,
    data, training, and other areas. We've also stopped most hiring
    of new staff to replace people who leave.
        As I mentioned, our requested funding for next year is only
    slightly more than was provided for this year and little more
    than was obligated 4 years ago. To operate the agency at that
    level of funding would require a combination of minimal
    increases in salaries; very limited spending on IT, data,
    training, and other things; and a reduction in the number of
    CBO analysts relative to the past few years.
        Regarding the nonpay parts of our budget, we propose to
    spend only about one-half as much in fiscal year 2013 as we
    spent on average in the past few years. We would not be able to
    sustain such low spending through fiscal year 2014 without
    compromising the quality of our work in an important way.
        Regarding the pay parts of our budget, we propose to cut
    staffing in fiscal year 2013 to about 235 people. I'm sorry to
    have to say that the reduction in staffing relative to levels
    we've had in the past few years would have a negative impact on
    the analysis we can provide to the Congress. Fewer analysts
    will mean fewer estimates and analyses of budget and economic
    policies.
        As you know, we've already been unable to analyze many
    proposals that are sent to us, unable to serve committees as
    quickly as they or we would like, and unable to improve our
    modeling as much as we should. Reductions in our staffing would
    make those problems worse.
        CBO is a fairly small organization relative to the scope of
    the topics on which we work. With only 235 people to cover the
    full range of budget and economic issues, and with most of
    those issues requiring a good deal of specialized knowledge,
    cuts in our staffing can leave noticeable weak spots very
    quickly.
        For example, 1 of our 3 lawyers just retired and we cannot
    afford to hire another at this point. That represents a one-
    third drop in our legal staff. One of the four analysts who
    studied the macroeconomic effects of changes in taxes and
    Government spending will be leaving this summer. We're not sure
    if we can afford to replace her. And if not, that will
    represent a one-fourth reduction in our capability to do
    analysis in that area.
        And there are other examples of this sort. And I am frankly
    worried that the consequences of cutbacks in our staffing will
    quickly become all too apparent to you and your colleagues.

                               PREPARED STATEMENT

        That said, we certainly understand the restraints under
    which the Appropriations Committee is operating. We are very
    grateful for the support that you've always given to our work,
    and we will continue to make every effort to serve you and your
    colleagues as effectively as we possibly can with whatever
    resources you give us.
        Thank you.
        [The statement follows:]
               Prepared Statement of Douglas W. Elmendorf, Ph.D.
        Mr. Chairman, Senator Hoeven, and members of the subcommittee,
    thank you for the opportunity to present the Congressional Budget
    Office's (CBO) budget request for fiscal year 2013.
        CBO's mission is to provide the Congress with objective, impartial,
    and nonpartisan analyses of budget and economic issues, including the
    information and cost estimates needed for the congressional budget
    process. In fulfilling that mission, CBO depends on a highly skilled
    workforce. About 92 percent of CBO's budget represents compensation for
    the agency's staff; another 5 percent is for information technology
    (IT) equipment and services; and the remainder is for data, training,
    office supplies, and other items. As a result, the contours of CBO's
    budget and the staffing levels of the agency have been and will
    continue to be closely linked.
        CBO's proposed budget for fiscal year 2013 is $44.6 million. In
    light of the budget constraints facing the Federal Government, this
    request represents an increase of only 1.9 percent ($850,000) from the
    $43.8 million provided to CBO in fiscal year 2012 and an increase of
    only 1.2 percent ($555,000) from the regular appropriation of $44.1
    million provided to CBO in fiscal year 2009.
        Operating the agency in fiscal year 2013 with only slightly more
    funding than was provided for this fiscal year and little more than was
    obligated 4 years earlier would be possible only through a further
    reduction in the number of CBO analysts; minimal increases in salaries;
    and sharp cutbacks in spending on IT, data, training, and other items.
    Although CBO will continue to make every effort to serve the Congress
    as effectively as possible, the changes that would be required under
    the proposed budget would unavoidably diminish the number of estimates
    and analyses of budget and economic policies that CBO was able to
    provide.
                        cbo deg.funding history
        Between fiscal year 2001 and fiscal year 2008, the number of full-
    time equivalent positions (FTEs) at CBO averaged 230 FTE, and the
    number varied little from year to year. During that period, CBO's
    budget rose slowly, on balance, as Federal employees received salary
    increases and the cost of Federal benefits increased.
        In 2008, CBO became concerned that it did not have sufficient
    resources to analyze policy changes regarding the delivery and
    financing of healthcare that were emerging as a critical issue in the
    Congress. In addition, the agency was delivering an increasing number
    of testimonies and formal cost estimates, providing a rapidly growing
    volume of informal estimates, and engaging in more frequent
    communications with Hill staff on a wide range of topics, so shifting a
    significant number of staff positions from other areas to the health
    area did not seem feasible.
        Accordingly, CBO proposed to the Congress a multiyear plan to boost
    the size of the agency to nearly 260 FTEs, an increase of a little more
    than 10 percent. The Congress approved the first leg of that proposed
    increase in CBO's budget for fiscal year 2009. Analyses of competing
    healthcare proposals absorbed a huge share of CBO's resources, and the
    financial crisis and severe recession led to a jump in congressional
    requests for analyses, budget projections, and cost estimates in many
    other areas. Consequently, the Congress approved a 2-year supplemental
    appropriation for CBO during 2009 and also approved an increase in the
    agency's regular appropriation for fiscal year 2010. Making use of that
    additional funding, CBO averaged about 250 FTEs during 2010 (see Figure
    1).

    Figure 1. CBO's Funding and Staffing for Fiscal Years 2009 Through 2013

        Congressional demand for CBO's estimates and other analysis has
    remained extremely high in the past few years. The enactment of major
    healthcare legislation in 2010 has increased, rather than diminished,
    the number of other proposals for changes in Federal healthcare
    programs, and it has made CBO's analysis of such proposals much more
    complex. In addition, the depth and duration of the economic downturn
    have generated significant demand for analyses of the effects of both
    enacted and proposed responses to those economic conditions. Moreover,
    the surge in Federal debt and projected deficits has led to ongoing
    congressional efforts to enact fundamental changes in budget policy,
    which have strained CBO's resources in many areas. CBO provided a
    tremendous number of estimates during the debate over appropriations
    for fiscal year 2011 that extended into the spring of the year, the
    bipartisan negotiations last spring and summer about larger changes in
    policies linked to an increase in the debt limit, the work of the Joint
    Select Committee on Deficit Reduction last fall, and the continuing
    debate about extending various provisions of law through the rest of
    2012.
        Despite that heavy workload, CBO's appropriation for fiscal year
    2011 was less than the total funding available to the agency in fiscal
    year 2010, and its funding for fiscal year 2012 is less than the amount
    provided in fiscal year 2011. To reduce expenses in fiscal year 2012,
    CBO has significantly curtailed salary increases and sharply cut
    spending on IT, data, training, and other items. Given the large share
    of the agency's budget devoted to compensation, however, those changes
    do not, by themselves, reduce spending sufficiently. Therefore, CBO has
    also stopped most hiring of new staff to replace those who leave, and
    attrition has reduced the number of FTEs at the agency to about 242
    currently; by the end of this fiscal year, CBO aims to be operating
    with 237 FTEs (generating an average for this year of 240 FTEs).
      cbo deg.some details of the congressional budget office's
                        fiscal year 2013 budget request
        CBO expects that congressional demand for the agency's estimates
    and other analyses will remain high in fiscal year 2013. The agency's
    mission of providing nonpartisan budgetary and economic information to
    the Congress will remain the same. Fulfilling that mission will require
    providing reports on the budget and economic outlook, an analysis of
    the President's budget, long-term budget projections, options for
    reducing budget deficits, cost estimates, mandate statements, and
    scorekeeping tabulations. Fulfilling the agency's mission will also
    require providing in-depth analyses of a broad range of program and
    policy issues requested by committees.
        The specific issues that the Congress will be addressing in 2013
    are difficult to predict, but CBO's analyses are likely to include work
    on healthcare, policies for increasing economic growth and employment,
    energy policy, tax reform, reform of entitlement programs,
    infrastructure, defense policy, the Government's role in financial
    markets, and a wide variety of budget policy options. Altogether, CBO
    anticipates a workload of:
      --Roughly 525 formal cost estimates, most of which will include not
            only estimates of Federal costs but also assessments of the
            cost of mandates imposed on State, local, and tribal
            governments or the private sector;
      --Thousands of preliminary, informal cost estimates, the demand for
            which is growing as committees seek to have a clearer picture
            of the budgetary impact of proposals and variants of proposals
            before they formally consider legislation;
      --Roughly 200 scorekeeping tabulations, including status reports for
            discretionary appropriations, estimates for individual
            appropriation acts, and compilations of direct spending and
            revenue effects for budget enforcement purposes; and
      --About 130 analytical reports, testimonies, and other publications,
            which are generally required by law or prepared in response to
            requests from the chairmen and ranking members of key
            committees.
        The demand for CBO's analyses currently exceeds, by a substantial
    margin, what the agency can produce with its current staff.
    Unfortunately, CBO is unable to analyze many legislative proposals that
    are sent by Members of Congress, unable to promptly complete in-depth
    analyses of many issues that are requested by committees, and unable to
    improve its modeling as much as would be desirable to capture the many
    channels through which proposals can affect the Federal budget, the
    economy, and the well-being of citizens. Further reductions in the size
    of CBO's staff would make those problems worse.
        Nonetheless, recognizing the stringency of the Federal budget
    situation, CBO proposes to cut back to about 235 FTEs by the end of
    fiscal year 2013, about 6 percent fewer than the average staffing in
    2010. That cut (which would give CBO an average for the year of 236
    FTEs) would have several key consequences:
      --First, a reduction to that staffing level by next year could
            probably be achieved by attrition, but that is not certain. If
            CBO does not experience sufficient attrition, then reaching
            that staffing level could require furloughs or layoffs--this
            year, next year, or both.
      --Second, to have 235 FTEs by the end of next year would mean that
            most of the increase in CBO staffing set in motion in 2008
            would be reversed. Yet the increase in demands on CBO related
            to analyzing healthcare costs and the burgeoning Federal debt
            has not been reversed.
      --Third, because losses through attrition will undoubtedly not line
            up well with the places where the agency can most afford to
            lose resources, CBO may have some noticeable weak spots in its
            capabilities during the next few years.
        In addition, CBO is not planning any across-the-board increase in
    salaries for employees in calendar year 2013, matching what it did in
    calendar year 2011 and is doing in calendar year 2012. The agency is
    also reducing further the size of performance-based pay raises it gives
    to employees who are not eligible for across-the-board increases.
        CBO also proposes stark cuts in nonpay areas of its budget in
    fiscal year 2013. Relative to CBO's average outlays in fiscal years
    2009 through 2011, IT spending next year would be about 40 percent
    less, spending on training would be one-third smaller, purchases of
    data would be reduced by more than 15 percent, and spending for other
    purposes would be cut significantly as well.
        CBO's request supports the following:
      --$31 million for pay of personnel compensation;
      --$10.3 million for personnel benefits; and
      --$3.3 million for IT, data, services, equipment, training, and other
            items.
        The severe limits on salary increases and spending in the nonpay
    areas of the budget that CBO is proposing for fiscal year 2013 cannot
    be sustained through fiscal year 2014 without significantly sacrificing
    the quality of the CBO staff and the tools with which they work.
    Consequently, unless a larger increase in funding is made available to
    CBO in fiscal year 2014, the agency expects that it will implement
    further cutbacks in staffing that year and be forced to limit further
    the support that it provides to the Congress.
        In closing, I would like to thank the subcommittee for the support
    it has provided CBO, enabling the agency to carry out its
    responsibilities to provide budgetary and economic information to the
    Congress.

        Senator Nelson. Thank you.
        Shall we do a 5-minute round?
        Senator Hoeven. Sure.
        Senator Nelson. Mr. Dodaro, GAO, along with the other
    agencies of the legislative branch, I think have all done a
    remarkable job this year of finding a way to do more with less.
    And I don't think a single Member of this body has complained
    about any diminished quality in your work. I know you're very
    much concerned about delays and not being able to meet all the
    obligations, but if there is any complaining going on, it would
    have come to us. Perhaps it is going to Senator Schumer, since
    he's facing the responsibility of getting more done with less
    within the Senate. But I'm just not hearing things, so I think
    you've done an outstanding job of meeting the obligations, both
    as to the quality, the quantity, the timeliness of your work,
    and holding down the budget. So we do appreciate that.
        GAO, like the LOC and GPO, participated in the VSIP program
    and the buyout program as a means of reducing costs. Neither
    the LOC nor GPO is asking to restore the FTE levels that
    diminished as a result of the program. But in your request, you
    ask for $31.3 million in order to hire 305 permanent staff
    during fiscal year 2013. Doesn't that in some way defeat the
    purpose of the early buyout?
        Mr. Dodaro. I don't think so, Senator. If you recall, when
    we did the buyout, we asked people to leave by the end of
    fiscal year 2011. At that point, we didn't really know what our
    budget was going to be. It wasn't until December last year that
    we knew what our budget would be. Before then there was a range
    of marks between the House and the Senate.
        I was really concerned that we would have to lay off
    additional people and that we would have to furlough people,
    which would have affected our service to the Congress. So I was
    very much focused on maximizing our ability to provide quality
    services to the Congress, and in my view, that was a prudent
    decision to make.
        Now, that being said, many of those people would have been
    retiring anyway at some point in the next year or two. My
    request is to build the workforce for the future. I think we're
    going to be in this fiscal situation for an extended period of
    time, and we need to replenish our workforce and bring in
    additional staff. As I was saying, I use the analogy of a
    college football coach not having any sophomores or freshmen
    coming in and all the seniors are beginning to retire. You're
    looking at the juniors and you're saying, ``You better keep
    working really hard in order to provide those services.''
        I appreciate your comment about the quality of our work. We
    will never sacrifice quality at the GAO. It's too important to
    the decisionmaking in the Congress to do that. And so my
    request is to begin restoring that.
        Our funding was reduced 2 percent from fiscal year 2010 to
    fiscal year 2011, and then 6 percent from fiscal year 2011 to
    fiscal year 2012. As Ranking Member Senator Hoeven mentioned, I
    think, we've done our part.
        With our request, we would still be 5 percent less than the
    fiscal year 2010 level. I'm not asking for a lot. I think it's
    a prudent and wise investment for the future.
        Senator Nelson. Now, LOC also, as I said, participated in
    that VSIP program. And they've indicated they're undertaking a
    ``right-sizing review'' before asking for additional staff in
    the future. In connection with trying to decide to replace your
    seniors with freshmen and sophomores, have you undertaken any
    particular review of those current staffing levels as you think
    about what your future needs are as well?

        GAO deg.CONTINUING CONGRESSIONAL DEMAND FOR GOVERNMENT
                         ACCOUNTABILITY OFFICE SERVICES

        Mr. Dodaro. Basically, that all starts from what the demand
    is from the Congress in terms of the requests for services. As
    I mentioned, I've been meeting with the chair and ranking
    members of every standing committee of the Congress to make
    sure that we identify the priority needs.
        In recent times, we've been given additional
    responsibilities to audit, for example, the Federal Reserve and
    all their emergency lending facilities. We've also been given
    the responsibility to audit the new Consumer Financial
    Protection Bureau. We continue to receive more than 900
    requests a year from the Congress for our services.
        I believe that right now we can't meet all the demands from
    the Congress in a timely fashion. In order to meet the highest-
    priority needs of the Congress, in my judgement we need a
    staffing level of 3,250 people. We're not there yet, but we
    have been there, and I think at that time we were meeting those
    needs in a timely manner.
        We have a workforce profile that we think matches the
    highest-priority needs of the Congress. We don't have a set
    production kind of issue that some of the other legislative
    branch agencies do. We get requests in every week, and they
    might relate to an emergency external situation or natural
    disaster that we have to respond to.
        We have to be flexible since our workload is ever-changing.
    I think at the requested level, we're right-sized to meet the
    demands of the Congress both now and in the future. We have a
    strategic plan that looks out 5 years that we've vetted with
    the Congress in terms of changes in the environment and what we
    think are going to be the critical issues confronting the
    Congress and the Nation. We need to be prepared to meet those
    needs.
        Senator Nelson. Thank you.
        Senator Hoeven.
        Senator Hoeven. Thank you, Mr. Chairman.
        I have a couple of questions. First would be, you were
    required to do zero-based budgeting and to go through that
    zero-based budgeting process. Did you find it helpful? And just
    describe whether you thought it was of value and if it helped
    you identify any savings.

        GAO deg.REDUCING COSTS THROUGH ZERO-BASED BUDGET REVIEW

        Mr. Dodaro. Yes, we went through the zero-based approach,
    and we did find it helpful in reducing costs in our
    administrative areas.
        As I mentioned in my opening statement, we've eliminated IT
    investments that were no longer necessary to meet our needs. We
    deferred a number of investments.
        But we were able to identify particular areas where we had
    contractor support in the administrative areas, Senator, and so
    we were able to reduce our contractor administrative support
    quite a bit. We reduced our security guard services, for
    example.
        We went through our budget line item by line item, and that
    exercise identified a number of areas for potential savings.
        We also worked with our union and got ideas from them, and
    we posted an open Web site for any GAO employee who had cost-
    savings opportunities to make suggestions. You know, we're good
    at analyzing other people, so we tried to use that talent to
    help us. We received more than 600 suggestions from our
    employees.
        We closed our library completely, and now we're reusing
    that space to free up other space so that we can rent and bring
    in additional revenue.
        So the basic answer to your question is it was a good
    exercise. We found it helpful. It helped us identify savings. I
    think it was good.

                 GAO deg.IMPACT OF A HOLD-EVEN BUDGET

        Senator Hoeven. If you were given a hold-even budget, how
    would you go about meeting that? What changes would you make?
        Mr. Dodaro. I'm sorry, Senator, I didn't hear the first----
        Senator Hoeven. If you were given a hold-even budget, if we
    came back to you and said that you had to hold even, you had--
    --
        Mr. Dodaro. Oh, hold even. Okay.
        Senator Hoeven [continuing]. The exact same level for
    funding for fiscal year 2013 as for fiscal year 2012, how would
    you go about achieving that?
        Mr. Dodaro. What I would do is to reduce our planned hiring
    to achieve savings through the attrition. In other words, we'd
    probably cut planned hiring in half.
        We'd end up going down in an even level budget. Our
    staffing level would go down a little bit during the year.
        We also would reduce some of the incentive programs that we
    have, such as the student loan reimbursement program. We think
    that's a very good program for retention purposes. We've had it
    in place several years. Last year, we were unable to afford
    it--but, I'd like to restore it in part.
        Our plan was to restore it, but I'd restore it at a lower
    level if we were held flat. Then we'd look for other
    efficiencies to be gained.
        That's how I'd do it at the hold-even level. Basically we'd
    be able to continue to keep most of our workforce replenished,
    but not as much as we'd like. We'd end the year at a lower
    staffing level.
        As I was mentioning in my opening statement, we're at our
    lowest staffing level since 1935. I think if we add additional
    resources, there will be more returns to the Congress based on
    our recommendations, which could help the Congress find areas
    that they can cut or revenue enhancements.
        We've got a great track record, and I think that investment
    in GAO provides good returns.
        Senator Hoeven. You were given additional work because of
    Troubled Asset Relief Program (TARP), and that should've
    subsided to some extent. Just comment on that, in terms of
    whether you've been able to find some cost savings because of
    the work that you're no longer having to do associated with
    TARP.

                 GAO deg.TROUBLED ASSET RELIEF PROGRAM

        Mr. Dodaro. Yes. The TARP law requires us to report every
    60 days, and we've continued to do that. We've reduced our work
    in that area from more than $5 million to less than $2 million
    in our budget for next year, which is reimbursed by the
    Department of the Treasury. As we reduce TARP-related work, the
    staff is available to work on other mandates and requests.
        There are several things that are continuing. One is the
    financial audit of the TARP financial statements.
        Second, the law requires us to be engaged until every
    dollar is repaid or recouped under the bank and investment
    programs, so until the investments in AIG and General Motors
    are divested by the Department of the Treasury, for example.
        Third, the Home Affordable Modification program has been
    extended to 2013. That's where they're trying to provide
    assistance to people in housing. The outlays continue under the
    TARP program in that area.
        There are also 370 banks in the capital purchase program
    that haven't repaid their TARP money yet. We just issued a
    report most recently on those banks. They're not making their
    dividend interest payments according to the program, so the
    Government is at risk of not getting all of its money back from
    those banks. Most of the large banks have repaid, as you know,
    but the smaller banks haven't.
        There's still activity under the TARP program. We've
    downsized our work as the TARP program has been downsized. We
    also received reimbursement for that TARP work from the
    Treasury Department, since the law that created TARP came
    outside of the normal appropriation cycle.
        Senator Hoeven. Of the total outlay from TARP, how much of
    that has been returned?
        Mr. Dodaro. I can provide that for the record.
        Senator Hoeven. Very good. Thank you.
        Mr. Dodaro. Sure.

       GAO deg.LEGISLATIVE BRANCH OPPORTUNITIES FOR COST SAVINGS

        Senator Nelson. Thank you.
        As you know, the subcommittee is hoping to realize some
    cost savings and overall efficiencies by converting all of the
    legislative branch agencies' financial management systems under
    a single entity, the LOC.
        The U.S. Capitol Police have successfully did this and has
    achieved significant cost savings as a result. We'll hear about
    that in the next hearing.
        I'm asking you a question now, in your role as GAO, do you
    think that a way we can gain additional savings is by having,
    for example, the Architect of the Capitol convert to the LOC's
    financial management system?
        Mr. Dodaro. We were asked to look into that issue a few
    years ago, and as I recall, we felt it was feasible to be able
    to do that, but there really needed to be additional work done
    to make sure that it was going be in the best interest of the
    Congress. There needed to be a cost-benefit study done, and the
    requirements completely outlined to be able to do that.
        I think there's an ability to cross-service. We outsource a
    lot of our financial management operations to the National
    Finance Center, for example. The Department of Transportation
    does some of our processing, as well. We don't try to do it all
    ourselves, and we go to those other service providers.
        There's no reason it can't happen, but I would say it needs
    careful study before implementation.
        Senator Nelson. But you're not aware of any study, current
    or recent, at least?
        Mr. Dodaro. I don't believe so, Senator. I mean, I'll go
    back and check and provide something for the record, if we have
    one.
        Now, feasible and actually making it happen are two
    different things.
        Senator Nelson. I understand that.
        Mr. Dodaro. I've seen enough financial system failures
    across the Government to know that it needs to be very
    carefully planned and managed.
        If there's something we could do to provide assistance in
    that area, I'd be happy to do that. But, we don't have current
    study on that.
        Senator Nelson. Have you thought about other areas where
    there may be some cost savings associated with the sharing of
    management programs and other similar programs?
        Mr. Dodaro. Within the legislative branch?
        Senator Nelson. Within the legislative branch, yes.
        Mr. Dodaro. To be honest, Senator, we've been so focused on
    driving our own costs down, I haven't thought about how we
    could do that. I think it's fruitful to do that. I will give
    that some thought and provide additional information to you
    about it.
        Senator Nelson. We want to use your good expertise in every
    way that we possibly can and at the same time, insist that you
    drive your costs down.
        Mr. Dodaro. Right. We're doing well on ourselves, and we'll
    try to help elsewhere.

                 GAO deg.IMPACT OF A FLAT-LINE BUDGET

        Senator Nelson. I understand.
        I think Senator Hoeven did raise the question, what would
    you do if you were looking at a freeze, a flat-line budget? And
    without forecasting where things are going, it might be a good
    idea if you look internally to see what positions you will need
    based on your discussions with the chairmen of the different
    standing committees, in order to try to get an idea of what
    requests are going to be coming your way and a prioritization.
        I think that's always good to have, just in case. I'm not
    predicting that; I'm not suggesting that's what's going to
    happen. But advanced preparation probably would be well-
    advised.
        Mr. Dodaro. Right.
        We're always thinking about how to allocate the resources
    to the different teams to support the committees. We do that on
    an ongoing basis.
        We're big believers of contingency planning, and so we'll
    be prepared to do that.
        If we go less than the hold-even level, we'll have to
    either furlough staff or do some reductions in force.
        Senator Nelson. Well, we understand that, and we appreciate
    what you've done to this point and know that you're committed
    to making certain that the services to the Congress continue.
        Thank you so much.
        Any further questions? Would you like to lead off with
    general printing, if you have some questions?

                     GPO deg.ZERO-BASED BUDGETING

        Senator Hoeven. Certainly can, Mr. Chairman.
        My first question, Ms. Vance-Cooks, would be the same
    question I asked Mr. Dodaro: If you would go through your zero-
    based budgeting process; what you thought of it; whether you
    identified savings; and whether it was useful?
        Ms. Vance-Cooks. Thank you.
        The zero-based budgeting process was actually applied to
    the Salaries and Expense appropriation. And through that, we
    determined that we would see some savings in moving our
    depository library distribution platform from our headquarters
    to our Laurel warehouse.
        This resulted in almost $250,000 to $260,000 in savings,
    because the space rental is much cheaper there.
        Then when we looked at our Congressional Printing and
    Binding appropriation, we determined that it would be best to
    reduce it because we saw that, through the trends, printing is
    declining. It is decreasing.
        But because of the fact that printing is declining, we
    realized that at the same time there needs to be a balance,
    because of digital technology. Print on paper, the actual ink
    on paper, is declining. But at the same time, people expect us
    to have online digital technology, because everything pretty
    much is now turning online.
        Because of that, we realized that we needed to make sure
    that we invest in the future for our technological
    improvements. GPO's FDSys, as I mentioned earlier, is huge. It
    is an online system. It is free to the public.
        But in order for us to keep pace with technology, we must
    have our infrastructure strengthened, and that's where we
    decided to put our request in terms of a zero-based budget.

            GPO deg.NEED FOR THE GOVERNMENT PRINTING OFFICE

        Senator Hoeven. If you would compare and identify savings
    that we realize by using GPO versus basically just saying to
    each of the Members and the Senators, ``Okay, here's a budget.
    You take care of your own printing. Find it where you can.''
    and trying to outsource or utilize other services, rather than
    through GPO.
        In other words, what I'm looking for is, why are we saving
    money doing it the way we do it?
        Ms. Vance-Cooks. That's a great question, Senator, and one
    that we're always asked.
        The question is, if all that congressional and Federal
    agency information is out there on the Internet, why do we have
    GPO? Well, Sir, the quick answer is that we're the ones who put
    all that information on the Internet to begin with. We're the
    ones who create the digital files that are put up online.
    Through those digital files, organizations like LOC pull that
    data or can use the files we send to them so that they can
    build THOMAS.
        Where conventional printing is concerned, it is much
    cheaper for us to print the documents than to download them and
    print them off of a laser printer.
        Let me give you an example using the Congressional Record.
    The Congressional Record, say, on the average, might have 150
    pages. We know that when we look at the cost, 70 percent of the
    cost of printing that Congressional Record is related to the
    prepress activities.
        Prepress simply means that we're taking all of those files,
    we're taking the information whatever way it comes to us,
    whether it's through paper or whether it's just in a digital
    file, we're the ones who assemble it. We're the ones who
    collate it. We're the ones who proof it. We paginate it. We
    reproof it to make sure it is correct.
        Once it's correct, it can then either go online or it can
    be printed.
        The additional 20 percent of that cost is principally for
    make-ready work, or setting up the press and the binding line.
    Then an additional 5 percent, Sir, is what is paid for the
    incremental cost of paper. We have determined through a lot of
    studies that if we print it, when it comes off the press after
    that very first very first page, it only cost 1.3 cents a page.
        But we also know, from a study that was conducted by
    Lexmark, that the minimum cost for printing from an office
    laser printer is almost 7 cents a page.
        So with the example that I just gave, when we print the
    Congressional Record, in this case, the cost would be less than
    $2. But if you printed it from a printer in one of your
    offices, it could be more than $10.
        So that's why we need GPO. Not to mention the fact that we
    work 24/7. We're in session when you are. When you leave the
    chamber, when the lights go out at night, we're still working,
    so that when you come back the next morning, that Congressional
    Record is online or it's in paper form, so that you can carry
    out the work of the legislative process. We print all of your
    congressional products. You need to have one source for all of
    that.
        And then, last, we're the ones that provide authentication
    for that information. You can get it anywhere off the Web if
    you want. But if you want to make sure that the information
    used in the legislative process is authentic, it needs to from
    the GPO, because it will have the digital seal of approval on
    the left-hand side of that page, which indicates, through the
    chain of custody, we took care of it and it has not been
    tampered with.

              GPO deg.REDUCTION IN CONGRESSIONAL PRINTING

        Senator Hoeven. Mr. Chairman, I do have a couple other
    questions. Would you like to go?
        Senator Nelson. No, go ahead.
        Senator Hoeven. Okay.
        Are we printing things that we should not be or that we
    don't need to be printing?
        Ms. Vance-Cooks. We asked that question last year when we
    issued our congressional survey. We started in May, and we
    actually sent the survey to all of the Member offices, where we
    asked them if they wanted to have the same number of copies of
    the Congressional Record, the Congressional Record Index, the
    Federal Register, and the Federal Register Index delivered to
    them. It was our way of being proactive and asking if the
    Congress needs all of the printed copies they were getting. As
    a result of that survey, we had an 18-percent reduction in the
    printed copies of the Congressional Record delivered to the
    Congress, the largest single annual reduction since we first
    put the Congressional Record online in 1994.
        So the short answer to your question, Sir, is that we are
    continually working with the Congress to determine whether or
    not you need those particular copies or whether or not you need
    those particular products.
        Senator Hoeven. Has GAO ever done an evaluation of whether
    or not we're printing things that we don't need to print and
    whether or not we could disseminate the same amount of
    information as effectively at lower costs without printing some
    of these reports?
        Ms. Vance-Cooks. Yes, Sir. We have had multiple studies by
    GAO. We've had studies by the Congressional Research Service
    (CRS). In fact, we are now in the process of having a study
    conducted by the National Academy of Public Administration
    through CRS to talk about just the very thing you're
    describing. Our introductory meeting was last week.
        And we have always had, through all of these studies, the
    same conclusion, which is that our business model is sound. It
    is effective. It is efficient. And it is cost saving.

               GPO deg.POTENTIAL FOR ADDITIONAL SAVINGS

        Senator Hoeven. Good for you. I think it's important that
    you continue to assess it, because technology changes, and what
    you're doing has to evolve with it. And so, I think it should
    be something ongoing. I'm glad to hear that you're doing that.
        Ms. Vance-Cooks. Thank you.
        Senator Hoeven. I'm going to ask you the same question I'm
    going to ask each one of you: If we have to find further
    savings, where would you go? Do you have to go to cutting
    staff? Would you go to equipment? Where would you go to find
    savings if you have to do that?
        Ms. Vance-Cooks. If we have to do this, and of course you
    know I'm doing the agony thing, but if we have to do it, it
    would come from the funds we're requesting for capital
    investment, which is in our revolving fund.
        The funds we're requesting for capital investments include
    two parts. One is for IT improvements and second would be for
    improvements to our building.
        IT investments are is very important for us in terms of
    FDSys, because we must make sure that everything is online and
    that it is online quickly and that it is accurate. We recognize
    that we have a number of IT infrastructure issues that must be
    addressed.
        Over the past few years, because of the delay in funding or
    not having enough funding, we've had to delay some of those
    projects. And because of the fact that we want to make sure
    that we're keeping pace with technology, that will suffer.
        On the other side, in terms of the facilities, our building
    is aging. We do need a new fire suppression system, and we do
    need to renovate our elevators. I am very concerned about those
    two issues, because of the fact that they pose health and
    safety issues.
        Senator Hoeven. Thank you.
        Ms. Vance-Cooks. Thank you.
        Oh, one other thing, Sir. I just received a note. I want to
    make sure to tell you that we only print what the Congress asks
    us.
        Senator Hoeven. I was pretty sure of that.
        Ms. Vance-Cooks. But I wanted to make sure that I gave it
    to you.
        Senator Hoeven. I was looking for ideas on maybe where we
    can go back to the Congress and say, ``You don't need to print
    that.''
        Ms. Vance-Cooks. That's right.
        Senator Nelson. Thank you.

    GPO deg.FEWER FULL-TIME EQUIVALENTS AT THE GOVERNMENT PRINTING
                                     OFFICE

        In your estimate, it's by the end of fiscal year 2013,
    you'll have 250 fewer FTEs than you were operating with in
    fiscal year 2011. Is this a temporary reduction? Or is this a
    1-year reduction, and next year you will be coming back asking
    for 100 to replace the 250 that you are down right now? Just
    trying to figure out what the trend line is on staffing that
    you're looking at.
        Ms. Vance-Cooks. Thank you. Actually, we're already there.
    We've lost 250 people through the buyout, and we lost another
    65 through regular separations. So we're down about 312
    positions.
        We think that we will probably stay around that level. And
    the reason is because we're changing the skill level of the
    employees. Any selective hiring that we might do to replace
    some of the open positions are more along the lines of being
    technical.
        Then on top of that, we are asking and making sure that we
    try to introduce as much technology as possible to take the
    place of employees. So I think that will be around the same.
        Senator Nelson. Well, it's obvious that you're an agency in
    transition, and will continue to be in transition for some
    period of time. I commend the fact that you're making
    adjustments with that in mind.
        You're stuck with paper at the present time. You'll be
    stuck with it for a long time. But you're also meeting your
    requirements on the technological side. That's important.
        And I note that you said when our lights go off, your
    lights are still on. I have a feeling that Mr. Dodaro and Dr.
    Elmendorf still have their lights on, maybe even a little later
    into the night as well, with all the requests we keep asking
    for. I'm sure they feel the same way.
        Well, thank you very much.
        I will go to CBO for a second here with my time.
        I want to commend you and your staff, Dr. Elmendorf, as
    well, in producing your budget request. I know it's a great
    pain, with all the requests that you're getting, and also
    recognizing that the spike in budgeting for salary and FTEs
    back a couple of years ago was temporary, and that you've taken
    the initiative to reduce staffing accordingly at the present
    time.
        For tax analysis, for example, it may be one of the areas
    of increased congressional requests coming forward. With your
    reduced staffing, are you in a position where you think you
    have the right staff to deal with the tax issues that are
    likely to come up in this next year? Maybe not action, but a
    lot of talk about it, which means there'll be a lot of
    questions that will be thrown your way.

                           CBO deg.STAFFING

        Dr. Elmendorf. So, Mr. Chairman, we'll do the best we can
    with the staffing we have. But I would be much more comfortable
    about our capacity to meet the congressional demands if we were
    back at the staffing we had a few years ago. I mean, we do
    recognize, given the current appropriations discussions in the
    Congress, that we're not going back to that level of funding.
    But the demands have not really eased up. The demands weren't
    temporary.
        So we're trying to make sure that we are allocating our
    staff in the areas of greatest congressional interest. The
    point that Senator Hoeven made about the importance of setting
    priorities, of deciding what really has to happen, is one that
    we're going through very intensively.
        So we hope through that process to meet the highest-
    priority congressional demands. But as you know from your own
    experience with us, Senator, we can't get to anybody's requests
    as quickly as they would like and as quickly as they deserve,
    given the nature of the budget and economic problems that the
    country faces.
        Senator Nelson. Without saying anything negative about any
    of our colleagues, some of them may have unusual expectations
    about how fast things get turned around under the best of
    circumstances. And only you are the ones that have to tell them
    that their requests and expectations are unusual. Neither of us
    have to do that. So I recognize that challenge.
        Now, I think you've also spoken to our colleagues and
    committee chairs about what they're expecting to try to assess
    the demand that you're going to face not only currently, but in
    the future. Has that been helpful in trying to establish some
    level of priority on the kind of demands you're going to get?
        Dr. Elmendorf. I think it certainly has been helpful. We
    tried to stay in close contact with all the committees with
    whom we do work.
        Of course, the members of the subcommittee and their staff
    can't exactly foresee what will come ahead either. But the
    conversations have been very helpful. What I fear is that when
    we have conversations with individual committees about their
    needs and our staffing constraints, I fear that they mostly
    believe that the shortfall in staffing will come out of
    somebody else's requests, not theirs. And we keep trying to say
    that there'll have to be some reduction in what we can do for
    the wide range of committees and for the leadership in the
    House and the Senate, as well.
        So we're sending that message, I think, pretty clearly. And
    we're learning from these conversations what it is that the
    committees want us most to do. But that doesn't, as you know,
    it doesn't eliminate the tensions.

              CBO deg.INFOMATION TECHNOLOGY REQUIREMENTS

        Senator Nelson. I noticed in the budget that you are going
    to IT replacement, and that you proposed to fund IT
    expenditures at around 40 percent less than in the current
    year. In the budget proposals for the past several years,
    you've also had reductions in IT development and in support.
    What steps have you taken in the past to reduce those IT costs?
    What additional steps are you probably looking at right now to
    continue to reduce those costs, because, obviously, there has
    to be some give for that reduction to be in your budget?
        Dr. Elmendorf. Right. So we were able, in the preceding few
    years, to replace a fair amount of our IT equipment. We put in
    a new network at CBO and other important upgrades.
        Senator Nelson. You were getting faster results, as I
    recall.
        Dr. Elmendorf. And in fact, we actually, literally, went
    out and bought some faster computers to turn around certain
    estimates more quickly.
        What we're doing right now really is just not replacing
    things. And that's okay for a little while, but isn't okay on a
    sustained basis.
        The same issue is true in our purchases of data. One cannot
    buy a year's worth of data or maybe 2 years' worth of data. But
    eventually we'll be giving you analysis that, if we proceed on
    that course indefinitely, give you analysis based on outdated
    information--we can't let that happen.
        So what we think we're going to continue to do is to
    restrain our staffing levels to bring down staffing, because we
    can't end up in a situation where we have people without the
    support they need to do their jobs effectively.

                       CBO deg.NONPAY REDUCTIONS

        Senator Nelson. Are you at the brink of deferral efficiency
    right now? In other words, can you keep deferring? Or have you
    reached the maximum level of deferrals, where from this point
    forward, it will adversely impact your ability to respond back?
        Dr. Elmendorf. So, I think any further reductions in our
    nonpay spending relative to what we have requested for next
    year would seriously affect our ability to provide the analysis
    that you need. And I think, moreover, even the level we're
    proposing in fiscal year 2013, we can't do again in fiscal year
    2014.
        And as we think about our purchase of data and IT
    equipment, and think about our staffing very crucially, we're
    looking not just at what you and your colleagues would do in
    fiscal year 2013, but where that will go in fiscal year 2014.
        And I think in fiscal year 2014, we will need to spend more
    on these nonpay areas. As you know, they're only about 7
    percent in our budget for next year. And that will have to go
    up in dollar terms in fiscal year 2014 in order to provide the
    support that people need. And what that means is that, unless
    our budget goes up in fiscal year 2014, then our staffing will
    go down further.
        Senator Nelson. Senator Hoeven.
        Senator Hoeven. Thank you, Mr. Chairman.
        Mr. Elmendorf, so if you have to find additional savings,
    you would go where? The IT budget? Is that what you're saying?

                      CBO deg.STAFFING REDUCTION

        Dr. Elmendorf. No. So if you held our budget flat in fiscal
    year 2013, with the level in fiscal year 2012, we would reduce
    staffing further----
        Senator Hoeven. Staffing?
        Dr. Elmendorf [continuing]. Than we proposed in the budget,
    because I think the nonpay complements have been squeezed as
    far as they can be squeezed in order to have the staff that we
    do have being effective at their jobs.
        Senator Hoeven. So if you had to reduce funding further, it
    would be a staff reduction?
        Dr. Elmendorf. It would be staffing. So if you held the
    budget flat rather than the 2-percent increase we're asking
    for, that would mean about five fewer FTEs for the year as a
    whole. Because we're starting at a level more than what we
    would be aiming for an average over the year, we would need to
    finish the year with fewer FTEs. So if you held the budget
    flat, we might aim to finish next year with about 225 FTEs
    rather than 235 FTEs.

                      CBO deg.IMPACT ON SERVICES

        Senator Hoeven. Okay, and then talk about the impact that
    would have on the services you provide.
        Dr. Elmendorf. So if you look at particular areas, and
    again there are a lot of areas we're asked to cover with fairly
    specialized expertise in different ones, so we have, for
    example, three analysts who work on agricultural issues. And
    they work around the clock, especially last fall when the
    Appropriations Committee was--when the Agricultural Committees
    were looking for ways to reduce the costs of agricultural
    programs.
        Senator Hoeven. I remember.
        Dr. Elmendorf. But if one of those people left or retired,
    we wouldn't, I think, replace him. And then we'd have two
    analysts in an area rather than three.
        We have a significant team of people working on national
    security issues. The budget consequences of different national
    security choices seems to me as prominent a concern of the
    Congress today as it has been. But if our staffing goes down,
    we will have to reduce the number of people we have working on
    doing estimates of the budgetary consequences of different
    national security choices.
        One of the areas that we are protecting as we think about
    different levels, and we are working very hard at how we would
    structure the allocation of people for different levels of
    total staffing, one area that I think we'll protect in that
    process is people working on health programs, because that is
    an area where the interest of the Congress really has surged
    over the past few years and has not abated.
        Although a large piece of legislation was enacted, as you
    know, the congressional interest in either reversing that
    action or in building upon it is extremely high. Partly because
    of that law, the work we do in an area is now even more
    complicated than ever. So that's an area where we need to
    maintain the staffing that we have, even if our total staffing
    is cut back.
        But that means, then, more severe cuts to a whole set of
    areas in which CBO has traditionally and continues to play a
    very important role in serving the Congress.
        Senator Hoeven. So it would translate into longer timelines
    to respond to requests for CBO scoring, studies, and so forth?
    Primarily, what the Congress would see, is a longer timeline in
    terms of getting that work done?
        Dr. Elmendorf. Longer timeline, and I think I would say
    fewer variations. So I think in many cases, the timelines are
    fairly fixed by the congressional process. But what would
    happen is that we'd be able to do less work with committees, in
    particular, as they are preparing legislation for markup in
    committee.
        So, we do about 600 formal cost estimates a year. This is
    the estimate we prepare after committees have reported out
    legislation. But we do thousands of informal estimates as
    committees are discussing what legislation to send out of
    committee.
        And those are often variations on different themes; and we
    would have to do fewer of those. In the case of the studies
    that we write and other analyses that do not have fixed timing,
    then, yes, we would just stretch out the scheduling. And it
    would take longer to get answers from us.

                   CBO deg.CONGRESSIONAL ASSISTANCE

        Senator Hoeven. Is there something the Congress could do
    that you think would be beneficial in terms of assisting you in
    what you do and how you do it to make it more efficient, more
    cost-effective? Probably in your case, because you're primarily
    people, more time-effective? And so, is there something in how
    we do this and how we request scoring that you think that you
    would recommend?
        Dr. Elmendorf. Well, so as we say when we talk to
    committees, more advanced warning for us of what issues are
    coming up and what alternative policies are being considered
    helps us do a more effective job. And I think most of the
    committees understand that and try to give us as much of a head
    start as they can.
        I think beyond that the part of what makes our job hard is
    that the Congress tries to enact policies of different sorts,
    but does not, and then comes back around again later and tries
    one more time. So in the course of last year's discussions
    about fundamental changes in fiscal policy, we did an
    unbelievable amount of work that never saw the light of day and
    never made it into a formal cost-estimate, because legislation
    never really came to committees or to the floor of the Senate
    or the House for much of the work that we did.
        So part of what takes time for us is that the Congress is
    wrestling with these issues. But that involves a certain amount
    of going back to policies we've estimated before and estimate
    them again with slight changes or against a new set of baseline
    economic and technical assumptions.
        So if there were a more linear path for the Congress to get
    to the legislation it ultimately would enact, that would help
    us. But I don't think that's--that's not an operational
    suggestion. I think these are hard issues, of course. That's
    why the Congress is wrestling with them; and I don't have a lot
    of operational ideas on how to reduce that workload.
        Again, I think we feel very bad when we have to say no, we
    can't look at this alternative policy that somebody has in
    mind, because it's a good thing for the Congress to be
    considering alternatives and to be trying to tackle the budget
    and economic issues that we face. So I can't suggest that you
    ask fewer questions.
        And what worries me is our ability to provide the kinds of
    accurate and timely answers that you need.

                         CBO deg.WORK PROCESS

        Senator Hoeven. There's the process of what you do and
    there's the substance of what you do. You're talking about
    improving the process. That is something you have to evaluate
    all the time. I understand very well the point you're making.
        It's a good one. A lot of this work doesn't necessarily
    translate into policy, yet it's the information people need to
    have in order to make decisions about what might be effective
    policy.
        Substantively, I'm looking to see if there's any
    recommendations. I understand that that's a function of the
    Congress and the type of information they want, and how they
    want that provided, in a sense. But you being on the inside
    looking at how this machine works, seeing what your output is,
    do you have any recommendations on the substance of what you
    do? Where do we have you spending a lot of time but maybe not
    creating a lot of illumination?
        I'm just looking for any of those kinds of recommendations.
        Dr. Elmendorf. So I think, in some cases, Senator, there is
    a request for us to look at more variations on different
    policies than reveal new information to the Congress. So
    sometimes variations reveal important aspects of how the world
    works or how Government policy can affect the world. Other
    times, I think, those variations don't reveal interesting
    information about how the world works or how Government policy
    can matter.
        And I think sometimes when we're asked to do a lot of work
    on specific aspects of policies, that sometimes that goes
    beyond the point of diminishing returns.
        But it is difficult--but that's a concern that I have, and
    I can have it after the fact. It's much harder to know when one
    begins a process, what variations will be interesting and
    informative and what won't be.
        And it's not our place to tell the Congress what policies
    it should be exploring. So it's very difficult for us to try to
    guide that sort of process as it unfolds.
        And even if after the fact it turns out that we went down
    some roads that weren't very helpful, it's much harder for us
    to know that or to say that at the beginning of the road.
        Senator Hoeven. Okay. I'm just looking for any
    recommendations you have that might enable you to do your job
    more cost and time effectively. Certainly, we would want you to
    bring those forward.
        I think, de facto, some of the things you're talking about,
    arguably, sort themselves out on a resource basis.
        In other words, if you have fewer people, you will do fewer
    scenarios, because you will have no choice. And I think that's
    what you're saying. I understand that.
        Dr. Elmendorf. Yes.
        Senator Hoeven. So those areas you do, do, that's what I'm
    saying, we want to be as efficacious as possible.
        Dr. Elmendorf. Yes, and I think that's right. And we do
    try, when we can foresee the consequences, we do try to advise
    committee staff that we should not look at this path, because
    this will look just like the other one. They should have us
    look over here. And when we can see that coming, we do try to
    do that.
        But again, you should understand, very rarely do I get
    phone calls from the chairmen or ranking members of committees
    saying, well, you showed me too many options.
        Senator Hoeven. No, I understand.
        Dr. Elmendorf. And I get a lot of phone calls.
        Senator Hoeven. Yes, I absolutely understand that part.
        And it should be. I mean, people have the right to ask for
    the information if they want certain information. I understand
    that perfectly. Just we're making sure that if there are ways
    for your team to work more effectively, and we can help there,
    we do it, because, de facto, you and I both know there's going
    to be a limit on how many people you're going to have, and
    that's going to limit the service that you can provide.
        Dr. Elmendorf. Yes. I understand.
        Senator Hoeven. Thank you.
        No further questions, Mr. Chairman.

                         ADDITIONAL COMMITTEE QUESTION

        Senator Nelson. Thank you, Senator Hoeven.
        And I want to thank the witnesses and encourage Dr.
    Elmendorf to continue to work toward the illumination of the
    Congress.
        Dr. Elmendorf. We will, Mr. Chairman. Thank you.
        [The following question was not asked at the hearing, but
    was submitted to the Office for response subsequent to the
    hearing:]
                      Question Submitted to Gene L. Dodaro
                   Question Submitted by Senator John Hoeven
        Question. Of the total outlay for the Troubled Asset Relief Program
    (TARP), how much of that has been returned?''
        Answer. As reported in the Federal Government's financial
    statements, as of September 30, 2011, TARP had disbursed a total of
    $413.4 billion and $316.1 billion had been returned including $276.9
    billion in repayments and $39.2 billion in income from dividends,
    interest, and warrants. Since that time, the Department of the Treasury
    has provided updated information. As of April 4, 2012, TARP had
    disbursed a total of $414.56 billion and $333.5 billion had been
    returned including $392.64 billion in repayments and $40.86 in income
    from dividends, interest, and warrants.

                              SUBCOMMITTEE RECESS

        Senator Nelson. The subcommittee will stand in recess until
    2:30 p.m. on March 22, 2012, when we will meet in this room to
    take testimony on the fiscal year 2013 budget request of the
    Secretary of the Senate, the Senate Sergeant at Arms, and the
    United States Capitol Police.
        We stand recessed. Thank you.
        [Whereupon, at 3:50 p.m., Thursday, March 15, the
    subcommittee recessed, to reconvene at 2:30 p.m., Thursday,
    March 22.]

             LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2013

                                  ----------

                            THURSDAY, MARCH 22, 2012

                                   U.S. Senate,
       Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 2:33 p.m., in room SD-124, Dirksen
    Senate Office Building, Hon. Ben Nelson (chairman) presiding.
        Present: Senators Nelson and Hoeven.

                                  U.S. SENATE

                            Office of the Secretary

    STATEMENT OF NANCY ERICKSON, SECRETARY OF THE SENATE

                    OPENING STATEMENT OF SENATOR BEN NELSON

        Senator Nelson. The subcommittee will come to order.
        Good afternoon, everyone, and welcome. My colleague and
    friend, the Ranking Member, Senator Hoeven, is on his way. He
    should be here shortly, and when he arrives, we will ask him to
    make any opening comments that he would like to make.
        We welcome today, to take the testimony for the fiscal year
    2013 budget request for the Secretary of the Senate, the Senate
    Sergeant at Arms, and the U.S. Capitol Police.
        This is our final hearing for fiscal year 2013, and I would
    like to thank everyone for being here. I would like to thank
    Nancy Erickson, the Secretary of the Senate; Terrance W.
    Gainer, the Senate Sergeant at Arms (SAA); and Phillip D.
    Morse, Sr., the Chief of the United States Capitol Police
    (USCP).
        This is our last hearing of the year for fiscal year 2013
    budgets for the agencies of the legislative branch. In the near
    future, my ranking member and I, along with our colleagues,
    will begin making those tough funding decisions.
        And I want to thank everyone today, particularly the
    witnesses and everyone else who has testified thus far before
    this subcommittee.
        The testimony has been vital and will continue to be vital
    in helping us prioritize everybody's priorities. That is what
    the process is all about. Lean budgets do not mean that
    employees are not doing their job. It simply means that we are
    in tough economic times, and we have to ask our employees to do
    more with less.
        The dedication and hard work of all of your staffs under
    these circumstances is commendable, and we mean that.
        The Senate is a very demanding place to work, whether it is
    behind-the-scenes requirements that allow both Senate floor and
    the committees to proceed to operate smoothly, or maintaining
    the infrastructure that allows our staffs to do their jobs
    efficiently, or ensuring the safety of everyone who enters the
    Capitol Grounds against the daily threats and those who visit
    the Capitol Grounds, as well.
        We're grateful to all of the men and women who keep the
    Senate operating flawlessly, except for the floor, and the
    Capitol a safe place to work and to visit every day.
        Ms. Erickson, we are pleased to have you here this
    afternoon, and I look forward to your testimony. For fiscal
    year 2013, your office is requesting a total of $30.1 million,
    which is the same level of funding recently provided to your
    office in fiscal year 2012. You are requesting $4.2 million for
    the Senate Information Services (SIS) program, which was
    transferred to your office from the SAA in fiscal year 2011.
        I look forward to hearing more about the specifics of your
    budget request, and how you are clearly doing more with less,
    because, obviously, that is what you are doing.
        I also look forward to receiving an update on the progress
    of the new Senate payroll system.
        Mr. Gainer, first I want to commend you for your handling
    of the recent mail threats. It was a matter of grave concern
    for all who work here and who visit here. We have come a long
    way since the anthrax attack, and your diligence in keeping our
    staffs who handle the mail safe is greatly appreciated by all
    of our colleagues across the entire Senate.
        SAA's requests for fiscal year 2013 total $205 million, an
    increase of $1.7 million more than the fiscal year 2012 enacted
    level. I look forward to hearing your priorities, given the
    tight budget that you submitted.
        Finally, Chief Morse, your fiscal year 2012 request totals
    $373.8 million, which is an increase of $34 million, or 10
    percent more than the fiscal year 2012 enacted level.
        Clearly, we're going to need to look carefully at the
    request, given how tight the budgets are going to be and
    continue to be in fiscal year 2013.
        In particular, we will be reviewing your request for
    overtime, given that it is a 15-percent increase when you
    include your overtime costs that are in the Architect of the
    Capitol's (AOC) budget.
        Further, your request for a total increase of $5.1 million
    in overtime is in addition to your request to increase your
    total number of sworn officers by 17. I look forward to
    receiving an update on the radio modernization project, as
    well.
        In anticipation that Senator Hoeven will be here shortly,
    perhaps we can go ahead and begin with the witnesses. As
    always, we try to hold the statements to about 5 minutes, but
    it is not a hard-and-fast rule. It is just sort of a guideline.
        With that in mind, Ms. Erickson, the floor is yours.

                      SUMMARY STATEMENT OF NANCY ERICKSON

        Ms. Erickson. Chairman Nelson, I appreciate this
    opportunity to provide testimony on behalf of the Office of the
    Secretary. I ask that my statement, which includes our
    department reports, be included in the record.
        In 1789, the first Secretary of the Senate, Samuel Otis,
    was tasked with legislative, financial, and administrative
    responsibilities that remain the hallmark of our organization
    today. While Otis founded the office, Secretary Asbury Dickins,
    who served from 1836 until 1861, was credited with stabilizing
    the office with a staff of six people.
        After hearing Senator complaints about staff
    disorganization, Dickins prepared a manual of job descriptions
    and instructed his staff that their hours of business would be
    9 a.m. until 3 p.m., until such later hour as the Senate may
    remain in session, and that it would be expected of a gentleman
    of the office to be ready at all times.
        Today, I have the good fortune to be surrounded by a
    strong, but lean organization of men and women with
    institutional and subject expertise, who are always ready to
    serve the Senate, no matter the time of day. They are the
    people who support the legislative process, including the first
    female Senate parliamentarian; the people who process your
    office vouchers, I might add 23-percent faster than last year;
    the people who ensure our public Web site, www.senate.gov, is
    updated with the latest legislative and educational
    information; the people who counsel members and senior staff on
    employment laws, process staff security clearances, respond to
    staff research requests, implement the lobbying disclosure
    laws, and educate our Senate pages.
        I recognize that you have asked our legislative branch
    agencies to lead by example again. Our budget request for
    fiscal year 2013 is $30,101,459. The salary budget represents
    an increase of $91,000 more than fiscal year 2012 as a result
    of the costs associated with the cost-of-living adjustment. No
    increase is requested for operating expenses, and we have not
    requested an increase in the operating budget for the SIS
    program.
        From fiscal year 2008 to fiscal year 2011, our operating
    budget had remained flat, despite new statutory mandates. I
    believe this is a reflection of the careful spending decisions
    over the past few years.
        In fiscal year 2012, our operating budget was cut 19
    percent in order to shield cuts to the online research and new
    services provided to Senate staff through the SIS program.
    Despite the condition when the program was transferred from SAA
    to the Secretary's budget that there be a firewall between the
    SIS budget and the Secretary's budget, we knew the SIS program
    would not survive the magnitude of cuts last year. As a result,
    we felt we had no choice but to offer to take a larger cut in
    our operational budget in order to save online information
    services that Senate staff rely on to do their jobs.
        I hope to keep the firewall next year.
        Even though the SIS program was shielded from fiscal year
    2012 budget cuts, because of vendor price increases, we were
    still required to cut two information contracts from the
    program. My staff has projected that the overall cost of
    providing the current mix of research services to the Senate
    through fiscal year 2016 could escalate at a rate as much 2.8
    percent per year.
        With respect to our financial responsibilities, the
    Disbursing Office staff, along with our colleagues in the SAA
    technical support office, is working closely with the vendor
    that was awarded the SAA contract to implement the PeopleSoft
    payroll software. We're working extremely hard toward a fall
    implementation.
        I think it is fair to say that our staff is spread
    extremely thin while they continue with their enormous
    responsibilities to correctly administer the Senate's payroll
    twice a month.
        Mr. Chairman and Senator Hoeven, the Senate generates a
    great many records, some published, some not. As Secretary, it
    is my responsibility to oversee the regular transfer of Senate
    Committee records to the National Archives, where they can be
    preserved both for the Committees' future use and for
    historical research. The archivists in the Senate Historical
    Office are also providing advice to the individual Senators on
    how and where to archive the records of their own offices.
        The task has grown exceedingly more complex with the
    enormous expansion of electronic communications.
        Recently, President Obama directed all executive branch
    agencies to reform their records management to improve
    performance, accountability, and increase Government
    transparency by better documenting their actions and decisions.
    I am pleased to report that the Senate began well before and is
    well ahead of the executive branch. The Senate has preserved an
    average of 3,000 to 4,000 feet of textual records for each
    Congress. Those papers have been supplemented by 2.6 terabytes
    of electronic records that are stored at the Center for
    Legislative Archives.
        Finally, the Office of the Secretary continues to support
    the Senate's emergency preparedness program with our
    legislative partners. Our staff who support the chamber can
    vouch that years of training paid off on August 23, 2011, when
    an earthquake forced the temporary evacuation of the Capitol.
        The Senate was scheduled to convene in a pro forma session
    that day and did so at a nearby alternate facility with the
    support of SAA and the party secretaries.
        All materials required to support a session of the Senate
    had been remotely stored for just such an occurrence. Not since
    1814 had the Senate relocated to an alternate facility to
    conduct business.

                               PREPARED STATEMENT

        History happens every day in the Senate, and the
    Secretary's staff remains proud of our role in supporting the
    Senators and their staff in their important work, as well as
    preserving this institution's great history.
        Thank you.
        [The statement follows:]
                      Prepared Statement of Nancy Erickson
        Mr. Chairman, Senator Hoeven, 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 2013.
        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 2013 budget request;
      --implementing mandated systems, financial management information
            system (FMIS), and the legislative information system (LIS);
      --continuity of operations planning; and
      --maintaining and improving current and historic legislative,
            financial, and administrative services.
        sos deg.presenting the fiscal year 2013 budget request
        I am requesting a total fiscal year 2013 budget of $30,101,459. The
    request includes $24,285,115 in salary costs and $5,816,344 for the
    operating budget of the Office of the Secretary. The salary budget
    represents an increase of $91,000 more than the fiscal year 2012 budget
    as a result of the costs associated with the annual cost of living
    adjustment. No increase is requested for our operating expenses. In
    addition, the operating budget for the administration of Senate
    Information Services (SIS) program that was assumed by this office in
    2011 has not been increased.

                                     OFFICE OF THE SECRETARY APPORTIONMENT SCHEDULE
    ----------------------------------------------------------------------------------------------------------------
                                                                          Amount          Budget
                                                                         available       estimates
                                  Items                                 fiscal year     fiscal year     Difference
                                                                           2012            2013
    ----------------------------------------------------------------------------------------------------------------
    Departmental operating budget:
        Executive office............................................        $444,495        $444,495  ..............
        Administrative services.....................................       5,323,359       5,323,359  ..............
        Legislative services........................................          48,490          48,490  ..............
                                                                     -----------------------------------------------
          Total operating budget....................................       5,816,344       5,816,344  ..............
    ----------------------------------------------------------------------------------------------------------------

                 sos deg.implementing mandated systems
        Two systems critical to our operation are mandated by law, FMIS and
    LIS, 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 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 WebFMIS
    system, and make payroll and accounting system improvements.
        During fiscal year 2011, specific progress made on the FMIS project
    included two upgrades of WebFMIS:
      --FMIS 2011-2 was implemented in June 2011. This release included an
            enhancement to electronic invoicing that allows an office (or
            an auditor in the Disbursing Office) to split a single charge
            on an invoice into two accounting lines. The expense summary
            report (ESR) line entry module was also updated to implement
            some minor enhancement and corrections. Release 2011-2 also
            implemented the third of three major phases in WebPICS, which
            effectively replaces and improves ADPICS (the mainframe
            procurement application). The first two phases of WebPICS
            provided functionality for requisitions and vouchers. This
            release allowed purchase orders to be created, approved, and
            posted.
          One of the larger changes in this release was the addition of
            online access to the month end ledger statements (Statement of
            Funding Authorization and Expense Activity). A pilot group was
            given access to their May 2011 statements first. After positive
            feedback, all offices were given access to their June 2011
            statements, and paper distribution was eliminated.
      --FMIS 2011-3 was implemented in August 2011. The most significant
            feature in release 2011-3 was the image viewer and repository
            that allows users to attach documentation to their vouchers. A
            pilot of three offices began attaching their supporting
            documentation electronically only--the paper vouchers
            themselves were still required to provide approving signatures.
            Unfortunately, system performance for the auditors fell less
            than acceptable levels, and Disbursing asked its pilot offices
            to suspend testing until the issue was resolved. The matter was
            quickly identified, and we are now positioned to scale up for a
            Senate-wide rollout. Initial testing at the end of the year
            showed a vast improvement.
          The most significant improvement to WebPICS was the
            implementation of an insufficient funds limitation, on the
            submission and approval of requisitions. The entry of specific
            limits will be rolled out in 2012. After this release, the
            information technology (IT) section discontinued granting new
            procurement users access to mainframe ADPICS.
        The computing infrastructure for FMIS is provided by the Sergeant
    at Arms (SAA). Each year SAA staff upgrades the infrastructure hardware
    and software. During 2011, SAA implemented two upgrades to the FMIS
    infrastructure. These included a maintenance update to the database
    (DB2), and a maintenance update to the mainframe operating system (Z/
    OS).
        In October 2010, a task order for the adding document imaging and
    electronic signatures to WebFMIS was signed. This task order outlines
    work to be completed between then and spring 2013 in three phases. The
    revised schedule is:
      --Phase 1.--Imaging only pilot--fall 2011;
      --Phase 2.--Office imaging and signatures pilot (March 2012), and
            full roll-out (June 2012); and
      --Phase 3.--Staffer imaging and signatures pilot (fall 2012), and
            rollout (spring 2013).
        During 2008, the Disbursing Office and SAA worked together to
    develop detailed system requirements desired for our new payroll
    system. We reviewed several different products and in 2009 selected a
    new software program for the system. In March 2010, the Senate selected
    a system integrator to assist with implementing the new software. The
    system integrator began work on the project in November 2010 with a
    very aggressive implementation plan of 15 months.
      --The Senate Payroll System (SPS) includes several phases. The
            initial phase is the implementation of functions for processing
            payroll and managing Senate office budgets and payroll
            projections. The second phase is to implement and conduct a
            pilot test for self-service applications which will allow
            Senate employees to enter and change certain personal data and
            benefits selections. The third phase will be replacement of the
            current Senate Office Personnel System (SOPS).
      --The first phase of the project is currently scheduled to go live
            the first week of September. The systems integrator has
            experienced several delays in the course of the project. As the
            project lead, SAA has maintained a close review of contract
            expenditures and is working closely with the vendor to ensure
            costs remain within the existing contracted levels.
        During the remainder of fiscal year 2012 the following FMIS
    activities are anticipated:
      --Coordinating with SAA the timeframes for the implementation of the
            smart card ID project for electronic signatures;
      --Continuing the implementation and the required updates to the
            Hyperion Financial Management application to provide the Senate
            the ability to produce auditable financial statements;
      --Continuing the implementation of online financial reports;
      --Participating in the yearly disaster recovery test;
      --Implementing FMIS 2012-1, which includes imaging infrastructure
            upgrade and voucher printing fixes;
      --Implementing FMIS 2012-2, imaging and signatures roll out--this
            release will provide capacity and stability enhancements to
            support rollout to all offices and committees, as well as
            enhancements to the pilot functionality based on feedback
            gained through user group meeting and training sessions and new
            ESR functionality;
      --Continuing with SPS implementation, conversion, training and user
            acceptance, and parallel testing for Phase I; and
      --Reviewing existing systems and develop a long-term modification and
            replacement plan for key financial systems.
        Anticipated projects for fiscal year 2013:
      --Implementing FMIS 2013-1, deployment of an imaging and electronic
            signatures pilot for staffers;
      --Implementing FMIS 2013-2, deployment of an imaging and electronic
            signatures pilot for all Senate staff;
      --Continuing to coordinate with SAA and participate in the yearly
            disaster recovery activities;
      --Continuing to support the SAA in any upgrades to the infrastructure
            software and hardware; and
      --Continuing with the postimplementation support for SPS and the roll
            out of Phase II--employee self-service.
        A more detailed report on FMIS is included in the departmental
    report of the Disbursing Office.
                      sos deg.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, responsible for overall coordination,
    supervision, scheduling, and cross-training. The department consists of
    eight offices:
      --the Bill Clerk;
      --Captioning Services;
      --the Daily Digest;
      --the Enrolling Clerk;
      --the Executive Clerk;
      --the Journal Clerk;
      --the Legislative Clerk; and
      --the Official Reporters of Debates.
    Summary of Activity
        The Senate completed its legislative business and adjourned on
    January 3, 2012. During the first session of the 112th Congress, the
    Senate was in session 170 days, conducted 235 rollcall votes and 5 live
    quorum calls. There were 185 measures reported from committees and 17
    special reports submitted to the Senate. There were 402 total measures
    passed or agreed to. In addition, there were 1,467 amendments submitted
    to the desk.
    Cross-Training and Continuity of Operations 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 one-half of the legislative staff are
    currently involved or have recently been involved in cross-training.
        Each office and staff within the Legislative Department
    participated in numerous ongoing Continuity Of Operations (COOP)
    discussions and exercises, including an off-site mock session,
    throughout the past year. These discussions and exercises are a joint
    effort involving the Office of the Secretary, the party secretaries,
    the U.S. Capitol Police (USCP), and SAA.
    Succession Planning
        The average number of years of Senate service among the Secretary's
    Legislative Department supervisors is 22 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.
                          sos deg.bill clerk
        The Office of the Bill Clerk collects and records data on the
    legislative activity of the Senate, which becomes the historical record
    of official Senate business. The Bill Clerk's Office keeps this
    information in its handwritten files and ledgers and also enters it
    into the Senate's automated retrieval system so that it is available to
    all House and Senate offices through the LIS. The Bill Clerk records
    actions of the Senate with regard to bills, resolutions, reports,
    amendments, cosponsors, Public Law numbers, and recorded votes. The
    Bill Clerk is responsible for preparing for print all measures
    introduced, received, submitted, and reported in the Senate. The Bill
    Clerk also assigns numbers to all Senate bills and resolutions. All the
    information received in this office comes directly from the Senate
    floor in written form within moments of the action involved, so the
    Bill Clerk's Office is generally regarded as the most timely and most
    accurate source of legislative information.
    Assistance From the Government Printing Office
        The Bill Clerk's Office maintains an exceptionally good working
    relationship with Government Printing Office (GPO) and seeks to provide
    the best service possible to meet the needs of the Senate. GPO
    continues to respond in a timely manner to the Secretary's request,
    through the Bill Clerk's Office, for the printing of bills and reports,
    including the expedited printing of priority matters for the Senate
    chamber.
    Legislative Activity
        For comparative purposes, the following table provides summaries of
    the first sessions of the 111th and 112th Congresses:

    ----------------------------------------------------------------------------------------------------------------
                                                                           111th           112th
                                                                       Congress, 1st   Congress, 1st    Percentage
                                                                          Session         Session         change
    ----------------------------------------------------------------------------------------------------------------
    Senate bills....................................................           2,920           2,031          -30.44
    Senate joint resolutions........................................              25              33          +32.00
    Senate concurrent resolutions...................................              48              33          -31.25
    Senate resolutions..............................................             387             351           -9.30
    Amendments submitted............................................           3,298           1,467          -55.52
    House bills.....................................................             382             188          -50.79
    House joint resolutions.........................................              10               7          -30.00
    House concurrent resolutions....................................              67              23          -65.67
    Measures reported...............................................             199             185           -7.04
    Written reports.................................................             113             130          +15.04
                                                                     -----------------------------------------------
          Total legislation.........................................           7,449           4,448          -40.29
                                                                     ===============================================
    Rollcall votes..................................................             397             235          -40.81
    House messages \1\..............................................             292             178          -39.04
    Cosponsor requests..............................................           7,205           6,621           -8.11
    ----------------------------------------------------------------------------------------------------------------
    \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.

                      sos deg.captioning services
        The Office of Captioning Services provides real-time captioning of
    Senate floor proceedings for the deaf and hard-of-hearing and
    unofficial electronic transcripts of Senate floor proceedings to Senate
    offices on Webster, the Senate Intranet.
    General Overview
        Captioning Services strives to provide the highest-quality closed
    captions. The overall accuracy average rate for the Office is a stellar
    99.57 percent. This marks the 18th year in a row the Office has
    achieved an accuracy rate more than 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. In an
    effort to decrease paper consumption and printing costs, accuracy
    reviews, and reports were completed and archived in electronic form.
    Also, newspaper and magazine subscriptions used for preparation and
    research were cancelled to achieve added cost savings and replaced with
    already available electronic copies.
        The real-time searchable closed caption log, available to Senate
    offices on Webster, continues to be an invaluable tool for the entire
    Senate community. Legislative floor staff, in particular, continues to
    depend upon its availability, reliability, and contents to help them in
    the performance of their duties. The Senate caption log will undergo an
    upgrade during 2012, and work has begun to develop and enhance the
    software while maintaining the accuracy and dependability the Senate
    community has come to expect from the caption log.
    Continuity of Operations Planning
        COOP planning and preparation continue to be a top priority to
    ensure that the Office is prepared and confident about the ability to
    relocate and successfully function from a remote location in the event
    of an emergency. Continual updates and review of the COOP plan and
    discussion with staff throughout the year prepare individuals to have
    confidence if called upon to execute the plan. The Office participates
    with the Senate Recording Studio in two off-site location exercises
    related to COOP annually and also tests monthly the reliability of
    equipment and readiness of staff to relocate to additional sites in the
    event of an emergency.
                         sos deg.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
    112th Congress.
    Chamber Activity
        The Senate was in session a total of 170 days, for a total of 1,101
    hours and 44 minutes. There were five quorum calls and 235 record
    votes. (See the following chart for 20-Year Comparison of Senate
    Legislative Activity).

                                                                          20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY \1\
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              1992          1993          1994          1995          1996          1997          1998          1999          2000          2001
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    Senate convened.....................................           1/3           1/5          1/25           1/4           1/3           1/3          1/27           1/6          1/24           1/3
    Senate adjourned....................................          10/9         11/26         12/01        1/3/96          10/4         11/13         10/21         11/19         12/15         12/20
    Days in session.....................................           129           153           138           211           132           153           143           162           141           173
    Hours in session....................................      1,09109"      1,26941"      1,24333"      1,83910"      1,03645"      1,09307"      1,09505"      1,18357"      1,01751"      1,23615"
    Average hours per day...............................           8.5           8.3           9.0           8.7           7.8           7.1           7.7           7.3           7.2           7.1
    Total measures passed...............................           651           473           465           346           476           386           506           549           696           425
    Rollcall votes......................................           270           395           329           613           306           298           314           374           298           380
    Quorum calls........................................             5             2             6             3             2             6             4             7             6             3
    Public Laws.........................................           347           210           255            88           245           153           241           170           410           136
    Treaties ratified...................................            32            20             8            10            28            15            53            13            39             3
    Nominations confirmed...............................        30,619        38,676        37,446        40,535        33,176        25,576        20,302        22,468        22,512        25,091
    Average voting attendance...........................          95.4          97.6         97.02         98.07         98.22         98.68         97.47         98.02         96.99         98.29
    Sessions convened before 12 noon....................           112           128           120           184           113           115           109           118           107           140
    Sessions convened at 12 noon........................             6             6             9             2            15            12            31            17            25            10
    Sessions convened after 12 noon.....................            10            15            17            12             7             7             2            19            24            21
    Sessions continued after 6 p.m......................            91           100           100           158            88            96            93           113            94           108
    Sessions continued after 12 midnight................             9             7             3             1  ............  ............  ............  ............             2             3
    Saturday sessions...................................             2             2             3             5             1             1             1             3             1             3
    Sunday sessions.....................................  ............  ............  ............             3  ............             1  ............  ............             1  ............
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

                                                                      20-YEAR COMPARISON OF SENATE LEGISLATIVE ACTIVITY--Continued
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              2002          2003          2004          2005          2006          2007          2008          2009          2010          2011
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    Senate convened.....................................          1/23           1/7          1/20           1/4           1/3           1/4           1/3           1/6           1/5           1/5
    Senate adjourned....................................         11/20          12/9          12/8         12/22          12/9         12/31           1/2         12/24         12/22        1/3/12
    Days in session.....................................           149           167           133           159           138           189           184           191           158           170
    Hours in session....................................      1,04323"      1,45405"      1,03131"      1,22226"      1,02748"      1,37554"        98831"      1,42039"      1,07440"      1,10144"
    Average hours per day...............................           7.0           8.7           7.7           7.7           7.4           7.2          5.37          7.44           6.8           6.5
    Total measures passed...............................           523           590           663           624           635           621           589           478           569           402
    Rollcall votes......................................           253           459           216           366           279           442           215           397           299           235
    Quorum calls........................................             2             3             1             3             1             6             3             3             8             5
    Public Laws.........................................           241           198           300           169           313           180           280           125           258            90
    Treaties ratified...................................            17            11            15             6            14             8            30             1             6             2
    Nominations confirmed...............................        23,633        21,580        24,420        25,942        29,603        22,892        21,785        23,051        23,327        19,815
    Average voting attendance...........................         96.36         96.07         95.54         97.41         97.13         94.99         94.36         96.99         95.88         97.08
    Sessions convened before 12 noon....................           119           133           104           121           110           156           147           148           116           127
    Sessions convened at 12 noon........................            12             4             9             1             4             4             4             2             6             4
    Sessions convened after 12 noon.....................            23            23            21            36            24            32            33            41            36            39
    Sessions continued after 6 p.m......................           103           134           129           120           129           144           110           152           116           120
    Sessions continued after 12 midnight................             8             2             3             3             4             4             2             2             1             1
    Saturday sessions...................................  ............             1             2             2             2             1             3             5             2             2
    Sunday sessions.....................................  ............             1             1             2  ............             1             1             4             1             1
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    \1\ Prepared by the Senate Daily Digest--Office of the Secretary.

    Committee Activity
        Senate committees held a total of 939 meetings during the first
    session, of the 112th Congress, as contrasted with 827 meetings during
    the second session, of the 111th Congress.
        All hearings and business meetings (including joint meetings and
    conferences) are scheduled through the Daily Digest and are published
    in the Congressional Record, on the Digest's Web site on Senate.gov,
    and LIS, the Web-based applications system. Meeting outcomes are also
    published by the Daily Digest in the Congressional Record each day and
    continuously updated on the Web site.
    Computer Activities
        The Daily Digest staff continues to work closely with Senate
    computer staff to refine the LIS/document management system (DMS),
    including further refinements to the Senate Committee Scheduling
    application which will improve the data entry process.
                        sos deg.enrolling clerk
        The Enrolling Clerks prepare, proofread, input amendments, and
    print all legislation passed by the Senate prior to its transmittal to
    the House of Representatives, the National Archives, the Secretary of
    State, the United States Claims Court, and the White House.
        During the first session of the 112th Congress the Enrolling
    Clerk's office prepared the enrollment of 20 Senate bills (transmitted
    to the President); 4 Senate enrolled joint resolutions (transmitted to
    the President); 8 Senate concurrent resolutions (transmitted to the
    National Archives); and 143 Senate appointments (transmitted to the
    House of Representatives). In addition, 192 House of Representatives
    bills, 25 House Concurrent Resolutions, 7 House Joint Resolutions, and
    three conference reports were either amended, passed, or acted on by
    the Senate requiring the Enrolling Clerk's office staff to process
    hundreds of amendments in a tightly managed schedule prior to messaging
    the legislation to the House of Representatives for further action. In
    all, there were 69 messages delivered to the Clerk's office and 42
    delivered to the House Chamber by the Enrolling Clerk's office relative
    to Senate action and passage of legislation. The Enrolling Clerk's
    office also delivered to the House Clerk's office of approximately 62
    House enrolled bills and 4 House joint resolutions after they had been
    signed by the President pro tempore as customary.
        A total of 402 pieces of legislation were passed or agreed to
    during the first session of the 112th Congress. Many other Senate bills
    were placed on the calendar, all of which were processed in the
    Enrolling Clerk's office including 61 Senate engrossed bills, 4 joint
    resolutions, 17 concurrent resolutions, and 234 Senate simple
    resolutions. The Enrolling Clerk's office keeps the original official
    copies of bills, resolutions, and appointments from the Senate floor
    through the end of each Congress. At the end of each Congress, the
    Enrolling Clerk's office carefully organizes all official papers
    sequentially in archival boxes, each labeled accordingly, accompanied
    by a report detailing the contents of each box which are then
    transmitted to the Senate Archivist for proper storage at the National
    Archives.
        The Senate Enrolling Clerk's office is also responsible for
    transmitting the original files of all Senate bills and resolutions
    engrossed and enrolled in the Senate to GPO.
    Continuity of Operations Planning
        The Enrolling Clerks participated in two continuity of operations
    (COOP) exercises in 2011. In addition to testing printers for the COOP
    fly-away kits, the exercises also encompassed the important details of
    our operations necessary for the engrossment and enrollment of
    legislation involving the use of printers and specific paper stock
    supplied by GPO.
                        sos deg.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 office processes all executive
    communications, presidential messages and petitions and memorials.
    Nominations
        During the first session of the 112th Congress, there were 1,200
    nomination messages sent to the Senate by the President, transmitting
    20,517 nominations to positions requiring Senate confirmation and 23
    messages withdrawing nominations sent to the Senate during the first
    session of the 112th Congress. Of the total nominations transmitted,
    503 were for civilian positions other than lists in the Foreign
    Service, Coast Guard, National Oceanic and Atmospheric Administration,
    and Public Health Service. In addition, there were 3,469 nominees in
    the ``civilian list'' categories named previously. Military nominations
    received this session totaled 16,545 (5,983 B Air Force; 5,908 B Army;
    3,405 B Navy and 1,249 B Marine Corps). The Senate confirmed 19,815
    nominations this session. Pursuant to the provisions of paragraph six
    of Senate Rule XXXI, 12 nominations were returned to the President
    during the first session of the 112th Congress.
    Treaties
        There were four treaties transmitted to the Senate by the President
    during the first session of the 112th Congress for its advice and
    consent to ratification, which were ordered printed as treaty documents
    for the use of the Senate (Treaty Doc. 112-1 through 112-4).
        The Senate gave its advice and consent to two treaties with various
    amendments, conditions, declarations, understandings and provisos to
    the resolutions of advice and consent to ratification.
    Executive Reports and Rollcall Votes
        There were five executive reports relating to treaties ordered
    printed for the use of the Senate during the first session of the 112th
    Congress (Executive Report 112-1 through 112-5). The Senate conducted
    51 rollcall votes in executive session, all on or in relation to
    nominations and treaties.
    Executive Communications
        For the first session of the 112th Congress, 4,400 executive
    communications, 62 petitions and memorials, and 35 Presidential
    messages were received and processed.
    Environmental Impact
        In an effort to save money and eliminate the use of unnecessary
    paper, the Executive Clerk reduced the copies of treaties, executive
    reports of treaties, and the Executive Calendar printed for
    distribution as they are available online.
    Online Archive of Executive Calendars
        At the request of committees and the public for more information on
    past nominations and treaties, an archive of Executive Calendars from
    1997 to present can now be viewed through Senate.gov. This historical
    information was compiled by the Senate Library through files provided
    by the Executive Clerk. The Secretary's Office of Web Technology was
    responsible to converting and placing the archived files on the
    Senate.gov Web page. Calendars created prior to 1997 will be placed in
    the online archive as they are converted.
                         sos deg.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, and is approved by the Senate on a daily basis. The Senate
    Journal is published each calendar year.
        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:
      --all orders (entered into by the Senate through unanimous consent
            agreements);
      --legislative messages received from the President of the United
            States;
      --messages from the House of Representatives;
      --legislative actions as taken by the Senate (including motions made
            by Senators, points of order raised, and rollcall votes taken);
      --amendments submitted and proposed for consideration;
      --bills and joint resolutions introduced; and
      --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 Journal
    Clerk completed production of the 925-page calendar year 2010 volume in
    2011, and it is anticipated that work on the calendar year 2011 volume
    will conclude by September 2012.
    Continuity of Operations Planning
        In 2011, in support of the Office of the Secretary's commitment to
    continuity of operations programs, the Office of the Journal Clerk
    participated in the annual Chamber Protective Actions/Briefing Center
    exercise, the alternate chamber exercise in May, and legislative staff-
    specific exercises. Real-world implementation of emergency procedures
    occurred when the Senate met in an alternate location in the immediate
    aftermath of the August earthquake. Additionally, monthly tests of
    BlackBerry emergency notification and laptop remote access procedures
    are conducted. The Journal Clerk continued the practice of scanning the
    daily Minute Book pages into a secure directory. The files are also
    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 a 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.
    Cost Savings
        In 2011, the Office of the Journal Clerk undertook efforts to
    reduce already-conservative consumption of paper volume used in a
    traditionally paper-driven office. Lesser consumption of paper used in
    the office resulted from reduction in printing of draft copies of work
    product as updated, and from elimination of the paper copies of daily
    Minute Book pages used by the Journal Clerk team in production of the
    Senate Journal, by the Daily Digest office in compiling statistics, and
    the Senate Library, for reference by Senate staff. Instead, electronic
    copies are accessed via an office network drive and are emailed to the
    Library and Daily Digest staffs.
                 sos deg.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 GPO. Much of the transcript of Senate floor proceedings and Morning
    Business is sent to GPO electronically to allow for production of the
    Record in a cost conscious and timely manner. In most instances, the
    paper copy of the Record is delivered by GPO within 2 to 3 hours of its
    content being placed on the Internet at approximately 7 a.m. every day.
        The Chief Reporter, in conjunction with Senate office and committee
    staff, works to ensure compliance with the ``2-page rule'' to cut down
    on the printing costs of the Record by controlling the amount of
    extraneous printing to be done by GPO. As a result, these materials are
    often condensed so as not to exceed the rule and/or are cited and
    printed on Web sites with referencing so that they are available to the
    interested public.
        The Official Reporters of Debate purchased three new ProCat Stylus
    stenotype machines for continuity of operations purposes. This purchase
    also allows this office to have a stenotype machine in reserve should a
    malfunction occur with a machine used for the daily floor proceedings.
                        sos deg.parliamentarian
        The Parliamentarian's Office continues to perform its essential
    institutional responsibilities to act as a neutral arbiter among all
    parties with an interest in the legislative process. These
    responsibilities include advising the chair, Senators and their staff,
    as well as committee staff, House members and their staffs,
    administration officials, the media and members of the general public,
    on all matters requiring an interpretation of the Standing Rules of the
    Senate, the precedents of the Senate, and unanimous consent agreements,
    as well as provisions of Public Law affecting the proceedings of the
    Senate.
        The parliamentarians work in close cooperation with the Senate
    leadership and their floor staffs in coordinating all of the business
    on the Senate floor. The Parliamentarian or one of her assistants is
    always present on the Senate floor when the Senate is in session, ready
    to assist the Presiding Officer in his or her official duties, as well
    as to assist any other Senator on procedural matters. The
    parliamentarians work closely with the staff of the Vice President of
    the United States and the Vice President himself whenever he performs
    his duties as President of the Senate.
        The parliamentarians serve as the agents of the Senate in
    coordinating the flow of legislation with the House of Representatives
    and with the President, and ensure that enrolled bills are signed in a
    timely manner by duly authorized officers of the Senate for
    presentation to the President. The parliamentarians are a critical
    point of contact for emergency planning for representatives of the
    President.
        The parliamentarians monitor all proceedings on the floor of the
    Senate, advise the Presiding Officer on the competing rights of the
    Senators on the floor, and advise all Senators as to what is
    appropriate in debate. The parliamentarians keep track of 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 1,400
    amendments during 2011 to determine if they met various procedural
    requirements (such as germaneness).
        The Office of the Parliamentarian is responsible for the referral
    to the appropriate committees of all legislation introduced in the
    Senate, all legislation received from the House, as well as all
    communications received from the executive branch, State and local
    governments, and private citizens. In order to perform this
    responsibility, the parliamentarians do extensive legal and legislative
    research. During 2011, the parliamentarians referred 2,203 measures and
    4,496 communications to the appropriate Senate committees. The office
    worked extensively with Senators and their staffs to advise them of the
    jurisdictional consequences of countless drafts of legislation, and
    evaluated the jurisdictional effect of proposed modifications in
    drafting.
        During 2011, 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.
        In the early weeks of 2011, the parliamentarians held many meetings
    with the proponents and opponents of changes to the Senate's rules and
    procedures, and counseled all interested parties in the intricacies of
    both the content of these proposals and the disputed processes for
    bringing about these changes. The Parliamentarian's Office was also
    heavily involved in the legislative procedures to address the debt
    ceiling and has been interpreting the text of what eventually became
    the language of the law ever since. Finally, in October 2011, the
    Senate confronted the issue of Motions to Suspend the Rules in a
    postcloture procedural situation in which the ruling of the Chair,
    given on the advice of this office, was overturned creating a new
    precedent for the Senate.
        The parliamentarians participated in multiple orientation sessions
    for new staff in 2011 as part of the ongoing effort to inform the
    Senate community about its various procedures and the avenues of
    assistance available to them. As in the past, the parliamentarians also
    conducted several briefings on Senate procedure to various groups of
    Senate staff and visiting international parliamentary staff, on a
    nonpartisan basis.
    Continuity of Operations Planning
        The parliamentarians have taken the lead in the Senate in analyzing
    the need for emergency procedural authorities of the Congress
    generally, and the Senate in particular. The parliamentarians have each
    been trained on and successfully remotely accessed the office's
    computers and hard drives, facilitating communications, research, and
    other work after hours, and 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.
        Of note with respect to emergency procedures in 2011 was the
    earthquake that struck Washington, DC on August 23. The Senate was
    scheduled to hold a pro forma session that afternoon and of necessity
    was forced to hold a session outside of the Capitol building. The
    situation tested our emergency response protocols, and we are proud of
    our contributions that day to ensure the seamless functioning of the
    Senate in emergency situations.
                     sos deg.financial operations
                       sos deg.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, Members, and employees of the
    United States 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;
      --respond to any inquiries or questions;
      --maintain a 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;
      --handle all information requests from the Committee on
            Appropriations and the Committee on Rules and Administration;
            and
      --provide budget information and financial assistance to all
            accounting locations within the Senate.
        During the first half of 2011, the Disbursing Office continued to
    offer administrative support to the Congressional Oversight Panel
    established by Public Law 110-343. Final payment from the Department of
    the Treasury was received in June, and this task order has been closed.
        The Disbursing Office, GPO, the Committee on Rules and
    Administration, and the Secretary of the Senate webmaster held meetings
    to finalize the development of the online version of the Report of the
    Secretary of the Senate for the 6-month period ending September 30,
    2011. On November 29, 2011, the online version of The Report was
    accessible on Senate.gov and the GPO Web site.
        The Budget Control Act of 2011, Public Law 112-25, authorized the
    establishment of the Joint Select Committee on Deficit Reduction (JSC).
    Section 401(b)(5) of the act authorized the Senate to disburse the
    actual and necessary expenses of the JSC. The Senate Disbursing Office
    is responsible for the payment of the expenses and the House of
    Representative has been billed for its respective share. The expenses
    for the JSC ceased with the termination of the Committee on January 31,
    2012.
        The Financial Clerk and senior Disbursing management have been
    attending status meetings held by our payroll implementers and received
    2 weeks of training on the new SPS. Disbursing is in the process of
    finalizing a final cutoff schedule for Phase I and is working closely
    with SAA, the project manager and the Committee on Rules and
    Administration to implement this new payroll system as seamlessly as
    possible.
    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 the group's 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 in the Front Office. Staff is
    also provided verbal and written detailed information regarding pay and
    benefits. Advances are issued to Senate staff authorized for official
    Senate travel through the Front Office and cash and check advances are
    entered and reconciled in WebFMIS. 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. The Front Office also provides Notary services for Members and
    staff. Nearly 500 documents were notarized for Members during 2011. We
    anticipate a larger number of documents to be notarized in 2012 as it
    will be an election year. Such items that will be notarized in 2012 are
    absentee ballots and primary election ballots.
        The Disbursing Office was relocated from August through November
    2011 due to the Disbursing Office renovation project. Preparations for
    the move took months of planning, purging, archiving, and packing. The
    Front Office successfully conducted business as usual during the moves
    and renovation. Success during this transition was truly a team effort
    and many sacrifices were made as the Disbursing Office operated out of
    three different locations. Our return was equally successful and staff
    members are enjoying the modern facilities.
    General Activities
        Processed approximately 500 cash advances during the year and
    initialized more than 1,000 check/direct deposit advances.
        Received and processed more than 20,000 checks.
        Administered Oath of Office and Personnel Affidavits to more than
    1,600 new Senate staff and advised them of their benefits eligibility.
        Maintained brochures for 12 Federal health insurance carriers and
    distributed more than 3,000 brochures to existing staff during the
    annual Federal Benefits Open Season and to new Senate employees during
    their Federal Employees Health Benefits (FEHB) selection process.
        Assisted employees with electronic resources for researching and
    comparing benefit plans and programs, as we continue to move away from
    paper.
        Provided training sessions to 16 new and existing administrative
    managers and assisted them in getting their offices up and running.
        For the first time since 2009, the Internal Revenue Service (IRS)
    increased the annual limit on elective deferrals. This resulted in
    approximately 900 employees filing new Thrift Savings Plan (TSP)
    elections in December alone. Many customers sought assistance from the
    Front Office with the TSP calculations.
        The Front Office advises eligible staff of their TSP catch up
    provisions and advises enrollees of changes in their plans.
        Due to the congressional changeover, there was a large volume of S.
    Res. 9 certifications to be processed and monitored. This required
    additional processing of documentation to facilitate the continuance of
    compensation to certified employees.
    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 staff, 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 semimonthly. 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 2011, the Payroll Section conducted all year-end
    processing and reconciliation of pay records and produced W-2 forms for
    employees and Federal and State tax agencies. They also facilitated the
    imaging of those documents to the Document Imaging System. The Payroll
    Section maintained the normal schedule of processing TSP election
    forms. Other minor changes were made to the HRMS as the need arose as a
    result of regulated and policy changes.
        A major objective of the Payroll Section is the design and
    implementation of a new Payroll System. The Payroll staff participated
    in Fit-Gap sessions, development and design sessions, and one-on-one
    meetings to share their system expertise with the system implementers.
    The staff received extensive training and helped to develop
    requirements, business processes, and specifications. The staff
    provided procedural guidance and input on document and report design,
    interfaces, and customizations. The Payroll Section began duplication
    of all Payroll system documents for parallel testing that will occur in
    2012. Their continued participation, expertise, and dedication will be
    required as design, testing, and implementation efforts continue.
        In April 2011, the Payroll Section began extensive research and
    preparation for a potential furlough, including working with the SAA on
    plans to cease Senate pay to employees in the event of such an event,
    and the contingencies based on the anticipated potential outcomes.
        As a result of the 2011 congressional changeover, the Payroll
    Section provided assistance and guidance to the offices of the 13
    incoming and 13 outgoing Members. The Payroll staff also worked with
    the staff of a resigning and appointed Senator and administered
    provisions of S. Res. 9.
        Administration of the SLP includes initiation, tracking, and
    transmission of the payments; determination of eligibility;
    coordination and reconciliation with office administrators and program
    participants; provision of monthly SLP reports, fiscal year report to
    oversight committees; and administration of SLP repayment. Due to
    regulatory changes within the Department of Education, extensive vendor
    processing changes continue to be needed. This leads to a higher than
    usual need for payment tracking, reconciliation and check reissue. The
    SLP Administrator continues to improve processes for administration of
    the program and documenting procedures as well as implementation of
    procedural changes as required.
    Employee Benefits Section
        The primary responsibilities of Employee Benefits Section (EBS) 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 FSA program, the Federal Long Term Care Insurance Program (FLTCIP),
    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, including counseling
    with regard to continued benefits, TSP make-up contributions and
    reservist differential payments. EBS participates fully in the
    Centralized Enrollment Clearinghouse System (CLER) program sponsored by
    the Office of Personnel Management (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, OPM, and the Department of Defense
    (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 13 outgoing Senators
    and their staffs, as well as those staff on committees who were
    affected by the changes. All outgoing offices were given an ``Outgoing
    Office Presentation'' by a member of the EBS. Many regular retirement,
    death, and disability cases were also processed throughout the year.
        EBS met with all new Senators to go over benefit choices available
    to them. New Members appointed numerous employees from the House of
    Representatives 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 caused a dramatic increase in
    appointments to be researched and processed, retirement records to be
    closed out, termination packages of benefits information to be compiled
    and mailed out, and health insurance enrollments to be processed.
    Transcripts of service for employees going to other Federal agencies,
    and other tasks associated with employees changing jobs were at a high
    level this year. These required prior employment research and
    verification, new FEHB, FEGLI, FSA, FEDVIP, Civil Service Retirement
    System, Federal Employees Retirement Service (FERS) and TSP
    enrollments, and the associated requests for backup verification. EBS
    also counseled many employees who were affected by these employment
    changes.
        FLTCIP experienced significant plan changes in 2009 with unexpected
    rate increases and the creation of FLTCIP 2.0. Due to the significant
    changes in the plan, FLTCIP held an Open Season (OS) in the spring of
    2011. EBS worked directly with our FLTCIP account manager, to inform
    Senate employees of the FLTCIP OS and what options were available to
    them. EBS attended meetings at OPM related to the FLTCIP OS and
    developed the Senate's plan for informing employees of their options.
    EBS created Senate wide emails announcing and reminding employees of
    the FLTCIP OS and what their options were and ordered OS materials
    including brochures and posters. EBS also created a 1-page summary of
    FLTCIP and the OS information to include in a mass mailing sent to all
    Senate employees. EBS worked with the Secretary's Webmaster to create
    an FLTCIP OS Webster page containing articles and links to assist
    employees with decisions regarding long-term care insurance as well as
    information on how to attend one of the webinars available to those who
    could not attend an in-person workshop. EBS organized two onsite
    workshops in which FLTCIP representatives explained what long-term care
    insurance is and what opportunities employees had during open season.
    The feedback from employees regarding these presentations was very
    positive. Our FLTCIP account manager was very pleased and impressed
    with our organized approach and the steps we took to inform Senate
    employees of the OS and stated that the Senate really went above and
    beyond to assist them with the FLTCIP OS.
        With the design and implementation of a new Payroll System
    underway, EBS has been extensively involved in participation in fit-gap
    sessions, design sessions, training, procedural review meetings,
    developmental sessions, data clean-up, and conference room pilots. EBS
    staff have provided their expertise in SME meetings. The staff has
    participated in development of specifications, customizations,
    configurations, interfaces, and needed reports. The staff have drafted
    and collected documentation relating to procedures and in preparation
    for the various testing phases. EBS staff has provided and continues to
    provide expertise and feedback throughout this process.
        Many employees changed health plans during the annual benefits open
    season. These changes were processed and reported to carriers very
    quickly. 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 FLTCIP, FSA, and FEDVIP.
        Beginning January 1, 2011, the Affordable Care Act extended health
    benefits to children until age 26. The Health Care Reform changes also
    redefined dependent eligibility rules for both FEHB and FSA. EBS
    fielded many calls regarding these changes and also took all necessary
    steps to update our Web page on Webster and all literature given out by
    the Disbursing Office to reflect these very important changes.
        EBS conducted agency-wide FERS seminars for Washington, DC area
    employees, as well as a live video seminar for offices located in the
    States. EBS attended interagency Benefits Officers and TSP meetings.
    This was especially important this year due to the many ongoing changes
    to many of the benefits programs, including the upcoming offering of a
    Roth investment option in the TSP program.
    Disbursing Office Financial Management
        Headed by the Deputy for Financial Management, the mission of
    Disbursing Office Financial Management is to coordinate all central
    financial policies, procedures, and activities; to process and pay
    expense vouchers within reasonable 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 three functional
    departments:
      --Accounting;
      --Accounts Payable; and
      --Budget.
        The Accounts Payable Department is further subdivided into three
    sections:
      --Vendor Administration;
      --Disbursements; and
      --Audit.
        The deputy coordinates the activities of the three functional
    departments, establishes central financial policies and procedures, and
    carries out the directives of the Financial Clerk and the Secretary of
    the Senate.
    Accounting Department
        During 2011, the Accounting Department approved more than 55,000
    expense reimbursement vouchers and vendor uploads including deposits
    for items ranging from receipts received by the Senate operations, such
    as the Senate's revolving funds, to cancelled subscription refunds from
    Member offices. General ledger maintenance also prompted the entry of
    thousands of adjustment entries that include the entry of all
    appropriation and allowance funding limitation transactions, all
    accounting cycle closing entries, and all nonvoucher reimbursement
    transactions such as payroll adjustments, 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 planning.
    The section also completed the 2011 year-end process to close and reset
    revenue, expense, and budgetary general ledger accounts to zero.
        The Disbursing Office also continued working with Member offices
    and the Senate Stationery Room to establish and design an online flag
    ordering system using the Department of the Treasury's Pay.gov system.
    The Member offices and Stationery went live in the production region of
    Pay.gov. As a result of this usage, we experienced almost a 30-percent
    increase in the volume of credit card transactions. Two more offices
    were slated to start using Pay.gov toward the spring of 2012, and the
    pilot is expected to expand to include additional offices during the
    upcoming year.
        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,
    Disbursing provides the ``Statement of Transactions According to
    Appropriations, Fund and Receipt Accounts,'' to the Department of the
    Treasury on a monthly basis. The statement is the summary of 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 OMB as part of the submission of the
    annual operating budget of the Senate. The FAMIS system report, tested
    and implemented in 2010, was used in 2011 to calculate the Treasury
    Combined Statement which is used for the OMB budget submissions.
        The Accounting Department continues to transmit 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 through the
    IRS Electronic Federal Tax Payment System (EFTPS). EFTPS is also be
    used to transmit the quarterly 941 reports to the IRS. 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 allow ACH payment of
    quarterly State taxes has resulted in a 64-percent participation rate
    by taxing jurisdictions. Twenty-seven of 42 tax jurisdictions are
    receiving their quarterly State tax payments via ACH. System
    modifications are necessary to transmit the remaining 15 tax
    jurisdictions via ACH because of the unique State requirements for
    their transmissions. 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. 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. During 2011, the Accounting
    Department worked with the SAA computer staff to implement electronic
    distribution of these monthly reports. The reports have been
    distributed electronically since July 2011 as part of WebFMIS release
    2011-2.
        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 creating Senate-wide
    financial statements 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 continues toward the implementation of
    the fixed asset system and the financial management software has been
    upgraded and the license renewed.
        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. The budget justification
    worksheets for fiscal year 2013 were mailed to the Senate accounting
    locations and processed in November 2011. The budget baseline estimates
    for fiscal year 2013 were reported to OMB by mid-January 2012. The
    budget analyst is also responsible for the preparation of 1099s and the
    prompt submission of forms to the IRS before the end of the January.
    Accounts Payable: Vendor Administration
        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. This section
    also assists the IT department by performing periodic testing and by
    monitoring the performance of the vendor system. 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 email information. If a vendor responds indicating they
    would like to receive ACH payments in the future, the method of payment
    is changed.
        All WebFMIS 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 using
    this system. 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 method.
        The Vendor section works closely with the Accounts Payable (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.
        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 email when payments
    are sent. Currently, more than 95 percent of ACH participants also
    receive email notification of payment.
        During 2011, the Vendor section processed more than 2,100 vendor
    file additions, completed more than 2,700 service requests, mailed
    approximately 950 vendor information letters, and converted more than
    400 vendors from check payment to electronic payment.
    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 approximately 108,000 vouchers. 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, 17,000 checks were issued,
    while 69,700 ACH payments were required. The volumes of both were down
    slightly from the previous year which is a reflection of newly elected
    Senators starting out and others leaving.
        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 one
    prior period, as space is limited, due mainly to the office renovation
    which took place in the fall. One result is that more documents are
    stored in the Senate Support Facility (SSF). The inventoried items are
    sorted and recorded in a database for easy document retrieval. Document
    retrieval missions increased, but were successfully conducted, and the
    department continues to work closely with warehouse personnel. The
    renovated area has led to more efficient use of space here and at the
    SSF.
        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 nonreceipt 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 nonreceipt of salary checks, including stop payment
    requests and re-issuance.
        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 nonreceipt of expense checks. The Treasury Check
    Information System (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 email. During
    2011, approximately 500 digital images of negotiated checks were
    provided, and an additional 77 requests were received for stop
    payments. The stop payment volume is a significant reduction of 39
    percent from 2010, and is attributable to increased ACH payment and
    TCIS check copy retrieval. TCIS saves the Disbursing Office time, 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.
    The Report was issued electronically for the first time in November
    2011, concurrent with the printed version. The printed version is
    available as always, and the online version is available through the
    Senate and GPO Web sites.
        The section is organized at three different levels. The first level
    is the supervisor. In addition to performing managerial tasks, the
    supervisor also audits and sanctions vouchers as needed, and
    coordinates testing related to system implementation and upgrades.
    Eleven auditors process all incoming vouchers and uploads, and 3 of
    them have the authority to sanction, on behalf of the Committee on
    Rules and Administration, vouchers not exceeding $100. They also
    sanction all travel and petty cash advances as well as non-Contingent
    Fund items such as Legal Counsel, Legislative Counsel, and the Office
    of Congressional Accessibility Services, as well as the for the
    Congressional Oversight Panel.
        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. The system accommodates the issuance,
    tracking, and repayment of advances. It also facilitates the entry and
    editing of election dates and vouchers for Senators-elect. 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 2011.
        The Accounts Payable Audit Section processed more than 108,000
    expense items in 2011. Audit sanctioned approximately 53,000 vouchers
    under authority delegated by the Committee on Rules and Administration.
    This translates to roughly 9,800 vouchers processed per auditor, and
    10,500 vouchers posted per certifier. The voucher processing consisted
    of providing interpretation of Senate rules, regulations and statutes
    and applying the same to expense claims, monitoring of contracts, and
    direct involvement with the Senate's central vendor file. On average,
    vouchers greater than $100 that do not have any issues or questions are
    received, audited, and/or sanctioned electronically by the Senate
    Committee on Rules and Administration using WebFMIS, and are expected
    to be paid within 8 to 10 business days. These vouchers comprised
    approximately 50 percent of all vouchers, and, as in the previous year,
    Disbursing passed two postpayment audits performed by the Committee on
    Rules and Administration for items of $100 or less. In 2011, the
    average for Committee on Rules and Administration-sanctioned items was
    4.83 days, and the average for Disbursing sanctioned items was 2.73
    days, roughly 12-percent faster overall and 23-percent faster than the
    previous year.
        Uploaded items are of two varieties:
      --certified expenses; and
      --vendor payments.
        Certified expenses have been around since the 1980s, 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 by SAA 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. Except for
    telecommunications charges, concentrated effort is put forth to ensure
    certified items appear as paid in the same month they are incurred.
    Telecommunications charges usually run 1 month behind as the SAA must
    wait for the bills from external vendors.
        Vendor uploads are used to pay vendors for the Senate 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 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. They also participated in seminars
    sponsored by the Secretary of the Senate, the SAA, and the Library of
    Congress. The section trained 13 new administrative managers and chief
    clerks and conducted five 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. The implementation of
    WebFMIS 2011-1 enhanced document creation and document search. WebFMIS
    2011-2 enhanced the expense summary report and electronic invoicing.
    WebFMIS 2011-3 allowed the SAA to use a Web-based system more
    extensively for purchase orders and requisitions and created new
    posting logic as well as increased system security.
        The Accounts Payable Department has participated in the testing of
    the new imaging project that the IT department has been tasked with.
    The staff has provided valuable feedback to the IT department on system
    problems, system restraints, and areas that need improvement. A/P has
    devoted a lot of time in detailing system problems and reporting them
    to the IT department. There were several performance problems
    experienced during the first testing phase, resulting in the project's
    suspension until system performance could be improved.
        The Accounts Payable Department has participated and helped to
    design an itinerary wizard. A/P consistently provided feedback about
    itinerary situations and variables to aid the IT department with this
    project.
    Disbursing Office Information Technology
                Financial Management Information System
        The Disbursing Office Information Technology department provides
    both functional and technical assistance for all Senate financial
    management activities. Activities revolve around support of WebFMIS
    which is used by staff in all Senate accounting locations (i.e., Senate
    personal offices, committees, leadership and support offices, the
    Office of the Secretary of the Senate, the SAA, the Senate Committee on
    Rules and Administration Audit section, and the Disbursing Office).
        Responsibilities of the department include:
      --supporting current systems;
      --testing infrastructure changes;
      --maintaining contact with system users to ensure their needs are
            met;
      --managing and testing new system development;
      --implementing changes for the 112th Congress;
      --planning upgrades to systems and hardware;
      --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:
      --supporting more than 4,800 FMIS users, of which 87 percent are
            staff preparing ESRs;
      --implementing two releases of FMIS, including one pilot for
            attaching imaged documentation to vouchers, and completing the
            move to Web-based interfaces for the SAA;
      --implementing an improvement to the WebFMIS reporting extract
            program;
      --testing infrastructure changes that included upgrades to the Z/OS
            and the DB2;
      --increasing the number of offices using the electronic invoicing
            module--there are now 41 offices participating;
      --implementing changes for the 112th Congress;
      --resuming the effort to convert all user identification to a format
            that does not include any portion of an individual's SSN--this
            effort will continue into 2012.
                Supporting Current Systems
        IT supports WebFMIS users in all accounting locations, the
    departments in the Disbursing Office (e.g., 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.--
          --providing functional and technical support to all Senate FMIS
                users;
          --staffing the FMIS help desk;
          --answering hundreds of questions; and
          --meeting with chiefs of staff, administrative managers, chief
                clerks, and directors of various Senate offices as
                requested;
          Technical Problem Resolution.--Ensuring that technical problems
            are resolved;
          Monitor System Performance.--Checking system availability and
            statistics to identify system problems and coordinate
            performance tuning activities such as those for database access
            optimization;
          Security.--Maintaining user rights for all ADPICS, FAMIS, and
            WebFMIS users;
          System Administration.--Designing, testing, and making entries to
            tables that are at the core of the system;
          Support of Accounting Activities.--Performing 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 of the Senate Committee on Rules and Administration
            Postpayment Voucher Audit Process.--providing 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.--Providing functional training to all Senate FMIS
            users.
                Testing Infrastructure Changes
        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 2011, the SAA implemented two upgrades to the
    FMIS infrastructure. These included a maintenance update to the DB2,
    and a maintenance update to the Z/OS.
                Maintaining Contact With System Users To Ensure Their Needs
                        Are Met
        Communicating with our large user base is critical to provide the
    excellent service. 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 SAA users who prepare vouchers to
    discuss voucher and inquiry functionality developed in the third phase
    of ``WebPICS'', a Web-based front end to ADPICS with additional
    functionality developed to address SAA user needs.
                Managing and Testing New System Development
        During 2011, 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 subsystem upgrades have been consolidated into 2
    or 3 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 2011,
    Disbursing implemented the following two major releases:
      --FMIS r2011-2, implemented in June 2011; and
      --FMIS r2011-3, implemented in August 2011.
                    FMIS 2011-2--June 2011
        This release included an enhancement to electronic invoicing that
    allows an office (or an auditor in Disbursing) to split a single charge
    on an invoice into two accounting lines. This allows an office to
    distribute a charge across locations and/or split a charge into two
    expense categories.
        The ESR line entry module was also updated to implement some minor
    enhancement and corrections, most notably:
      --certain expense types now allow an optional location (it is no
            longer required); and
      --ESR printing is disabled until after the ESR is submitted. This
            reduces the likelihood of submitting and printing different
            data.
        Release 2011-2 also implemented the third of three major phases in
    WebPICS, which effectively replaces and improves ADPICS (the mainframe
    procurement application). The first two phases of WebPICS provided
    functionality for requisitions and vouchers. This release allowed
    purchase orders to be created, approved, and posted. One of the
    features included was direct requisition, which automatically directs
    the user to immediately create the purchase order. Other WebPICS
    improvements included the addition of commodity table maintenance, and
    functionality for the last two types of change orders. After
    implementing this release, the vast majority of ADPICS users were able
    to abandon the mainframe application in favor of the more user-friendly
    WebPICS.
        One of the larger changes in this release was the addition of
    online access to the Month End Ledger Statements (Statement of Funding
    Authorization and Expense Activity). A pilot group was given access to
    their May 2011 statements first. After positive feedback, all offices
    were given access to their June 2011 statements, and paper distribution
    was eliminated.
                    Financial Management Information System 2011-3--August
                        2011
        The most significant feature in release 2011-3 was the image viewer
    and repository that allows users to attach documentation to their
    vouchers (see more in the FMIS Imaging and Electronic Signatures
    section below). A pilot of three offices began attaching their
    supporting documentation electronically only--the paper vouchers
    themselves were still required to provide approving signatures.
    Unfortunately, system performance for the auditors fell below
    acceptable levels, and Disbursing asked the pilot offices to resume
    attaching paper documentation to their vouchers. In each case, they
    also continued to attach documentation electronically. The cause was
    quickly identified, which was the low resource availability for the
    image viewer when running in the mainframe environment. The solution,
    which is included in the first release for 2012, was to move the image
    viewer onto Windows virtual servers, which will also allow significant
    room to scale up for a Senate-wide rollout. Initial testing at the end
    of the year showed a vast improvement.
        As part of the continuous effort to keep information secure,
    Disbursing implemented a limit of five unsuccessful login attempts for
    WebFMIS. Users whose accounts are locked after the fifth failed
    attempts must contact Disbursing to have their account unlocked and a
    new temporary password issued.
        New staffer accounts are created automatically when an
    administrative director requests. The staffer profile feature improved
    to show administrative directors the date the staffer's account was
    created, date password last changed, and provides option to send
    request to reset staffer's password.
        The most significant improvement to WebPICS was the implementation
    of an insufficient funds limitation, on the submission and approval of
    requisitions. The entry of specific limits will be rolled out in 2012.
    After this release, the IT section discontinued granting new
    procurement users access to mainframe ADPICS. This significantly
    simplifies user training and account maintenance.
        Other WebPICS improvements included:
      --a fix to purchase order viewer balance display;
      --a fix to allow update to effective date and delivery date on
            requisitions while in approval phase; and
      --fixes for preparing and approving vouchers from purchase orders.
                Financial Management Information System Imaging and
                        Electronic Signatures
        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.
    Under the FMIS Imaging Product Analysis project, begun in 2009 and
    completed in 2010, software for the image database and image viewer was
    selected, and imaging and electronic signature requirements were
    finalized. This information was coordinated with a separate SAA smart
    ID card project. The smart cards will be used for electronic
    signatures.
        In October 2010, a task order for the adding document imaging and
    electronic signatures to WebFMIS was signed. This task order outlines
    work to be completed between then and the spring 2013 in three phases:
      --Phase 1: imaging only pilot--fall 2011 (originally spring 2011);
      --Phase 2: office imaging and signatures pilot--winter 2012
            (originally summer 2011), (extended pilot--combined with the
            initial pilot, originally winter 2012), and full roll-out
            (summer 2012); and
      --Phase 3: staffer imaging and signatures pilot (winter 2012), and
            rollout (spring 2013).
                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 2011, 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 WebFMIS budget function meetings); and
      --technical meetings: a weekly meeting to discuss the active
            projects, including scheduling activities and resolving issues.
                Strategic Planning
        During 2010 Disbursing drafted a 5-year schedule based on earlier
    meetings to ``envision the future''. This is still under discussion and
    review and will be affected by the schedule for implementing a new
    payroll system, which 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 WebFMIS.
        In 2011 the IT section decided to build a design backlog of FMIS
    features, where desired features are designed and planned well in
    advance of the release for which they are scheduled. This process has
    occurred at a strategic level for many years, but is now being
    implemented at a more tactical level. The design backlog will provide
    for a more continuous and fluid process for identifying, designing,
    building, testing, and implementing the features. This should result in
    a slightly faster design-build cycle.
                Managing the Financial Management Information System
                        Project
        The responsibility for managing the FMIS project was transferred to
    the Disbursing IT department in 2003, and includes developing the task
    orders with contractors, overseeing their work, and reviewing invoices.
    In 2011, the Service Year 2012 Extended Operational Support task order
    was executed, which covers activities from September 2011 to August
    2012.
        Work also continued under the Service year 2011 Extended
    Operational Support (covering activities from September 2010 to August
    2011).
                Administering the Disbursing Office's Local Area Network
        The Disbursing Office continued to administer its own LAN, which is
    separate from the network used by the rest of the Secretary's Office.
    It is used by more than 50 staff. Upkeep of the LAN infrastructure,
    including performing routine daily tasks and replacing equipment
    regularly, is critical to providing services. In addition, there are a
    number of specialized administrative applications that are housed on
    the Disbursing Office LAN. During 2011, LAN administration activities
    included:
      --performing maintenance on the LAN;
      --installing specialized software;
      --maintaining projects for the payroll and benefits section; and
      --upgrading existing workstations with appropriate upgrades
            including:
        --installation of an automated client software cataloging and
                updating program. This software provides a more aggressive
                approach toward applying software patches that address
                vulnerabilities in our platform; and
        --imaging critical PCs for easy recovery from hard disk crash or
                other PC failure.
                Maintaining Projects for Payroll and Employee Benefits
                        Sections
        During 2011, Disbursing supported three specialized applications
    for the Payroll and Employee Benefits Sections:
      --imaging system, developed by SAA staff, that electronically
            captures and indexes payroll documents submitted at the front
            counter, and is critical for the Payroll and Employee Benefits
            sections;
      --CLER application, a health insurance benefits validation service;
            and
      --retirement benefit software, which enables benefits counselors to
            easily estimate retirement benefits based on different
            scenarios, is also supported.
                Continuity of Operations Planning
        Disaster recovery activities are an important part of Disbursing's
    COOP Plan. We work closely with SAA to coordinate our planned
    exercises. Basic tests were performed to ensure our recovery
    capabilities with more extensive plans for testing in 2012.
                    sos deg.administrative offices
                 sos deg.chief counsel for employment
        The Office of the Senate Chief Counsel for Employment (SCCE) is a
    nonpartisan office established at the direction of the Joint Leadership
    in 1993 after enactment of the Government Employee Rights Act (GERA),
    which allowed Senate employees to file claims of employment
    discrimination against Senate offices. With the enactment of the
    Congressional Accountability Act of 1995 (CAA), as amended, Senate
    offices became subject to the requirements, responsibilities, and
    obligations of 12 employment laws. The CAA also established the Office
    of Compliance (OOC). Among other things, the OOC 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. The
    SCCE attorneys also provide legal advice to Senate offices about their
    obligations under employment laws. Accordingly, each of the employing
    offices of the Senate is an individual client of the SCCE, and each
    office maintains an attorney-client relationship with the SCCE.
        The areas of responsibilities of the SCCE can be divided into the
    following categories:
      --Litigation (defending Senate offices in courts and at
            administrative hearings);
      --Mediations to resolve lawsuits;
      --Court-ordered alternative dispute resolutions;
      --Occupational Safety and Health Act (OSHA) compliance;
      --Union drives, negotiations, and unfair labor practice charges;
      --Americans with Disabilities 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 provides legal advice to and defends 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 Occupational Safety and Health Administration and
            the Americans With Disabilities Acts
        The CAA mandates that, at least once each Congress, OOC shall
    inspect each Senate office to determine whether each office complies
    with the OSHA and the public accommodation portion of the ADA. The CAA
    authorizes the OOC 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 OOC 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 2011, the SCCE pre-inspected 1,977 Senate rooms and work areas
    to ensure that Senate offices are complying with the OSHA and the ADA.
    The SCCE conducted pre-inspections of member offices, SAA, offices of
    the Secretary of the Senate, the Senate Child Care Center, the Webster
    Hall Page Facilities, and offsite buildings used by the Senate.
        At the conclusion of the OOC's inspection process, Senate offices
    had no significant ADA problems and no citations were issued in 2011.
    The OOC has not yet issued a report regarding its OSHA inspections.
    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 2011, the SCCE gave 85 live, legal seminars to Senate offices,
    including, among others:
      --The Congressional Accountability Act of 1995: Management's Rights
            and Obligations;
      --Conducting the Interview: Effective and Legal Methods of Getting
            the Best Employees for Your Office;
      --Maintaining a Harassment-Free Workplace;
      --Management Staff Beware: Your Office Can Be Sued: Employment Laws
            You Must Comply With;
      --The Genetic Information Non-Discrimination Act: Practical Guidance
            for Managers;
      --A Manager's Guide to Preventing and Addressing Harassment in the
            Workplace;
      --But He Interviewed So Well: How to Interview Job Applicants, Check
            References and Backgrounds, and Give References;
      --Military Service Academies Interview Training; and
      --Diversity in the Workplace.
        In addition to the previously mentioned 85 seminars, the SCCE
    conducted a series of monthly seminars covering all major employment
    laws that govern Senate offices. The purpose of the seminars was to
    educate all Senate management staff about their responsibility to
    ensure that their respective offices comply with the CAA. The series
    was 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 SCCE, working with the Senate Recording Studio,
    streamed these monthly seminars to State offices so that all State
    managers could participate and to allow staff members in Washington, DC
    to view the seminars from their offices. In addition, the SCCE
    rebroadcast each of its monthly seminars on the SCCE Web site to
    accommodate managers who were unable to attend the initial seminars.
    Further, the SCCE online registration technology was used extensively
    by Senate management staff in 2011 to register online for attending the
    seminars in the series.
        The SCCE also held 11 1-hour, lunchtime meetings, referred to as
    ``Brownie Brown Bags'', open to all office managers and administrative
    directors of member offices and all chief clerks of committees. The
    purpose of the Brownie Brown Bags is to allow attendees to ask the SCCE
    attorneys any legal issues they would like to discuss. These meetings
    have been well-attended.
    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 disciplining
    and terminating employees in compliance with the law; handling and
    investigating harassment complaints; accommodating the disabled;
    determining wage law requirements; meeting the requirements of the
    Family and Medical Leave Act (FMLA); management's rights and
    obligations under union laws and the OSHA; management's obligation to
    give leave to employees for military service; veterans' rights; and
    interviewing, hiring and counseling employees. In 2011, SCCE had more
    than 2,544 client legal advice meetings.
        Also, the SCCE provides legal assistance to Senate offices to
    ensure that their office policies, supervisors' policies, intern
    policies, job descriptions, interviewing guidelines, and performance
    evaluation forms comply with the law. In 2011, the SCCE significantly
    revised or prepared 197 policy manuals for Member offices and
    committees.
        To keep clients abreast of legal developments, the SCCE prepares
    and distributes timely client alerts to all Senate offices and
    committees explaining the impact of newly enacted employment-related
    laws. In 2011, the SCCE prepared and distributed eight such alerts.
    Union Drives, Negotiations and Unfair Labor Practice Charges
        In 2011, the SCCE reviewed one union contract and provided guidance
    to managers and supervisors regarding their legal and contractual
    obligations under union contracts.
    Environmental Impact and Cost Savings
        In 2011, for the third consecutive year, the SCCE continued with
    its project of eliminating a significant amount of hard copy legal
    reference materials to further benefit the environment, cut costs, and
    clear valuable office space. This project has resulted in cost savings
    of more than $9,200 and has reduced the area required for storing our
    hard copy legal reference materials from 129 square feet to 50 square
    feet.
                 sos deg.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 and other 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.
    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. In 2010, conservation
    treatments were completed for 173 volumes of a 7,000-volume collection
    of House hearings. Specifically, treatment involved recasing each
    volume as required, using alkaline end sheets, replacing acidic tab
    sheets with alkaline paper, cleaning the cloth cases, and replacing
    black spine title labels of each volume as necessary. The Office of
    Conservation and Preservation will continue preservation of the
    remaining 3,410 volumes.
    Preservation
        The Office of Conservation and Preservation completed 106 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.
    Committees
        Conservation and Preservation assisted the Committee on the Budget,
    Select Committee on Ethics, and the Joint Economic Committee with their
    books being sent to GPO for binding.
    Exhibition
        Conservation and Preservation assisted the Senate Historical and
    Curator's offices in the installation of a new exhibition to mark the
    150th anniversary of the Civil War. The exhibition replaced the
    Inauguration exhibit in the Senate wing's first floor connecting
    corridor.
                            sos deg.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
        Forty-nine objects were accessioned into the Senate collection this
    year. A large number of the items catalogued included tickets,
    invitations, programs, and other ephemera related to events in which
    the Senate participated. The Curator's office actively collects
    contemporary artifacts in an effort to preserve and document the
    present for future generations. Other items added to the collection
    included three historic writing tables, several historic chairs, three
    memorial drapes and two vases used on the desks of Senators who have
    passed away, mementos from the 1985 Presidential Inauguration, a 1892
    wax seal used by the Secretary of the Senate on envelopes, a diagram of
    the Senate Chamber from the 78th Congress, and a painted plaque
    previously displayed in the Vice President's Ceremonial Office.
        The new Architectural Fragment collection, comprising original,
    significant, or unique objects or building fabric removed from Senate
    spaces, was created in 2011. The collection was established to better
    understand the architecture, ornamentation, and decoration of Senate
    spaces within the Capitol complex; to serve as a resource for historic
    reconstructions; and to enhance knowledge of the Senate. It is based on
    similar collections at other historic sites, and standard museum
    management procedures and documentation have been established for the
    Senate's collection.
        Twenty-nine new foreign gifts were reported in 2011 to the Select
    Committee on Ethics and deposited with the Senate Curator's office on
    behalf of the Secretary of the Senate. The office currently is
    responsible for 217 foreign gifts, which are catalogued and maintained
    in accordance with the Foreign Gifts and Decorations Act. Appropriate
    disposition of 26 foreign gifts was completed following established
    procedures.
        The Curator's office continued to work with the Capitol Visitor
    Center (CVC) project staff, Architect of the Capitol (AOC)
    representatives, and their consultants to resolve problems with the
    heating, ventilating, and air conditioning (HVAC) equipment in the
    Curator's two CVC collection storage spaces. In February 2011, project
    staff turned one room to the AOC, following successful completion of
    testing for its new HVAC system. It is the largest storage space for
    the Senate collections available in the Capitol complex and has
    provided much needed temporary storage for items during renovations of
    spaces in the Senate, as well as for long-term storage. Testing for the
    HVAC system in the second room was successfully completed in November
    2011 and final preparation of the room is underway. The space will
    provide cooler temperature storage for paper-based items, in support of
    the Curator's mission to preserve the Senate's significant collections.
    Procedures and policies have been established for use of the two rooms,
    and include disaster preparation plans.
        The office continued its multi-year project to photograph all
    objects for the collection database. More than 250 objects were
    photographed and a total of 252 images out of 4,598 were resized for
    consistency. Staff also worked with the Senate Photographic Studio and
    the AOC Photography Branch to capture special events and projects, such
    as moving art and the extensive work in the Old Senate Chamber. Such
    documentation is important for recordkeeping, disaster preparedness,
    use on Senate.gov, and for publications promoting the Senate's
    collections.
        In keeping with scheduled procedures, all Senate collection objects
    on display were inventoried this year, 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 (Rules
    Committee). The inventories, which are submitted every 6 months, are
    compiled by the Curator's office with assistance from the SAA and the
    AOC's Superintendent of Senate Office Buildings (Superintendent). This
    year the Curator's office worked with the SAA to physically inventory
    all of the assets listed in the Senate's historical furnishings
    inventory. More than 800 objects were inspected and their location
    verified. As part of this internal review effort, the Curator's office
    developed a master list of assets and established procedures for adding
    and deleting objects from the inventory. This documentation is part of
    the Curator's standard procedures and applies equally to all
    collections under the auspices of the Commission on Art. Next year the
    Curator's office will work with the SAA and the Superintendent to
    ensure their policies and procedures for historic items are consistent
    with the Senate Curator's Collections Management Policy.
        Staff worked with the SAA Cabinet Shop to complete a comprehensive
    survey of the writing boxes that are part of the Senate Chamber desks.
    The project included collecting detailed information on the
    construction, size, and mode of attachment to the top of each desk,
    along with condition information. During the 19th century, mahogany
    writing boxes were added to the desktops to provide more space for
    books and papers. Today, only one desk--the ``Webster Desk''--lacks a
    writing box. Many of the writing boxes have sustained damage over the
    years from daily use, and the survey is part of a comprehensive effort
    to preserve the desks. The survey results were used to create
    prioritized reports and computerized drawings that will guide the
    Cabinet Shop's efforts to refurbish the writing boxes.
        The Curator's office continued to advance documentation and care of
    the historic Russell Senate Office Building furnishings by surveying
    the mirrors. Fourteen historic mirrors were identified, recorded,
    assessed, and added to the Senate collection. Guidelines were drafted
    and shared with the Superintendent to ensure proper protection of the
    mirrors during building projects and housekeeping. Information on the
    significance of the mirrors and care practices will be provided to the
    occupants. The historic Russell Senate Office Building mirrors have
    been included in the established maintenance program conducted by the
    Curator's staff.
        Of special interest as it regards the Russell Senate Office
    Building furnishings are the historic flat-top desks. Beginning with
    the 110th Congress, the Curator's office has conducted a yearly
    inventory and inspection of these desks. Each desk location and
    occupant information is added to the Curator's database, which
    documents the use and location of the remaining 62 historic desks.
        Electronic recordkeeping and collection guidelines related to the
    Senate's Capitol historic mirrors again received considerable
    attention. In 2010, the paper files and the database entries were
    addressed, and this year the effort expanded to the electronic files
    and digital images of all 94 mirrors. The electronic records were
    reviewed and updated based on established registration and file
    standards. Another initiative that improved the mirror collection
    administration was the approval of a scope for the collection. With a
    clear scope in place, the office reviewed existing objects and will
    deaccession those few without historic significance.
        The official Senate chinaware was used at 12 receptions for
    distinguished guests, both foreign and domestic, including a tea for
    the President of Mexico, luncheon for the King of Jordan, and tea for
    the Prime Minister of New Zealand. The Secretary's chinaware was used
    at three receptions sponsored by the chairman of the Senate Foreign
    Relations Committee.
    Conservation and Restoration
        Providing for the conservation needs of the Senate's historic clock
    collection continues to be a priority. Although the floor clock in the
    Vice President's Ceremonial Office was originally scheduled for
    conservation this year, the Seth Thomas perpetual calendar clocks in
    the collection became a priority. The floor clock received some interim
    treatment in 2009 to repair problems with the second hand, and has been
    running accurately ever since, whereas the calendar clocks, which date
    to the late 19th century, have had ongoing problems, especially related
    to their calendar functions. The earthquake on August 23 caused both
    calendar clocks to stop running, and after they were restarted, their
    timekeeping was erratic. In addition, the paint on the dials of one of
    the clocks was actively flaking, making prompt conservation treatment
    imperative to stop further losses. The clocks were conserved and are
    now in working order.
        The most prominent and extensive project the Curator's office
    undertook this year was the renovation of the Old Senate Chamber. Prior
    to the start of this effort, two iconic works of art that were
    displayed in the room beginning in the 1830s--the gilded Eagle and
    Shield and the 1823 painting by Rembrandt Peale, George Washington,
    (Patri* Pater)--were removed for conservation. In 2010, a comprehensive
    review of records pertaining to both art works began and was used to
    develop a report outlining the history of their treatments and
    placement during their time in the Capitol. These histories, along with
    condition analyses conducted by conservators in 2004, provided
    necessary information to solicit treatment proposals. Conservation
    experts from the Senate Curatorial Advisory Board and the National
    Gallery of Art aided in the process. Three separate conservations were
    undertaken, one for treating the Eagle and Shield, and one each for the
    painting and the frame of George Washington, (Patri* Pater). Treatments
    for the painting and the frame were completed, and the portrait will
    remain in storage until the renovations in the Old Senate Chamber are
    completed. Treatment for the Eagle and Shield requires more time, and
    it will return to the Capitol in spring 2012.
        The office completed the restoration of the eight Senate Reception
    Room Flemish oak benches purchased in 1899. This project was undertaken
    as part of the Reception Room restoration project. Over time, the
    original carved back panels were removed, the seats and backs
    upholstered, and the benches poorly refinished multiple times. The
    conservation sought to return the furnishings to their original
    appearance. The process included research into the original carved
    panels and finish, and the difficult repair of the extensive upholstery
    damage. The benches returned to the Capitol in September, and the
    Curator's office is working with the SAA to ensure proper housekeeping
    and handling practices regarding these historic benches.
        Regular care of the Senate's gilded objects was a priority in 2011.
    A program to provide routine, on-site professional care for the
    Senate's gilded mirror and picture frames, as well as other gilded
    objects, continued. Eleven gilded pieces were treated. Additionally, to
    increase the skill and knowledge of the Curator's office, several staff
    participated in hands-on training related to basic gilded frame repair.
    This will reduce the need for professional conservators, improve the
    response to urgent repairs, and save the Senate time and money.
    Historic Preservation
        The Senate's historic preservation program 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. Such construction and conservation efforts
    included smoke purge system installation, Senate Reception Room wall
    and ceiling restoration; scagliola conservation; third floor plaster
    repair; Brumidi Corridors restoration; Strom Thurmond Room wall and
    ceiling restoration; fire grate installation; storm window
    installation; Republican Whip's suite improvements; first responder
    radio system; and ceiling repairs. Through this work, the Curator's
    office was able to ensure that the highest preservation standards
    possible were applied to all Capitol projects. In order to provide
    further protection to the Senate's architectural elements, the
    Curator's office drafted guidelines for the preservation of restored
    spaces and the protection of historic assets.
        The protection of public spaces and historic assets remained a
    focus of the Curator's office, with continued participation in a
    working group (whose other members are the SAA, the AOC, and the Rules
    Committee) to devise uniform furnishings and protection solutions. In
    the areas with conserved and faux scagliola, the office continued
    working with the SAA and AOC to stop unauthorized furniture storage and
    to install much needed protective measures. Related to this charge, the
    rounds program, which was established in 2007 to monitor the
    collections on display, was expanded to include maintenance issues. The
    program now helps identify preventable damage so staff can address the
    root cause. The rounds program also reports needed maintenance, so
    public spaces can look their best for Capitol staff and visitors.
        The pilot phase of the Senate Reception Room wall conservation was
    successfully completed. The original wall decoration comprised a very
    complex pattern of surface treatments with delicate toned glazes and
    precise application methods. Over the years, layers of overpaint
    obscured the original fresco, and conservation was necessary to reveal
    the true colors. Throughout the pilot project, the Curator's office
    kept Capitol staff and visitors informed through regularly updated
    signage. The Reception Room restoration and rehabilitation project is a
    joint effort between the Senate Curator and the AOC Curator, and
    includes various work in the room. In addition to restoring the
    historic Reception Room benches, the Curator's office developed a
    furnishing plan for the room, based on use surveys. As a first step,
    one of the historic benches was replaced with a row of chairs, thus
    allowing easy access to a closet and better use of the space by Members
    and Senate staff. The office is also working with the Senate Committee
    on Rules and Administration, the AOC, and the SAA on various furnishing
    initiatives for the room.
        The office continued to assist the AOC in the procurement process
    for a 5-year plan for finishing the Brumidi Corridors restoration.
    Curator's staff reviewed the proposal request and will serve on the
    selection board. Similarly, the office was involved in the procurement
    for the Strom Thurmond Room restoration and subsequent treatment.
        The Curator's office provided significant input on the AOC smoke
    purge project. After requesting an air flow study to better predict how
    air will move through the building and at what speed, the Curator's
    office engaged a team of environmental and art experts to review the
    project plan, identify potential threats to Senate art, establish an
    area of impact during construction and testing, and determine
    appropriate levels of protection measures. Curator's staff developed an
    art protection needs document, detailing expectations, and presented it
    to the AOC. In reaching agreement with the AOC, conversations centered
    on physical protection, climate control, and dust control. An updated
    set of art protection specifications were drafted and incorporated into
    the scope of work, thus ensuring a satisfactorily plan of protection
    for the Senate's art treasures during this complex project, which is
    scheduled to begin in 2013.
    Historic Chambers
        During 2011, the Curator's office, with assistance from the AOC and
    SAA, initiated a long anticipated project to address major plaster
    repairs in the Old Senate Chamber, which had been restored in 1970. The
    initial scope included removing failing areas of plaster and lead
    paint, patching, and repainting with the existing 1975 colors.
    Additionally, the Curator's staff requested paint analysis, which had
    never been undertaken in the room, in order to better understand the
    chamber's architectural history and to increase the Senate's knowledge
    of the space. Given the long history of major work in the room, early
    paint layers were not expected to be discovered, but to everyone's
    great surprise they were. Working closely with the AOC's historic
    preservation officer, the Curator's office combined microscopic paint
    analysis with exposures of target paint layers and archival research to
    identify an historic paint scheme. The early colors consisted of a warm
    gray on the ceiling, a slightly darker version of the gray on the
    walls, and a cream color on the trim. The effect will be a
    monochromatic scheme in contrast to the highly accented style used in
    the 1975 restoration which featured shades of peach and salmon with
    metallic highlights. Given this new knowledge, it was decided to
    repaint the chamber to a more correct historic appearance. Along with
    painting the walls, ceiling, and trim, the project expanded to include
    repainting the extensive 1975 faux marble, badly yellowed due to
    multiple layers of varnish.
        With the support of the Senate Commission on Art, the Old Senate
    Chamber was closed and the task of repairing and repainting the room
    began. One exciting discovery was an original section of marble cornice
    that had been painted over. The marble was stripped and cleaned and it
    will remain exposed. Throughout the project, the Curator's office has
    continued to conduct extensive research as new questions arise that
    require immediate curatorial decisions. The staff is overseeing the
    schedule to ensure all tasks are completed and that thorough
    documentation occurs, both photographic and written. Justification for
    each and every decision and action is important for the historic
    record.
        The Old Senate Chamber project is on schedule, and the new and more
    historically correct chamber will be reopened to the Senate and public
    in March 2012.
        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 staff worked with USCP to record after-hours
    access to the historic chambers by current Members of Congress. Sixty-
    eight requests were received from Members for after-hours access to the
    Old Senate and Old Supreme Court Chambers.
    Loans to and From the Collection
        A total of 66 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 two loans,
    accessioned one loan into the collection, coordinated seven new loans,
    and renewed loan agreements for 54 other objects. More than 20 loans
    are projected to be renewed next year.
        The Curator's office was proud to have contributed the Senate's
    only landscape painting, Niagara, Table Rock-Winter by Francois Regis
    Gignoux, to the Smithsonian American Art Museum exhibition The Great
    American Hall of Wonders. The show examined the 19th-century American
    belief that the people of the United States shared a special genius for
    innovation. The exhibition featured 161 objects and ended January 8,
    2012.
    Publications and Exhibitions
        A new exhibition was installed in the Hart Senate Office Building
    atrium highlighting the maquette, or model, of Alexander Calder's
    monumental sculpture Mountains and Clouds. It is the sculptor's last
    project and his only creation combining a separate mobile and stabile
    in a single sculptural work. The display explores the commissioning of
    the sculpture, the career of Calder, and the ongoing care and
    conservation of the sculpture itself. The display was the result of a
    collaborative effort coordinated by the Curator's office with the
    Secretary's Office of Preservation and Conservation, the SAA Printing,
    Graphics and Direct Mail branch (PGDM), the AOC Sheet Metal and Paint
    Shops, and the Creative Services Division of GPO. The exhibit was built
    using in-house resources at minimal cost to the Senate.
        The office continued to increase its presence on Senate.gov this
    year by supplementing the Senate collections already featured with
    information on new objects. More than 30 artifact pages were added to
    the sections on decorative art, ephemera, and graphic art. Objects
    highlighted include ballot boxes, Sevres vases, inkstands, Argand
    lamps, stereographs, and gallery tickets for the 1868 Andrew Johnson
    impeachment trial.
    Collaborations, Educational Programs, and Events
        A painting of Senator William H. Frist by artist Michael Shane Neal
    was unveiled in the Old Senate Chamber on March 2, 2011, as part of the
    Senate Leadership Portrait Collection.
        In conjunction with the Office of Web Technology and the Senate
    Historical Office, the Curator's staff developed a comprehensive
    bibliographic and publications site, combining various lists in one and
    organizing publications by subject. Viewers may now access all
    bibliographies and available publications from links throughout the art
    and history section of Senate.gov site.
        Curator's staff assisted with numerous CVC-related projects
    throughout the year, including participating in the morning briefings
    to the Capitol Visitor's Service, conducting exhibition lectures for
    the public, reviewing exhibition text and images, and evaluating
    products and publications for the CVC gift shop.
        The Curator's staff also gave lectures on the Senate's art and
    historical collections to various historical groups and art museums, as
    well as to members of the USCP Chamber Division. The office continued
    to assist with the Secretary's Senate staff lecture and tour series,
    and was a regular contributor to UNUM, the Secretary's newsletter.
    Office Administration and Automation
        The Senate Curatorial Advisory Board for the 112th Congress was
    empanelled. Two new and five returning members were welcomed. 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, preservation programs, and review and acquisition
    of new objects for the collection. As an improvement to the Senate
    Curatorial Advisory Board empanelment procedures, the staff developed a
    standardized system to chart the appointment process for future board
    members.
        The Curator's office coordinated with staff from the Government
    Accountability Office (GAO) as they conducted an audit of the Senate
    Preservation Fund: Audit of fiscal years 2009 and 2010. The final
    result of the audit was that the Commission on Art and the Secretary of
    the Senate continue to be in compliance with all applicable laws and
    operating standards as deemed by GAO.
        In the area of file management, the Curator's office continued to
    advance the implementation of the new organizational matrix, file
    naming protocols, and improved project documentation through a series
    of file work days. This effort has greatly improved the usability of
    the office resources, streamlined office recordkeeping, and enhanced
    research capabilities.
        The Rights and Reproductions program was improved by subscribing to
    the Large File Transfer System, a program administered by the SAA. This
    allows Senate collection images to be transmitted to customers
    digitally, providing cost and time savings as well as an environmental
    alternative to mailing disks.
    Continuity of Operations Planning
        In the area of COOP, the office conducted monthly exercises to
    develop the ability to work remotely. The exercises proved effective in
    identifying problems and troubleshooting issues in advance of a true
    emergency.
    Objectives for 2012
        Conservation and preservation of the Senate's collections continue
    to be a priority, and several major projects are planned for 2012. The
    office has already contracted with a professional conservator to
    restore two companion tables that were purchased around 1860 for the
    Vice President's Ceremonial Office. Repair and treatment is also
    planned for the 100 inkwells and 100 sanders in the Senate Chamber
    desks. Over time these containers have suffered from daily use,
    resulting in heavy corrosion, loose or broken hinges, and chipped or
    missing glass liners. The containers are no longer used as originally
    intended, and treatment will focus on cleaning and stabilizing the
    containers. The office will continue to expand the care of the Russell
    mirrors by completing the comprehensive, on-site conservation of one of
    the impressive committee room mirrors. Repair work will begin on the
    Senate Chamber desk writing boxes.
        A major initiative will begin to provide on-site conservation
    treatment to preserve the collection of historic furnishings that are
    in daily use by the Senate. Of particular note in the collection are
    the Senate Chamber desks. In August 2011, Curator's staff visited the
    Department of State to observe and consult about a similar program in
    place for the furnishings in the Diplomatic Reception Rooms. A multi-
    step procurement process, coordinated through the SAA Procurement
    Office, began in fall 2011 to select conservation studios with the
    required experience and technical ability to provide periodic condition
    assessments and treatment for the collection. As a result of this
    program, ongoing care of the Senate's historic furnishings will be
    provided on a regular basis, to maintain their appearance and ensure
    their preservation for future use. The contract is anticipated to be in
    place before the end of 2012.
        In conjunction with the AOC's work in the Senate Reception Room,
    the Curator's office will oversee the refinishing and reupholstering of
    the existing table and six chairs in the room. Similarly, during the
    wall conservation in the Strom Thurmond Room, the office will restore
    the historic 19th century overmantel mirror.
        Several sculpture moves are anticipated for 2012, including:
      --moving the original marble pediment sculpture, Justice and History,
            from its location in the Senate subway area to the vestibule
            outside the Old Supreme Court;
      --moving the three plaster reliefs made by Lee Lawrie from their
            location in the Senate subway area to the main corridor on the
            third floor of the Capitol; and
      --relocating the marble bust of George Washington to the entrance of
            the President's Room.
        These new locations will help preserve the objects by offering more
    protected environments, and will provide more convenient and enjoyable
    viewing for staff and visiting public.
        The four sculptures currently in the Senate subway area will
    receive conservation treatment to repair damage to their surfaces in
    conjunction with their planned moves. Of particular concern to Justice
    and History, is the grease now coating the surface due to its current
    proximity to the Senate subway.
        All of the prints in the Senate collection will be re-housed using
    advanced archival methods and materials. Advantages to this project
    include sturdier protection for individual prints, front and back
    viewing capabilities, and easier access to objects.
        The Curator's staff will confer with the AOC regarding preservation
    issues related to Senate restoration and remodeling projects, establish
    project records as appropriate, 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 Brumidi Corridors, the Senate
    Reception Room, and the Strom Thurmond Room. The brochure for the Strom
    Thurmond Room will be updated following the completion of the
    restoration work.
        An exhibit will be mounted for four Constantino Brumidi paintings.
    These oil-on-canvas sketches, painted as studies for Capitol murals,
    will be displayed in a public area so staff and visitors can appreciate
    these important works of art.
        The office will assist the Joint Congressional Committee on
    Inaugural Ceremonies in various capacities for the 2013 Presidential
    Inauguration.
        In the area of COOP preparedness, the office will conduct its
    annual table top exercise, and will continue with its series of remote
    desktop exercises to best prepare staff for an emergency situation.
                    sos deg.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 two branches within the
    office:
      --Education and Training; and
      --Health Promotion.
        The Education and Training branch is responsible for providing
    management and leadership development, training on human resource
    issues, writing, editing, legislative research and time management, as
    well as offering technical training support for approved software
    packages and equipment and new staff and intern orientation in either
    Washington, DC or the State offices. This branch provides training as
    instructor-led classes, one-on-one coaching sessions, specialized
    vendor provided training, video teleconferencing, webinars, Internet-
    based training, documentation, job-aids, and quickcards. 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.
    Capitol Hill Training Events
        The Office of Education and Training offered 1,058 classes and
    events on Capitol Hill in 2011, drawing more than 12,000 participants.
    The registration desk handled more than 25,000 email and phone requests
    for training and documentation.
        The previous total includes 160 customized training sessions for
    2,667 staff members. These sessions ranged from in-depth training of
    Senate office system administrators, conflict resolution, and
    organizational development. The office provides individual consultation
    on Web site development and office systems training, as well as classes
    in resume and interviewing skills building for staff whose Members have
    announced their retirements.
        The Senate's intern program is also a focus of the office. The
    office provides training for intern coordinators as well as 10
    orientation and training sessions for approximately 1,225 interns.
        The biannual Senate Services Expo for Senate office staff had 36
    presenters from the offices of the Secretary of the Senate, SAA, AOC,
    USCP, and the Library of Congress providing an overview of their
    services to 260 staff. This is part of the orientation for new staff
    and the aides to the Senators-elect in addition to the eight
    orientation sessions held January through March.
    State Training Events
        The Office of Education and Training provided 94 learning
    opportunities and training sessions to State office for which 2,625
    State staff registered.
        The office continues to offer the State Training Fair Program and
    video teleconferencing and webinars as a means to train State staff. In
    2011, one session of the State Training Fair was attended by 40 State
    staff. In addition, 42 State administrative managers and directors
    attended the State Directors Forum, 57 State staff participated in a
    Constituent Services Forum, and 41 staff attended the Outreach
    Conference.
        Education and Training also provided advanced all-staff meeting
    facilitation to more than 30 offices that were attended by more than
    500 staff. Additionally, the office offered 20 video teleconferencing
    classes for which 718 State staff registered and 22 webinars that were
    attended by 200.
        To date, 826 State and Washington, DC staff have registered and
    accessed a total of 1,780 different lessons and publications using
    Internet-based training covering technical, professional, and language
    skills. This allows staff in both Washington, DC and State offices to
    take training at their convenience. Education and Training also
    provides 64 Senate-specific self-paced lessons that have been accessed
    more than 4,800 times.
    Health Promotion
        In the Health Promotion area, approximately 2,000 staff
    participated in 64 activities throughout the year. These activities
    included:
      --lung function and kidney screenings;
      --eight blood drives;
      --the Health and Fitness Day;
      --seminars on health related topics; and
      --the Annual Senate Health Fair.
    Cost-Saving Measures
        This office reduced each of our Washington, DC-based State training
    sessions by one-half day to reduce per diem costs to the offices. We
    have added to our catalog of self-paced training to allow State and
    Hill staff to learn at their own time and place. Video teleconferencing
    and webinar training offerings have also been expanded. Education and
    Training continues to distribute documents electronically to reduce
    paper costs.
    Continuity of Operations Planning
        This office has upgraded the video and audio in the spaces used as
    the Emergency Operations Centers for SAA and Secretary of the Senate.
    We have begun work with the SAA Continuity and Emergency Preparedness
    Operations Office to provide staffing for alternate office space,
    alternate computing center, and alternate chamber support. Our office
    is also working with the Senate Employee Assistance Program Office to
    develop, deliver, and staff our response to emotionally challenging
    events.
                           sos deg.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 general public, including
    many visitors to the U.S. Capitol complex. The products available
    include a wide range of fine gift items, collectibles, and souvenirs
    created exclusively for the U.S. Senate.
    Facilities
        In addition to providing products and services from 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, email, or by
    printing and faxing the order form provided on the site. Along with
    offering over-the-counter and walk-in sales, as well as 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, email, 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 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
    nonperishable items alike.
        The second Gift Shop warehouse is maintained within the Capitol
    complex. This facility serves as the point of distribution of
    merchandise to the Gift Shop store and the Capitol Gift Shop counter,
    both of which have limited storage space. This warehouse accommodates
    the Gift Shop's receiving, shipping, and engraving departments, as well
    as supplying the inventory sold through the administrative and special
    order office.
    Sales Activities
        Sales recorded for fiscal year 2011 were $1,608,728.55. Cost of
    goods sold during this same period was $1,216,191.66, accounting for a
    gross profit on sales of $392,536.89.
        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, 2011, the balance in the revolving fund was
    $3,149,788.37. The inventory purchased for resale had an end of the
    year value of $3,101,301.
    Additional Activity
                Government Accountability Office Audit
        At the request of the Secretary of the Senate, in September 2010,
    GAO conducted an inventory observation and audit of the Gift Shop
    financial operations. The formal results of this audit were received in
    April 2011. The established departmental procedures and policies
    implemented on a daily, monthly, and annual basis proved to be
    instrumental in the Gift Shop's achieving a positive review. The
    recommendations provided by GAO at the conclusion of their observation
    had either already been implemented or have been adapted.
                Environmental Fair
        The Gift Shop participated in the 2011 U.S. Senate Environmental
    and Energy Fairs sponsored by AOC. Environmentally friendly products
    that were displayed included wooden flag and desk boxes, wooden pens,
    custom-designed wrapping paper produced from recycled paper, aluminum
    water bottles, Nalgene BPA-free water bottles, biodegradable travel
    mugs, and a travel mug produced from 100-percent U.S. natural corn
    products.
    Selected Accomplishments in Fiscal Year 2011
                Official Congressional Holiday Ornaments
        The Official 2011 Congressional Holiday Ornament features a view of
    the east front of the Capitol backed by a translucent blue window. The
    ornament is crafted of layered cutwork brass with a 24 karat gold
    finish and multicolored enamel detailing.
        Sales of the 2011 holiday ornament exceeded 26,000 ornaments, of
    which more than 6,400 were personalized with engravings designed,
    proofed, and etched by Senate Gift Shop staff. This is an increase in
    engraved ornaments of more than 12 percent. This highly successful
    effort was made possible by the combined efforts of our administrative,
    engraving, and store staffs.
                Candlesticks
        The Members' staircases in the Capitol feature railings that are
    masterworks of bronze casting. The banisters of the railings,
    embellished with finely detailed foliate decoration, have been
    replicated in miniature as 12-inch tall solid pewter candlesticks. They
    are available in either a polished silver or a matte gold finish, and
    are sold singly or in sets of two.
                Webster Intranet Site
        The Web site continues to expand with the addition of new
    merchandise, photographed with assistance from the Senate Photography
    Studio. Product descriptions are written in-house.
        The Gift Shop contributes an article highlighting products and
    services to each issue of the Secretary's UNUM newsletter. In turn, the
    Web site links to the electronic version of UNUM, a practice that has
    increased traffic to the Web site and may be responsible for an
    increase in the use of Gift Shop services by State offices.
    Projects Recently Produced and New Initiatives for 2012
                Capitol Visitor Center
        The Senate Gift Shop continues to supply them with a wide variety
    of inventory product, offering service when needed and advice on
    purchase order, invoice, and operational processes.
                Congressional Plate Series
        The latest 8-year, four-plate series of the 112th, 113th, 114th,
    and 115th Congress has been produced. The 112th plate is currently
    being offered for sale. The plates for each of the future congresses
    will be made available during that respective congressional session.
    The designs depict art and architecture from four of the most
    historically significant rooms in the Capitol:
      --the Senate Appropriations Room;
      --Old Senate Chamber;
      --Old Supreme Court Chamber; and
      --President's Room.
                Laser Engraver
        Recently purchased and soon to be installed, the laser engraver
    will allow the Senate Gift Shop to expand engraving services to include
    additional materials including wood, acrylic, glass, plastic, stone,
    marking metals, and anodized aluminum.
                New Color Printer
        The Senate Gift Shop acquired a color printer which prints in
    quantity on card stock, allowing in-house production of educational
    inserts for merchandise in smaller quantities than would be possible
    using outside printers. This results in cost, time, and resource
    savings.
                       sos deg.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 noncurrent 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
                Sesquicentennial of the Civil War
        In connection with the commemoration of the 150th anniversary of
    the Civil War, the Historical Office published and distributed a
    booklet on ``The Senate's Civil War'', which is also available to the
    public for purchase in the CVC gift shops, an arrangement that reduced
    printing costs. The historians, working with the Office of the Senate
    Curator, designed and mounted a 13-panel exhibit in the Senate wing of
    the Capitol exploring the role played by the Senate and its Members
    during the war years. The historians have also posted online and
    updated monthly features relating to the Senate's Civil War experiences
    on the Senate's Web site, and have worked with the CVC staff in
    selecting items for display related to the Civil War and
    Reconstruction.
                Documentary Histories of the U.S. Senate
        The Historical Office continued working on its online documentary
    history series, which presents 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 are 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
    add recent case studies, eliminating the need for new print editions of
    past publications, reducing costs, and paper use. Existing case studies
    in three categories (contested elections, censures, and expulsions) of
    this five-stage project have been completed and posted on Senate.gov,
    with new revisions and updated cases added throughout this year.
    Substantial progress also has been made in the remaining two categories
    (impeachment trials and investigations). Three case studies were added
    into the investigations category, on the Truman Committee, the
    investigation into air and ocean mail contracts, and the investigation
    of the attack on Pearl Harbor.
                States in the Senate
        The States in the Senate project, featured on Senate.gov,
    highlights persons and events in each State's history that relate to
    the U.S. Senate, which informs Senators, staff, and constituents alike.
    Historians and staff have collaboratively created timelines and
    compiled selected illustrative images for each of the 50 States. A Web
    design for the project was created in partnership with GPO and the
    Office of Web Technology that provides an interactive timeline for each
    State with links to relevant documentary and visual material, along
    with a table of Senators from each class with service dates. Staff
    entered data and collected more than 1,000 images for all of the
    States.
                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 SAA,
    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
        The Historical Office continues to expand and update the
    Biographical Directory of the U.S. Congress as needed, including adding
    new Member biographical entries and bibliographical citations that
    incorporate recent scholarship. The Senate historians work closely with
    the historical staff of the House of Representatives 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 continue to collaborate on a planned update of
    the online site in appearance and functionality and have approved a new
    template and overall appearance for the Directory. The Senate archivist
    and her deputies continue to expand and revise the ``Research
    Collections'' aspect of the database, taking advantage of new resources
    on archival collections.
                Senate Manual and Congressional Directory
        The Historical Office has assisted the Senate Committee on Rules
    and Administration with the preparation of the statistical data
    sections of the Senate Manual and the Congressional Directory. Staff
    worked to research, edit, and revise statistical information on the
    1,931 Senators who have served since 1789, along with Senate officers,
    executive Cabinet members, and sessions of Congress.
                Party Conference Minutes, 1965-1977
        Previously, the Historical Office staff edited, indexed, and
    published the Minutes of the Senate Democratic and Republican
    Conferences covering the years prior to 1964, and they are 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 an index and 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. The office has scanned an additional 3,115 pages of
    transcripts for the 73 conferences between 1977 and 1982, for future
    publication.
                Dirksen Senate Office Building Exhibits
        Senate historians, working with the staff of the Senate Curator and
    the Senate Library, continue to prepare new exhibits for the entrance
    room to SDG-50 in the Dirksen Senate Office Building. The first
    exhibits dealt with the life and career of Senator Everett M. Dirksen
    and on the design and functioning of the office building named in his
    memory. These are being replaced with exhibits on the changing design
    of Senate committee rooms in the Capitol and Senate office buildings,
    and on some of the notable investigations held by Senate committees.
    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 Edward E. (Ted) Kaufman,
    who previously served as chief of staff to Senator Joseph R. Biden,
    Jr.; Richard Murphy, who served on the staff of Senator Hugh Scott;
    Barry Piatt, former communications director for Senator Byron L.
    Dorgan; Rufus Edmisten, deputy counsel to the Watergate committee; and
    Barbara Hines, one of the Senate's first female pages. An interview
    with Senate telecommunications personnel was released for research. The
    complete transcripts of 35 interviews conducted since the 1970s have
    been posted on Senate.gov. That site features a different oral history
    interview series each month, 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
        The historian and associate historian delivered a series of
    ``Senate Historical Minutes'' at the weekly Democratic and Republican
    Conference luncheons. These ``minutes'' highlighted 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
        Whenever Senators announced their retirements, the Senate archivist
    held meetings with their staffs to discuss schedules for closing and to
    ascertain specific archiving needs. A new ``closing an office''
    notebook was compiled to better address the numerous and recurring
    issues involved in preserving a Senate collection. H. Con. Res. 307,
    adopted on June 20, 2008, serves as the introduction to the notebook
    and has proved to be an effective outreach tool to Senators and their
    senior staff. As a result of these meetings, some Senators have hired
    archivists to assist with this specialized process; others have
    dedicated staff to perform the necessary work. All offices appear to be
    working more closely with their selected archival repository. This
    planning has become increasingly valuable in the digital era.
        Eighteen offices closed at the end of the 111th Congress. This
    presented a good opportunity to observe recordkeeping practices in 18
    percent of Members' offices. While some offices still relied on paper
    to transact business, the majority used a variety of electronic
    systems. Senators increasingly used computer notepads to view their
    daily briefing memos. Senators have also made use of social media,
    particularly YouTube, Facebook, and Twitter. Offices showed variations
    in levels of understanding how to preserve these files, and were
    curious about what services a research repository can provide. These
    insights led to an Office Archives Toolkit specifically designed for
    new offices. Amid the demands of setting up the office, staff can begin
    to create filing systems that not only can be of immediate use but can
    lead to long-term archival preservation. The Toolkit contains 18
    readily accessible ``tools'' ranging from an office policy statement to
    a records management control table. It includes suggestions for the
    systems administrator, personal records management advice, and
    archiving email strategies sandwiched in between. The Toolkit is
    available in hard copy, on a disk or on the Senate's intranet, Webster.
    The Toolkit points out that from the start there will be archival
    records in the form of constituent communications that need to be
    managed. It also covers what Senators should look for in an archival
    repository and what they should keep for their research collections.
        The archivist made extensive revision of the Records Management
    Handbook for U.S. Senators and Their Archival Repositories. Archival
    guidance in the form of ``Quick Cards'' were updated and augmented by a
    fourth card on social media communications archiving. A staff exit-
    interview form designed to provide better context of their records, was
    supplemented by a new checklist for locating records among portable
    media.
        The Senate archivist held a series of brown-bag lunch discussions
    for archivists in committees and Senators' personal staffs. These
    focused on records management, storage and electronic records. Informal
    meetings of Capitol Hill Archivists and Records Managers (CHARM)
    focused on description standards, electronic records description, and
    improving capture of email.
        The archivist listserv serves as an effective means for updating
    archival staff about records management and archival guidance. The
    Senate archivist continues to work with the repositories receiving
    senatorial collections to ensure the adequacy of documentation and the
    transfer of records with adequate finding aids, helping to lower costs
    for the receiving repositories and providing guidance on electronic
    records. The archivist and Senate historian presented a talk on the
    history of the Senate's archives to Senate staff. The talk was also
    presented to a graduate class on documentation at the University of
    Maryland.
                Committee Records Management and Disposition Assistance
        The Senate archivist provides Senate committees with staff
    briefings, 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. A
    survey conducted of the committees' electronic archiving revealed that
    almost all committees had voluminous electronic record backlogs that
    require archival review. The backlogs fall into three categories:
      --files of committee staff that have departed the committee;
      --share drives; and
      --accumulated email.
        Because of the Senate's increasing employment of electronic
    records, the Senate archivist continues to encourage committees to hire
    their own archivists. Over the past year, the Committee on the Budget
    and Select Committee on Indian Affairs added archivist positions,
    making a total of nine archivists on eight committees. The result has
    been a positive improvement in the quality of historical documentation
    of these committees.
        There remains a danger of losing electronic records that are
    sitting in backlogs. This year the archivist began offering direct
    electronic records processing assistance to committees and is currently
    working on electronic records backlogs of six committees, some dating
    from the 1990s. Thirteen of the 17 committees (75 percent) are engaged
    in archiving electronic records. The Senate now has 2.5 terabytes of
    data stored at the National Archives and Records Administration's
    Center for Legislative Archives. There is a growing gap between the
    documentary qualities of the records being archived from committees
    that have archivists as opposed to those without archivists or those
    that have not sought specific help with their electronic records.
        Direct processing of electronic records rendered valuable insights
    about contemporary staff record-keeping. Close evaluation of staff
    email accounts for the purposes of description, revealed some unusual
    gaps indicating that staff members were not totally aware of how to use
    the email archive folder function. These were addressed with targeted
    guidance. Dealing with large digital backlogs also has allowed for a
    refinement of the description of digital records.
        Working with the Office of Senate Security, the archivist created
    an appraisal chart specifically for classified records. The chart is
    designed for use by security officers and archivists to identify
    historically valuable classified records and to eliminate the hundreds
    of feet of such material regularly sent in multiple copies to the
    Senate. A top concern is the preservation of the classified notes staff
    take at briefings, usually the only record of such meetings.
        Three new archives IT initiatives began during the past year. A
    large file transfer system for transferring records accessioning and
    description documentation to the Center for Legislative Archives was
    implemented and has cut down substantially on the use of paper. The
    archivists compiled specifications for a Senate archives virtual server
    that eventually can archive electronic records. The archivists also
    worked with the Center for Legislative Archives Holding Maintenance
    System to provide better tracking of loans back to the Senate.
        The Senate Committee on Rules and Administration has accepted a
    gift of five original Senate Appropriations Committee ledgers covering
    the period from 1870 to 1909. The ledgers were purchased privately by
    an antiquarian bookseller, who then donated them back to the Senate.
    They provide an inventory of appropriations ``by item and by Congress''
    and fill a significant gap in the historical record of the committee.
    The five ledgers are divided as follows:
      --Agriculture;
      --Army;
      --Fortifications;
      --Pensions; and
      --Post-Office;
      --Diplomatic and District of Columbia;
      --Legislative;
      --Military Academy; and
      --Naval and Sundry Civil Appropriations.
        During 2011, the Senate archivist oversaw the transfer to the
    Archives of 607 accessions of Senate records totaling 2,303 cubic feet
    of textual records and 732.78 gigabytes of electronic records. The
    archivist and deputy archivists responded to 155 requests for loans of
    archived records back to committees. Responsibility for archiving the
    records of the Joint Select Committee on Deficit Reduction was assigned
    to the Senate archivist, who briefed the committee staff as the office
    was setting up. Archiving of those records continues into 2012.
                Advisory Committee on the Records of Congress
        This 11-member permanent committee, established in 1990 by Public
    Law 101-509, meets semiannually to advise the Senate, the House of
    Representatives, and the Archivist of the United States on the
    management and preservation of the records of Congress. Its membership
    representing the Senate includes the Secretary of the Senate, who is
    chairing the panel during the 112th 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. The archivist and deputy archivist served
    as appointed members of the Next Generation Finding Aid Task Force
    established by the Advisory Committee to develop criteria to improve
    the finding aids for the Senate's archival records. The task force's
    report, which was approved by the Advisory Committee at its June
    meeting, outlines significant steps needed to bring finding aids to
    Senate collections up to contemporary standards. Implementation of its
    recommendations began with training for the archivists in metadata,
    EAD, EAC-CPF, DACS, and Archivists Toolkit, all standards and systems
    required to automate accessioning and description of the Senate's
    historical records. A Task Force on a New Descriptive Tool has been
    created to compile system requirements for a new accessioning and
    description system. When fully implemented, the system will streamline
    the description, accessioning, and management of the Senate's archival
    collections from their origin within committees to their use for
    research.
    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. During the past year, the Office responded to more than 1,500
    inquiries from the public, the news media, students, family
    genealogists, congressional staffers, and academics, through the public
    email address listed on Senate.gov. The diverse nature of their
    questions reflected varying levels of interest in Senate operations,
    institutional history, and former Members.
        Working closely with the Webmaster's staff, the historians have
    substantially redesigned all the principal pages of Senate.gov, to
    better utilize the online environment to provide timely, accurate, and
    interesting historical material. Beginning in October 2011, the
    historians began monthly thematic presentations of historical essays,
    images, cartoons, and statistics, along with exhibition of primary-
    source documents from the National Archives, Library of Congress, and
    other sources, to better serve Senators, staff, and the public.
    Underway are major revisions to the online oral history collection and
    the ``historical minutes'', to make these valuable features more
    interesting and easier to navigate.
        Staff presented seminars on the general history of the Senate,
    Senate committees, women Senators, Senate floor leadership, relations
    between the press and the Senate, the U.S. Constitution, the history of
    Senate impeachment trials, and notable Senate investigations. The
    historians also participated in Senate staff seminars and conducted
    briefings for specially scheduled groups. The associate and assistant
    historian met with teachers from the National Council for the Social
    Studies, and offered specialized tours to Senate staff, including a
    tour of Capitol locations associated with the Civil War.
    Photographic Collections
        The Senate photo historian consulted with other image professionals
    in planning the renovation of the collection space, to create an
    environment conducive to the preservation and access of the image
    collection. She successfully oversaw the physical transfer of the
    Senate's image collection to the newly renovated office space, and
    arranged for the transfer of thousands of historic negatives to the
    Center for Legislative Archives.
        The photo historian ensured 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 provided timely photographic reference service by phone and
    email, while cataloging, digitizing, relocating, and expanding the
    Office's 40,000-item image collection. She assisted several Senate
    offices in creating collages of all the Senators who previously served
    in that seat.
        The photo historian assisted in the creation and production of the
    brochure, ``The Senate's Civil War'', selecting images to illustrate
    the text and sought permissions to use the images, and collaborated
    with the historical editor and GPO staff to design and publish the
    brochure. The photo historian also selected and obtained an estimated
    1,500 images for the upcoming online exhibit, ``States in the Senate'',
    for its illustrated timelines.
        The photo historian collaborated with the Senate Curator's Office,
    the Center for Legislative Archives, and the Senate Office of
    Conservation and Preservation to select and obtain historic images and
    documents for the Senate Committee on Rules and Administration.
        As the founder of CHARM, an informal group of Senate archivists,
    the photo historian planned tours and professional development events
    for committee and member archivists, and planned its 10th anniversary
    luncheon.
    Continuity of Operations Planning
        As the Historical Office's COOP Action Officer and Emergency
    Coordinator, the Senate photo historian continued to update the
    Office's COOP plan in the emergency preparedness database. She made
    regular back-ups of the office's electronic records to store off-site
    in a secure environment. She trained new staff members and interns in
    the Office's emergency evacuation procedures. She updated staff
    members' contact information in the ALERTS system. She provided SAA's
    Continuity and Emergency Preparedness Office with an after-action
    report after the August 2011 earthquake incident and worked to ensure
    that staff members have the resources needed to work off-site in the
    event of an evacuation of the office.
    Capitol Visitor Center
        The historians supplied information and guidance to the staff of
    the CVC related to the educational component of the exhibition gallery.
    They have provided material and general editorial review 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 gave exhibit talks in the CVC, 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.
                        sos deg.human resources
        The Office of Human Resources was established in June 1995 by the
    Secretary as a result of the CAA. 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;
      --SLP;
      --FMLA program;
      --parking allocations; and
      --the summer intern program that offers college and other
            postgraduate 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 has the ongoing task of advertising new vacancies
    or positions, screening applicants, interviewing candidates, and
    assisting with all phases of the hiring process. Human Resources staff
    coordinate with 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 3,000 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
    continues to develop and deliver training for department heads and
    staff. Training topics include sexual harassment, interviewing skills,
    FMLA administration, and an overview of the CAA. Human Resources staff
    also works with different department employees on topics specific to
    their group in outreach efforts to enhance teamwork in the workplace.
    Veterans Employment Opportunity Act of 1998
        In 2011, the rights and protections of the Veterans Employment
    Opportunity Act of 1998 (VEOA) became applicable to the Office of the
    Secretary of the Senate through the CAA. Eligible veterans now receive
    hiring preferences over nonveterans for most of the job openings in the
    Secretary's Office and can seek legal redress if they believe they have
    been denied their veterans' preference rights. Consistent with its new
    obligations under the VEOA, the Secretary's Office has identified more
    than 204 VEOA preference-eligible positions within its organization,
    has instituted a process for proper application of the veterans'
    preference law and, to date, has invited preference-eligible veterans
    to apply for 19 job openings.
    Congressional Internship for Individuals With Intellectual Disabilities
        In February 2012, the Office of the Secretary of the Senate
    received approval to participate in a unique internship program for
    students with intellectual disabilities--the Congressional Internship
    Program for Individuals with Intellectual Disabilities. The internship
    program, which lasts 12 weeks, gives students with intellectual
    disabilities the same educational and enrichment opportunities
    typically afforded to congressional interns here in our Nation's
    capital. Interns work for one 2-hour session each week. The interns
    work with their congressional offices, as well as job coaches
    specifically trained to assist the students, to complete various office
    tasks as assigned.
    Interns
        Human Resources manages 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.
    Operation Warfighter
        In December 2010, Human Resources, on behalf of the Secretary,
    received approval to host Wounded Warriors from DOD's Operation
    Warfighter (OWF) program. The unpaid internship program is open to all
    wounded and ill servicemembers assigned to a Military Treatment
    Facility, an Army Warrior Transition Unit, the USMC Wounded Warrior
    Regiment, the Air Force Wounded Warrior Program, or the Navy Safe
    Harbor Program. The program positively impacts the recuperation
    process, and provides meaningful activity outside of the hospital
    environment that positively impacts wellness.
    Combined Federal Campaign
        The office has again taken an active role in the Combined Federal
    Campaign for the Senate community at-large. The office serves 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.
                      sos deg.information systems
        The staff of the Department of Information Systems provides
    technical hardware and software support for the office of the Secretary
    of the Senate. Information Systems staff also interface closely with
    the application and network development groups within SAA, GPO, and
    outside vendors on technical issues and joint projects. The department
    provides computer-related support for all LAN servers within the office
    of the Secretary of the Senate. Information Systems staff provide
    direct application support for all software installed workstations,
    initiate and guide new technologies, and implement next-generation
    hardware and software solutions.
    Mission Evaluation
        The primary mission of the Information Systems Department is to
    continue to provide the highest level of customer satisfaction and
    computer support for the office of Secretary of the Senate. Emphasis is
    placed on creating and transferring legislative records to outside
    departments and agencies, fulfilling Disbursing Office financial
    responsibilities to the Member offices, and complying with office
    mandated and statutory obligations.
    Fiscal Year 2011 Technology Initiative Summary
        The department technology initiatives concentrated in four specific
    areas:
      --Improvements in workflow process, efficiency, and security;
      --Deployment of improved hardware and software technologies;
      --Business continuity planning and disaster recovery improvements;
            and
      --Network Perimeter and End Point Security Awareness.
                Improvements in Workflow Process Efficiency and Security
        Each Secretary of the Senate department has adopted IT security
    policies and improved procedures for the handling and migration of
    business-related electronic documents. In partnership with the SAA
    Security and Operation staff, educational awareness training is now
    mandated for all staff, intern, and contractor personnel. Each
    department head is required to assess the data involved, how it might
    be accessed on a variety of devices, and insures all data is encrypted
    when migrated out of the office environment.
        Since November 2008, Information System staff has worked in
    partnership with SAA development staff testing improved access methods
    of virtual private networks. In 2010, new technology was implemented to
    provide the Senate community with improved access to their office
    workstations when working from home or outside of the office. Improved
    Web-based secure access is now available to establish secure network
    routing to an employee's office workstation when working remotely.
        Improved security token hardware and software was installed in 2011
    to ensure compliance with evolving security standards and to minimize
    threats to the Senate network.
        Implemented and installed an improved version of legislative
    reporting in order for staff to run LIS reports via a Web browser
    session. This feature allows all of the reporting features of the
    existing clerk LIS application and eliminates the installation of
    client software at each workstation. Additionally it provides the
    Senate Library staff additional research tools when accommodating
    requests from the senate community.
                Deployment of Improved Hardware and Software Technologies
        Completed third phase of network printer hardware replacement
    program by replacing all color network printers with improved high-
    speed models that reduce energy use up to 50 percent with instant-on
    technology.
        Improved BlackBerry devices support by utilizing new Web-based
    administrative tools to manage devices, and applied backup process in
    managing service accounts. This provides a much quicker response to
    securely lock down devices in the event of a misplaced or stolen
    device.
        Upgraded the reporting functionality for the hardware server
    application which remotely deploys system and application patches for
    server and workstation hardware. Improved reporting means higher levels
    of asset management and additional accuracy when deploying patches to
    hardware systems.
        Completed laptop hardware upgrades for all department head staff
    and legislative floor dais staff. Upgraded all COOP laptop hardware
    located on campus at the emergency operations center and at the
    leadership coordination center. Replaced and refreshed all COOP laptop
    hardware located at multiple offsite locations.
        Retired three hardware servers in the Office of Public Records and
    virtualized the primary office database applications. This project, in
    part, minimized the impact of the office renovations in August 2011,
    providing the staff the ability to continue business as usual in their
    alternate location.
        Completed 21 major LIS software upgrades and installed updated LIS
    application software in all legislative clerk offices, alternate
    computing facility, and offsite home laptop locations. Virtualized the
    LIS applications for the Senate Library staff which streamlined the
    availability of application for LIS users. Added LIS web reporting
    functionality to allow staff to retrieve reports via a secure Web
    browser.
        Retired hardware server in the office of Human Resources.
    Virtualized the human resource information system application and
    relocated the application to an existing platform located at the
    datacenter in Postal Square (higher availability).
        Replaced three hardware platforms at the primary computing facility
    (PCF) and upgraded the BlackBerry Exchange server hardware platforms to
    a virtual infrastructure. This was accomplished for the Secretary of
    the Senate, Disbursing, and SCCE offices. Additionally, three hardware
    platforms for each respective office were retired at the alternate
    computing facility (ACF). These ACF servers are the major active
    directory server for each office and critical in the failover
    capability when moving network resources to an alternate location.
        Upgraded unclassified workstations in the Office of Senate
    Security. Finalized the design and delivery of a new improved
    SharePoint server hardware platform for the office classified network.
    This new design will accommodate the increase workload with the room
    reservation system, and provide additional efficiency using a virtual
    server instance to manage classified data.
        Information Systems staff initiated new technologies to reduce
    ongoing application support cost by introducing a ``virtual
    application'' in the office. Virtual applications are installed once
    and available on a centralized server and need not be installed
    multiple times on all workstations. The first application candidate for
    all staff use is an XML editing application and this is now hosted as
    the first Secretary ``thin application'' for staff use.
        Evaluated multiple portable teleconferencing solutions to be used
    by the executive office staff.
        Implemented a low-cost computing terminal emulation hardware
    solution for the Office of Public Records, the Office of Printing and
    Document Services, and the summer internship program. This evolving
    hardware technology is a network appliance that replaces the standard
    office personal computer with a low-cost hardware device. Multiple
    appliances can then be networked to a single host to run software
    applications. A cost saving is realized not only in foregoing the
    purchase of additional personal computers, but also with the reduction
    of ongoing support for the additional system patches and updates.
                Business Continuity Planning and Disaster Recovery
                        Improvements
        Replaced all laptop hardware for department heads, the Disbursing
    Office, and SCCE.
        Added portable servers in the Disbursing office at the ACF. This
    solution provides a nightly scheduled backup and a replica of the Hart
    location data to the ACF facility.
        Upgraded legislative staff with improved laptop hardware at the
    dais chamber location for a more streamlined and secure connection to
    the Senate network.
        Created a ``virtualized'' and encrypted software solution for the
    Senate Enrolling Clerk in order to process legislation when staff
    reside offsite. Virtualization of mission critical workstation
    applications provides for a way to lower the support time and cost
    required to keep offsite laptops updated with current software
    revisions. It also provides a more efficient process to migrate
    existing applications to numerous systems thus making it available to a
    wider range of key personnel who require the application access.
        Parallel in completing the Enrolling Clerk virtual host project,
    Information System staff partnered with GPO technical staff to provide
    two functional offsite hardware printers for use during a COOP event.
    This functionality provides the Enrolling Clerk staff the ability to
    print multiple types of parchment style documents for delivery to the
    White House in the event of an office closure or relocation.
        Updated and migrated the Member accountability client application
    to function with the SAA Windows SQL 2008 Server platform. Configured
    four virtual hosts, one reserved specifically for training purposes,
    and one virtual ``always on'' instance that resides at the PCF
    datacenter. Configured and made this available virtual solution for the
    Secretary of the Majority and the Secretary of the Minority offices.
        Demonstrated the capability during the COOP offsite exercise in May
    2011 to transfer data files directly from the Official Reporters of
    Debate Stentura device to GPO. During a COOP event key personnel may
    not always be available, and this test functionality eliminated three
    personnel in the floor proceeding data transfer process. The test data
    transferred to GPO was compiled successfully by their staff to produce
    the Congressional Record for the exercise.
        Configure http protocol ``quick links'' on the improved Senate Web
    portal appliance for staff to remotely connect to the office
    workstation. Presently 70 percent of the staff has some method of
    secure remote access to Senate network resources.
        In the event GPO ``fails-over'' their operation at North Capitol
    Street, NW. changes to the legislative file transfer process to support
    transactions between the Secretary's office and GPO have been
    implemented. A secondary backup (encrypted) file transfer method has
    also been implemented between GPO, the Senate Office of Legislative
    Counsel, and the Office of the Secretary. Demonstrated secure file
    transfer capability during the May 2011 offsite exercise.
        In partnership the SAA Security Operations Center, selected and
    tested COOP offsite laptops operation using the Senate vulnerability
    assessment software tool. This software tool is now available to the
    Senate community. Future testing in 2012 will involve the testing of
    the Executive office workstation.
        IT staff continue to monitor email spam filtering applications.
    Present rate of undesirable email messages average 6,000 messages per
    day, which is approximately a 30-percent reduction from fiscal year
    2010. Email messages to staff who are no longer employed by the
    Secretary's office continue to be removed from the messaging server.
        Information Systems staff continue to monitor network security
    ensuring best practice information is available to all staff. Developed
    global security server policies to automatically lock computer
    terminals after 1 hour of application inactivity.
        Staff continues to provide a BlackBerry scanning service for staff
    prior to travel outside of the United States.
        Staff continues to manage the alerts notification database for all
    Secretary staff. Database information is verified nightly to ensure
    email, voice, and BlackBerry personal identification number information
    is valid and will function during an emergency.
        After implementation of the Lumension Deployment server,
    Information Systems staff continues to maintain the inventory of all
    applications for 300 workstation installations. The office now has the
    ability to review in real time which systems require application
    updates, and can deploy security patches without interruption to the
    business owner.
                Ongoing and Future Projects in 2012
        As server and laptop hardware nears the end of the maintenance
    lifecycle, replace older hardware servers with virtual server
    solutions. All active directory server hardware was updated in fiscal
    year 2010. PCF and ACF domain controllers were virtualized for fail-
    over capability in 2011.
        Evaluate new Senate active directory enterprise solution for
    Secretary of the Senate, Disbursing Office, and SCCE.
        Migrate to next generation of Microsoft Exchange E-mail Server.
    This was accomplished in January 2012.
             sos deg.office of interparliamentary services
        Office of Interparliamentary Services (IPS) is responsible for
    administrative, financial, and protocol functions for all
    interparliamentary conferences in which the Senate participates by
    statute, for interparliamentary conferences in which the Senate
    participates on an ad hoc basis, and for special delegations authorized
    by the Majority and/or Minority Leaders. The office also provides
    appropriate assistance as requested by other Senate delegations.
        The statutory interparliamentary conferences are:
      --NATO Parliamentary Assembly;
      --Mexico-United States Interparliamentary Group;
      --Canada-United States Interparliamentary Group;
      --British-American Interparliamentary Group;
      --United States-Russia Interparliamentary Group;
      --United States-China Interparliamentary Group; and
      --United States-Japan Interparliamentary Group.
        In 2011, IPS was responsible for organizing the following
    interparliamentary conferences:
      --the U.S.-China Interparliamentary Group;
      --the Mexico-U.S. Interparliamentary Group; and
      --the British-American Parliamentary Group.
        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, travel arrangements, and reporting requirements.
        IPS receives and prepares for printing the quarterly consolidated
    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 DOD, the Department of State and
    foreign Embassy officials. The office staff 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 SAA in arranging programs
    for foreign visitors. In addition, IPS is consulted by individual
    Senate offices on a broad range of protocol questions. Occasional
    questions come from state officials regarding congressional protocol.
        On behalf of the Senate Majority and Minority Leaders, IPS arranges
    official receptions for heads of state, heads of government, heads of
    parliaments, and parliamentary delegations. Required records of
    expenditures on behalf of foreign dignitaries under authority of Public
    Law 100-71 are maintained by IPS.
    Continuity of Operations Planning
        IPS regularly reviews its COOP plan with ongoing discussions,
    updating materials kept offsite, evaluating evacuation procedures, and
    working from remote sites.
            sos deg.legislative information system project
        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: Legislative Information System Augmentation Project
        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 XML as the primary data standard to be
    used for the exchange of legislative documents and information.
    Following the implementation of LIS in January 2000, the LIS Project
    Office shifted its focus to the data standards program and established
    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 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 Senate Committee on Appropriations,
    and 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.
    Legislative Information System Augmentation Project: 2011
        The LIS Project Office continued to provide support to the SLC, the
    Senate Committee on Appropriations, and the Senate Enrolling Clerk in
    their use of LEXA for drafting, engrossing, and enrolling. In addition,
    drafters in the Committee on Commerce began using LEXA in mid-2011 to
    create measures in XML instead of locators. With the addition of the
    Commerce drafters, it is now possible that all measures in the second
    session of the 112th Congress will be produced in XML. In addition, GPO
    uses LEXA to complete measures for printing. Several new features and
    fixes were added in LEXA releases to make the drafting process faster,
    more efficient, and more consistent. LIS staff trained new drafters and
    interns in the use of LEXA.
        Changes to LEXA included upgrading all users to Xmetal 6.0 and to
    Perl 5.8.9 libraries. Xmetal is the underlying software for LEXA, and
    the 6.0 version is compatible with Vista and the 32-bit version of
    Windows 7. Perl is the main programming language used in building the
    LEXA application. The upgrade projects required extensive testing of
    LEXA on multiple operating systems including XP, Vista, and Windows 7.
        Several new features and improvements were made to LEXA in the past
    year. One new feature allows a user to easily create a valid XML
    document from multiple XML documents. The Enrolling Office often has to
    work with very large documents, and changes were made to speed up the
    printing of large documents. The project to convert, edit, and print
    the compilations of existing laws continued with improvements to
    printing to portable document formats and quicker access to open
    compilations from an index document. Several enhancements were made to
    correctly set form, endorsement, and printing parameters for bills
    reported by the Senate Committee on Appropriations. New document
    templates and printing procedures were created for the Committee on
    Commerce. Because the text of new documents can come in many different
    formats, an important update to LEXA is improvements in copying non-
    XML-formatted text and pasting into LEXA in a valid XML format. The
    previous paste process added the text, but a great deal of time and
    effort was required to conform the document to valid XML.
    Continuity of Operations Planning
        Several procedures have been implemented to provide for COOP. All
    source code and data files are backed up nightly to a drive in the
    office, and each LIS Project Office staff member carries an encrypted
    flash drive containing the office COOP plan, documentation, and the
    most recent version of LEXA. All the software and documentation
    required to create the development environment and a LEXA end user
    environment are available in duplicate copies of the LIS Project Office
    fly-away kit. The COOP plan and the fly-away kits are updated
    frequently, and one fly-away kit is kept in an off-site location.
    Regular testing of the ability to work remotely is conducted via Senate
    laptops and personal computers to ensure that application development
    and user support can continue if access to the office is not possible.
    Legislative Information System Augmentation Project: 2012
        The LIS Project Office will continue to work with and support all
    the Senate offices now using LEXA and 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. Several
    offices within these organizations will participate in two projects.
    The LIS Project Office is working with staff from the Legislative
    Computer Systems (LCS) in the Office of the Clerk and GPO on a pilot
    project to create and print committee reports in XML. A second group
    project to collaborate on changes needed for using XML for codification
    bills and the U.S. Code includes participants from the Law Revision
    Counsel, the Senate and House Legislative Counsel, and LCS.
        Xmetal 7.0 will be released in 2012, and the LIS Project Office
    will conduct extensive testing before upgrading LEXA users. Xmetal 7.0
    will be certified to operate on the 64-bit version of Windows 7, and it
    will provide interfaces to content management systems. Following the
    Xmetal upgrade, testing will begin on an interface between Xmetal and
    Sharepoint and on upgrading to the .Net4 framework.
                            sos deg.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 audiobooks;
    and a wide array of online resources. The Library also authors content
    for three Web sites--LIS.gov, Senate.gov, and Webster, the Senate's
    intranet.
        The Library marked 140 years of service to the Senate with the
    complete transfer of the SIS program from the SAA, a full program
    review, the launch of a redesigned FrontPage portal to include all
    electronic resources available Senate-wide, the release of a new State
    NewsWatch portal focused on regional and local news sources, the
    upgrade and replacement of the Senate's Westlaw custom search
    interface, the continued development of a redesigned custom search
    interface for LexisNexis, the full implementation of new internal
    processes and a Web-based application to log SIS support requests, and
    the issuance of new contracts for the procurement of online research
    services for the delivery beginning in fiscal year 2012.
        Senate-wide access to several specialized products was terminated
    as of December 31, 2011. In light of price increases incurred in
    several online products, overall Senate usage of these news and
    research services did not justify the cost of continuing access.
    Available SIS program funds were reallocated to preserve Senate-wide
    access to core services identified in the Senate research services
    survey conducted in November 2010. These changes in service were
    authorized by the Secretary of the Senate with the approval of the
    Senate Committee on Rules and Administration and are a consequence of
    reductions in program funding.
        The Library's creation of new Web-based content, judicious
    selection and investment in online resources, expanded outreach and
    training opportunities, and use of technology to support alternative
    means for information delivery continues to meet the Senate's
    increasing demand for information.
    Notable Achievements
        Successful outreach efforts contributed to an increase in Library
    usage in the following areas over the past year:
      --the Library catalog experienced a 24-fold increase in visits from
            3,804 Senate staff;
      --patron computer accounts are up 66 percent; and
      --online book requests are up 23 percent. Loans of audiobooks
            increased 13 percent and travel books by 46 percent.
        Targeted efforts to reach underserved State staff and interns were
    rewarded with a total of 830 staff participating in 150 classes, tours,
    and webinars. This represents a 65-percent increase in the number of
    training opportunities offered and a 119-percent increase in the number
    of staff trained.
        The Library catalog now provides Senate staff with desktop access
    to more than 39,649 full-text electronic documents and online
    resources, an increase of 15 percent more than 2010.
        Library staff and interns completed the retrospective digitization
    of Senate Executive Calendars from 1997 to the present, creating the
    only digital archive of this material with the goal of making it
    publicly available.
        Catalog records for confirmation hearings on appointments to the
    Federal judiciary and the armed forces have been enhanced to allow
    searching by the names of all individual nominees.
        Three well received display cases were completed on African
    Americans in the Civil War;Philip Reid and the Slaves Who Built the
    Capitol; and 19th Century Gilded Book Bindings in the Senate Library.
        The online Senate Services Directory (Red Book) was released on
    Webster, featuring a new taxonomy developed by the Library in
    collaboration with the Office of Web Technology and the Sergeant at
    Arms' Assistant Sergeant at Arms (ASAA)/Chief Information Officer (CIO)
    Office.
    Senate Library Inquiries, Online Book Requests, and Patron Accounts
        The increase in requests for online materials, the availability of
    new and enhanced database offerings, and the expanded availability of
    resources on the Web have not dampened the overall demand for high-
    quality Library resources and services. Librarians answered 25,123
    walk-in and email reference requests in 2011.
        Senate staff continued to demonstrate an increasing preference for
    Web-accessible resources. Use of Library-created resources on Webster
    increased to 184,551 page visits, an increase of 108 percent from 2010.
    Links to the Library's Hot Bills, appropriations, and cloture table
    content from LIS added 13,954 page visits while referrals from LIS to
    FrontPage and the Library's Web site totaled 6,924. Usage statistics
    for Library's popular Virtual Reference Desk on Senate.gov are not
    available for 2011 as a consequence of a change in the overall site
    architecture.
        The January launch of the Library's new FrontPage electronic
    resources portal marked a seamless transition of the site from the SAA
    to the Library. The new portal received 82,016 page visits in its first
    year. Senate staff turned to SIS program support 147 times for help
    with accounts, resource access, and custom news profile requests.
    Program staff logged an additional 150 requests with program vendors
    related to program site maintenance and support during 2011.
        The Library received 818 online book requests in 2011, a 23-percent
    increase more than the previous year. The increase can be attributed to
    the online book request form on the Library catalog, as well as to the
    promotion of online topical bibliographies that highlight the Library's
    collections of audiobooks, travel books, and new books. Audiobook loans
    increased by 13 percent, travel books increased by 46 percent, and new
    books decreased by 8 percent from 2010 levels.

                              ONLINE BOOK REQUESTS
    ------------------------------------------------------------------------
                                                                    Number
    ------------------------------------------------------------------------
    2006.......................................................          127
    2007.......................................................          192
    2008.......................................................          332
    2009.......................................................          489
    2010.......................................................          666
    2011.......................................................          818
    ------------------------------------------------------------------------

        Seventy-two percent of the Library's patrons are Senate office and
    committee staff members while the remaining users include support
    office staff, members of the accredited press, and government agencies.
        A total of 889 new patrons were registered in 2011, a decrease of
    10 percent more than the number of new staff registered in 2010.
    Targeted outreach to Senate interns resulted in an increase of 63
    percent in the number of intern borrowing accounts during the same
    period.
        Other activities for 2011 included setting up 458 new computer
    accounts for our patron workstations, a 67-percent increase from 2010,
    as well as providing the following document printing and delivery
    services:

                  INFORMATION SERVICE SUPPORT ACTIVITIES, 2011
    ------------------------------------------------------------------------
                              Category                              Total
    ------------------------------------------------------------------------
    Circulation:
        Document deliveries....................................        4,391
        Item loans.............................................        3,371
    Pages printed:
        Microform pages printed................................          648
        Photocopies............................................       51,278
                                                                ------------
          Document delivery total..............................       59,688
    ------------------------------------------------------------------------

    Senate Library Content Creation
                Senate.gov Web site Content
        A new page, New Senators, 2001-present, was launched in May that
    lists all new Senators by Congress as they are sworn in, including
    Senators whose service begins at the start of a Congress as well as
    those whose service begins later that year or during the second
    session. The table is arranged in reverse chronological order by
    Congress and Senate service start date.
        Dates of Sessions of the Congress, present to 1789 was revised in
    November. The page lists the convening and adjournment dates for both
    the House and Senate for every session of Congress beginning in 1789.
    Senate Webster Content
                Senate Information Services Program Content
        The Library's new SIS FrontPage portal was launched in January with
    the collaboration of the Office of Web Technology featuring a tabbed
    format highlighting online resources for news, legislative, legal, and
    general policy research. Key parts of the site include a display of
    current course offerings and a graphical ad that are linked to current
    service promotions. The addition of a linked program news page provides
    an efficient and timely means to alert users to changes in SIS program
    services.
        A new portal, State NewsWatch, focused on regional and local news
    sources, was also launched in January. The site was created in response
    to an expressed need by Senate staff for more access to local news. The
    design was the result of a collaborative effort of a team of Library
    staff and the platform vendor. In 2011, Senate staff viewed 28,561
    pages on the site that now includes all news feeds authorized for
    redistribution by SIS program vendors.
        A revised Senate Westlaw custom search interface was released in
    August. The new site highlights frequently used business, news,
    legislative, and legal content. Development was a collaborative effort
    between a team of Library staff and the vendor.
                Senate Library Web Site Content
        A Library team revised and updated the Library training related
    pages on the Library's Web site to create a unified page presenting
    Library and SIS vendor course offerings, to modify course listings to
    accommodate the new webinar format, and to provide a link to the
    Library's monthly promotional flyer. All training related pages on the
    Library's site received 27,424 visits from Senate staff.
                Other Digital Content
        Library staff completed the first phase of the retrospective
    digitization of the Senate Executive Calendars from 1997 to the present
    in response to staff requests for older editions of the calendar. Work
    will continue on the digitization of the remaining Executive Calendars
    in the Library's collection. This collaborative project between the
    Library, the Senate Executive Clerk, the Office of Web Technology, and
    the LIS Project Office will build a complete digital collection from
    the Library's bound editions and form the basis for a future online
    digital archive available on Senate.gov and Webster.
        In anticipation of an update to Senate Committee Print 99-95,
    Senate Cloture Rule, substantial improvements were made to the
    Library's XML cloture tables by adding Congressional Record volume and
    page numbers for each motion and vote from 1917 to the present. Summer
    interns collaborated on this project helping with research and data
    entry.
                Senate Knowledge Base
        The Senate knowledge base is an institutional repository of data to
    support the Webster site taxonomy project and Webster search
    enhancement. To date, 1,129 document records, 1,960 term records, and
    480 organization records in the Senate knowledge base are supporting
    the Webster taxonomy and search projects. The 45-percent increase in
    the number of terms and 19-percent increase in the number of documents
    created this year is a result of a restructuring of the database to
    support the online Senate Services Directory (Red Book) and reporting
    for ``keymatches''.
                Webster Online Services Directory (Red Book)
        The online Services Directory was launched in January as a joint
    effort between the SAA ASAA/CIO office and the Library. The online
    directory combines Web page links to internal and selected external
    services, links between related terms and services, along with contact
    information contained in the Red Book. The Red Book was a printed
    directory (last published in November 2010) created by the Senate
    telephone operators as a finding aid for commonly requested numbers and
    services. The online Senate Services Directory is driven by a
    completely new taxonomy that is managed through the Senate knowledge
    base.
                Webster Search Enhancement
        Librarians improve Webster search results by analyzing popular
    search terms and matching them with topically relevant pages or search
    engine ``keymatches'' (which are managed through the Senate knowledge
    base). This improves the chances a searcher will find what he or she is
    looking for on Webster. During 2011, 237 ``keymatches'' were
    established and 719 changes were made to update Web page links.
    Instruction and Outreach Programs
        Reference librarians conduct a wide variety of classes and tours
    for Senate staff, including Insider's Guide to Webster, Introduction to
    LIS, Research Tools on Your Desktop, Services of the Senate Library,
    and Got Questions? Targeted efforts to reach underserved State staff
    and interns were rewarded with a total of 830 staff participating in
    150 classes, tours, and webinars. This represents a 65-percent increase
    in the number of training opportunities offered and a 119-percent
    increase in the number of staff trained. Library trainers offered no
    cost Web-based training using Watson conference sessions targeted at
    State staff. Webinars proved to be extremely popular with State office
    staff, which constituted the majority of the 190 session attendees.
        SIS program sponsored vendor training was expanded to include both
    in person and Web-based training from LexisNexis and Westlaw in an
    effort to reach underserved State staff.
        A new course offering titled ``Using the Legislative Information
    System (LIS)'' was taught to 50 participants as part of the Legislative
    Survival Guide training series in collaboration with the Joint Office
    of Education and Training in the fall of 2011.
        The Library gave numerous tours to outside library professionals
    including each semester's Senate Page School class, law library interns
    from the Library of Congress, Catholic University library school
    students, Federal Depository librarians, CRS librarians, and a group of
    visiting Special Library Association member librarians. The Library
    also participated in the CRS District State Institute, instructing 30
    State staff, and participated in the Senate Services Fair, making
    contact with 60 Senate staff.
        Efforts to reach Senate staff more directly though the use of small
    graphics with links to featured resources in staff email signatures and
    by engaging mobile device users with quick response (QR) codes in
    promotions in posters and flyers resulted in 378 click throughs on
    email signatures and 42 page views using mobile devices. The QR codes
    and email signatures change monthly to coordinate with the Library's
    overall promotional program. In 2011, a total of 24 Webster ads for
    Library services were run and 660 flyers were distributed.
        Monthly book displays and online bibliographies highlight the
    Library's collections and stimulate interest in reading new titles.
    Five new bibliographies were created during the year, including From
    the Gilded Age to the Information Age; September 11: A Look Back; Bill
    of Rights: Then and Now; Award Winning Books from the Senate Library;
    and War Stories: Remembering Veterans. The graphical ads featured on
    Webster that linked to the reading lists have resulted in 2,023
    downloads of the new bibliographies and an increase in books requested
    online and in the number of books loaned. October's Award Winning Books
    from the Senate Library proved to be the most popular with staff,
    accounting for 1,150 downloads. The Library's Great Reads for New
    Senate Staff continued to draw in readers as did the Library's 140th
    anniversary promotional list From the Gilded Age to the Information
    Age. The Library's permanent online bibliographies, travel guides, and
    style guides received 28,718 visits from Senate staff.
    Collection Development
                Audiobooks
        The Library acquired 45 new audiobook titles in 2011, bringing the
    total number to 170 titles. 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 902 loans were equivalent to circulating each item in the
    collection more than five times over. An online bibliography of
    audiobooks on Webster contains links to the catalog and the online book
    request form.
                New Digital Resources
        The overall number of searches using the Serials Solution A-Z list
    was 3,156, 60 percent of which were the result of users finding and
    using SIS program content from LexisNexis, ProQuest, and Westlaw. The
    26-percent decline in usage following the launch of the State NewsWatch
    platform in January was because of improved access to State and local
    newspapers and Library efforts to focus training on and increase user
    awareness of the new site. Content was updated to include two new
    databases that resulted from changes in vendor offerings.
        The Library added the Bar Journals Library to its Hein Online
    subscription expanding digital access for librarians to more than 80
    journal titles, and also subscribed to the online version of the legal
    encyclopedia Corpus Juris Secundum on Westlaw which provides a
    thorough, contemporary statement of American laws as derived from
    reported cases and legislation. Senate-wide access was provided to the
    2011 e-book edition of the Gale Directory of Publications & Broadcast
    Media. These resources increase the scope of material available and the
    efficiency with which reference librarians can answer questions from
    Senate staff.
        The Library began offering Senate-wide access to a legislative
    histories database on the ProQuest Congressional platform. The
    legislative histories database provides information on all hearings and
    reports associated with a law and provides direct links to the full
    text of these congressional documents.
                Government Documents
        As a participant in GPO's Federal Depository Library Program, the
    Library receives selected categories of legislative, executive, and
    judicial branch publications. The Library received 8,997 Government
    publications in 2011. In response to the trend of issuing Government
    documents in electronic format, 5,206 links were added to the Library
    catalog, bringing the total number to 39,649, an increase of 15 percent
    more than last year. The links provide Senate staff desktop access to
    the full text of each document.

                               ACQUISITIONS, 2011
    ------------------------------------------------------------------------
                              Category                              Total
    ------------------------------------------------------------------------
    Congressional documents....................................        7,048
    Executive and judicial branch publications.................        1,949
    Books (including audiobooks and e-books)...................          841
    Electronic links...........................................        5,206
                                                                ------------
          Total acquisitions...................................       15,044
    ------------------------------------------------------------------------

    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 in LIS, 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 2011, the Legislative Validation Clerk
    submitted 271 corrections out of hundreds of thousands of verified
    legislative actions that took place during the year.

                 LEGISLATIVE VALIDATION CLERK CORRECTIONS, 2011
    ------------------------------------------------------------------------
                                                                    Number
                               Office                             submitted
    ------------------------------------------------------------------------
    Bill, Enrolling, Executive, Journal, and Legislative Clerks           88
    Reporters of Debates, Morning Business Editor, and Daily             146
     Digest....................................................
    GPO and Library of Congress--LIS...........................           37
                                                                ------------
          Total corrections....................................          271
    ------------------------------------------------------------------------

    Cataloging
        The Library's productive cataloging staff draws on years of
    experience to produce and maintain a catalog of more than 217,000
    bibliographic items. During 2011, they added 4,673 new titles to the
    catalog (an increase of more than 25 percent from the previous year)
    and performed 28,137 record maintenance and enhancement activities (an
    increase of 18 percent from the previous year), including correcting
    subjects and names that have become obsolete and retrospectively adding
    links to full-text content and book jacket images to existing records.
        Catalogers' time and skills at categorizing and describing content
    are increasingly in demand for taxonomy-related projects designed to
    enhance Webster. These include creating the records that drive
    functionality in the new online Red Book Senate Services Directory,
    analyzing logs of unsuccessful searches to create ``keymatches'' that
    target Webster search results, and developing a topical framework to
    support the development of news alerts, improve content organization,
    and enhance the effectiveness of predefined searches in Senate
    NewsWatch and the InfoViewer client.
        Catalogers created 623 bibliographic records for Senate hearings
    not yet printed using 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
    provide preliminary access for Senate staff and remain in the catalog
    until the printed hearing is received and cataloged.
        The catalog is updated nightly to ensure that Senate staff will
    retrieve accurate and current information on Library holdings. The
    addition of 740 book jacket images in 2011, an increase of 38 percent,
    enhanced the catalog's visual appeal.
        2011 was a milestone for the Library catalog, marking its first-
    time availability to Senate users via remote access through the
    Senate's virtual private network gateway. Visitors to the catalog
    increased 24 fold as a result of promotional efforts to highlight the
    Library's collection coupled with this expanded access. The Library
    catalog was used by 3,804 Senate staff accounting for 7,210 visits in
    2011.
    Library Automation
        An upgrade to the Library's integrated library system was installed
    in September. Among the many fixes, the patch provided support for
    various fields and codes recently introduced by the Library of
    Congress, including a new genre/form thesaurus code and new fields
    intended to support the future implementation of the Resource
    Description and Access (RDA) cataloging rules. The OCLC Connexion
    software, used to create bibliographic records for the catalog, was
    also upgraded on Technical Services staff computers in October.
        The Library purchased a Cognos report writer authoring license as
    an add-on for the integrated library system. This product will enable
    Library staff to write structured query language queries against the
    cataloging and circulation database to create custom reports as needed,
    facilitating catalog maintenance projects, streamlining data exports
    from the catalog, and improving the gathering of statistics.
        The Library and the Information Systems Office worked with SAA
    staff to upgrade and fully implement a Web-based, off-the-shelf call
    tracking application to log, track, and route incoming SIS support
    requests. Clearly defined processes and procedures were also
    established to monitor email and telephone requests and establish data
    entry and statistical requirements prior to use. The result has been
    efficient tracking of calls, vendor support requests, and prompt
    response to the needs of Senate staff.
    Preservation, Binding, and Collection Maintenance
        Technical Services staff continued to participate in book repair
    training sessions led by the director of the Office of Conservation and
    Preservation. Trainees repaired 281 volumes, making significant
    progress in the preservation of the Library's bound book collection.
        The Library continues to preserve and protect rare and fragile
    print materials in its collections using commercial binding services
    procured through GPO. In 2011, a total of 48 volumes were sent out for
    binding, and 153 volumes were completed, with excellent results.
    Budget
        Budget negotiations with database vendors resulted in flat or
    reduced pricing for online research services and subscriptions. Budget
    savings from price reductions in 2011 online research services and cuts
    in subscriptions totaled $6,000. After 14 years of budget monitoring,
    savings total $155,013. This continual review of purchases eliminates
    materials not meeting the Senate's current information needs. This
    oversight is also critical in containing and 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 and is distributed throughout
    the Senate and to former staff and Senators. It serves as an historical
    record of accomplishments, events, and personnel news in the Office of
    the Secretary of the Senate. Highlights from the 2011 UNUM issues
    include articles on letters donated by Senator Fred Harris that shed
    light on the process for choosing the ``Famous Five'' Senators whose
    portraits now hang in the Senate Reception Room; a feature on the
    Senator Bill Frist leadership portrait; an article on the 20th
    anniversary of the Office of Captioning Services; book reviews on Civil
    War books and on ``great reads for new Senate staff''; an article by
    Senate Associate Historian Betty Koed setting the record straight about
    the Russell Senate Office Building basement as a horse stable; 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
        James Swanson, author of Bloody Crimes: The Chase for Jefferson
    Davis and the Death Pageant for Lincoln's Corpse, was the featured
    speaker at the Library's 13th annual book talk in honor of National
    Library Week with 90 people in attendance. Other events included a book
    display, Rarities and Oddities of the Senate Library, and a well-
    attended dessert reception.
                Display Cases
        Hallway display cases continue to educate staff and visitors alike
    while highlighting the Library's collections. Display cases featured
    this year include:
      --African Americans in the Civil War;
      --Philip Reid and the Slaves Who Built the Capitol; and
      --19th Century Gilded Book Bindings in the Senate Library.
                Cooperative Projects
        Hearing Universal Resource Locator (URL) data from the Library
    catalog is exported weekly to provide LIS and THOMAS with full-text
    links to Senate hearings. The Library contributed 2,905 new Senate
    hearing links to the LIS database during 2011, a 176-percent increase
    more than 2010.
    Major Library Goals for 2012
        Implement a rebuilt Senate NewsWatch platform to accommodate
    anticipated changes in news feed delivery with better integration and
    presentation of available State and local news content on the site.
        Continue team evaluation and enhancement of instructional course
    offerings, review available applications to create online course
    offerings, and expand Web-based training opportunities to reach State
    staff.
        Complete project to create an online archive of the Senate
    Executive Calendar, in collaboration with the Senate Executive Clerk
    and the Office of Web Technology.
        Complete and release a redesigned LexisNexis customized user search
    interface for the Senate.
        Begin the collaborative development of a topical framework for
    Senate NewsWatch to support the development of news alerts, improve
    content organization, and enhance the effectiveness of predefined
    searches in Senate NewsWatch and the InfoViewer client.
        Create and install two new displays for the entrance to the Dirksen
    Senate Auditorium, SDG-50, under the direction of Senate Committee on
    Rules and Administration in collaboration with the Office of Senate
    Curator and the Senate Historical Office.
        Prepare for the anticipated implementation of new cataloging rules,
    called RDA by the Library of Congress and other libraries worldwide in
    2013.
        Begin project to improve access to the Library's collection of
    unpublished Senate hearings on microfiche by adding item-level records
    to the catalog with links to full-text content.

                                                  SENATE LIBRARY ACQUISITIONS STATISTICS FOR CALENDAR YEAR 2011
    --------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                 Books         Government documents           Congressional publications
                                                        ------------------------------------------------------------------------------------------
                                                                                                                                        Reports/     Total
                                                          Ordered    Received    Paper      Fiche     Hearings    Prints     Bylaws     Documents
    --------------------------------------------------------------------------------------------------------------------------------------------------------
    January............................................         21         63        108         49        320         15         65         227         847
    February...........................................         18         72         60         80        311         42        137         107         809
    March..............................................         14         48        401         72        335         39        123         141       1,159
                                                        ----------------------------------------------------------------------------------------------------
          1st Quarter..................................         53        183        569        201        966         96        325         475       2,815
                                                        ====================================================================================================
    April..............................................         12         64        103         83        239         30         91         140         750
    May................................................         14         45         68         11        257         20        110         165         676
    June...............................................         15         41         82         70        232         11        112         208         756
                                                        ----------------------------------------------------------------------------------------------------
          2nd Quarter..................................         41        150        253        164        728         61        313         513       2,182
                                                        ====================================================================================================
    July...............................................         26        131         39          2        283          7        169         294         925
    August.............................................         35         90         83         70        452          7        109         171         982
    September..........................................         74         63         66         85        283          9         88         226         820
                                                        ----------------------------------------------------------------------------------------------------
          3rd Quarter..................................        135        284        188        157      1,018         23        366         691       2,727
                                                        ====================================================================================================
    October............................................         23        105         95         79        228          6         99         166         778
    November...........................................         20         50         52         82        188         10        100         197         679
    December...........................................         22         69         97         12        188         14         92         185         657
                                                        ----------------------------------------------------------------------------------------------------
          4th Quarter..................................         65        224        244        173        604         30        291         548       2,114
                                                        ====================================================================================================
    2011 Total.........................................        294        841      1,254        695      3,316        210      1,295       2,227       9,838
    2010 Total.........................................        299        761      1,589        699      3,719        135      1,210       2,726      10,839
    Percentage change..................................      -1.67     +10.51     -21.08      -0.57     -10.84     +55.56      +7.02      -18.31       -9.24
    --------------------------------------------------------------------------------------------------------------------------------------------------------

                                                   SENATE LIBRARY CATALOGING STATISTICS FOR CALENDAR YEAR 2011
    --------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Bibliographic records cataloged
                                               S.    ---------------------------------------------------------------------------------------------
                                            Hearing           Books               Government documents             Congressional publications        Total
                                            numbers  ---------------------------------------------------------------------------------------------  records
                                            added to                                                                                  Documents/   cataloged
                                              LIS       Paper    Audio/ E-    Paper      Fiche    Electronic   Hearings    Prints   Publications/
                                                                   Books                                                               Reports
    --------------------------------------------------------------------------------------------------------------------------------------------------------
    January..............................         17         80          3         19  .........          19        174        126          103          524
    February.............................         64         47          4         10  .........          19        185         55           47          367
    March................................         18         39          5          4         18           9        273        170           61          579
                                          ------------------------------------------------------------------------------------------------------------------
          1st Quarter....................         99        166         12         33         18          47        632        351          211        1,470
                                          ==================================================================================================================
    April................................         40         16          4          3         31          10        158         38           47          307
    May..................................         13         12          9  .........  .........          10        206          9           28          274
    June.................................         48         13          2          3  .........          13        140         60           61          292
                                          ------------------------------------------------------------------------------------------------------------------
          2nd Quarter....................        101         41         15          6         31          33        504        107          136          873
                                          ==================================================================================================================
    July.................................         47         24          1          6  .........          10        120         74           74          309
    August...............................         73         40          6          4          3          26        315         76           65          535
    September............................          7         41         11          4  .........           7        227         73           55          418
                                          ------------------------------------------------------------------------------------------------------------------
          3rd Quarter....................        127        105         18         14          3          43        662        223          194        1,262
                                          ==================================================================================================================
    October..............................         10         63          6          2  .........           9         89          3          156          328
    November.............................         38         34          7          3          5          23        163          1          121          357
    December.............................  .........         41          6          7          1          16        174          1          137          383
                                          ------------------------------------------------------------------------------------------------------------------
          4th Quarter....................         48        138         19         12          6          48        426          5          414        1,068
                                          ==================================================================================================================
    2011 Total...........................        456        450         64         65         58         171      2,224        686          955        4,673
    2010 Total...........................        312        338         46         58          7         122      1,796        234        1,135        3,726
    Percentage change....................     +46.15     +33.14     +39.13     +12.07    +728.57      +40.16     +23.83    +193.16       -15.86       +25.42
    --------------------------------------------------------------------------------------------------------------------------------------------------------

                           SENATE LIBRARY DOCUMENT DELIVERY STATISTICS FOR CALENDAR YEAR 2011
    ----------------------------------------------------------------------------------------------------------------
                                                                                         Micrographics  Photocopiers
                                                       Volumes    Materials  Facsimiles   center pages      pages
                                                       loaned     delivered                 printed        printed
    ----------------------------------------------------------------------------------------------------------------
    January........................................         245         433          26            50         4,629
    February.......................................         251         361          25            47         4,652
    March..........................................         249         369          41            11         3,996
                                                    ----------------------------------------------------------------
          1st Quarter..............................         745       1,163          92           108        13,277
                                                    ================================================================
    April..........................................         255         415          19            63         3,570
    May............................................         239         388          14            85         3,089
    June...........................................         296         307          22           101         5,696
                                                    ----------------------------------------------------------------
          2nd Quarter..............................         790       1,110          55           249        12,355
                                                    ================================================================
    July...........................................         273         328          17           101         5,256
    August.........................................         339         313          28            64         2,998
    September......................................         331         366          19            52         3,879
                                                    ----------------------------------------------------------------
          3rd Quarter..............................         943       1,007          64           217        12,133
                                                    ================================================================
    October........................................         298         385          15            22         5,776
    November.......................................         296         361          16            47         3,002
    December.......................................         299         365           9             5         4,735
                                                    ----------------------------------------------------------------
          4th Quarter..............................         893       1,111          40            74        13,513
                                                    ================================================================
    2011 Total.....................................       3,371       4,391         251           648        51,278
    2010 Total.....................................       3,251       4,349         223           857        71,983
    Percentage change..............................       +3.69        +.97      +12.56        -24.39        -28.76
    ----------------------------------------------------------------------------------------------------------------

                          sos deg.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. The midpoint re-accreditation process
    began with review of the standards by staff in the fall of 2011.
        Two page classes successfully completed their semester curriculum.
    Closing ceremonies were conducted on June 10, 2011, and January 27,
    2012, the last day of school for each semester.
        Orientation and course scheduling for the spring 2011 and fall 2011
    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.
        A general study skills tutorial was presented to all students, and
    study skills sessions were provided to identify students in need of
    training in specific areas.
        Faculty and staff provided extended educational experiences to
    pages, including 21 field trips, four guest speakers, opportunities to
    play musical instruments and vocalize, and foreign language study with
    the aid of tutors. Summer pages took eight field trips to educational
    sites and heard two guest speakers as an extension of the page
    experience. In addition, a panel of former pages spoke with current
    pages during the fall semester. They presented their views on the value
    of the program and advice on how to make the experience meaningful.
        Fourteen pages took 27 Advanced Placement (AP) exams in eight
    subjects for qualification in scholarship programs.
        The community service project embraced by pages and staff in 2002
    continues. Items for gift packages were collected, assembled, and
    shipped to military personnel serving in various locations. Pages
    included letters of support to the troops.
        All Page School staff attended continuing education and training
    classes.
        New tutors were trained in evacuation procedures.
        All Page School staff attended continuing education and training
    classes.
        Communication among SAA, Secretary of the Senate, Party
    Secretaries, Page Program, and Page School is ongoing.
        Equipment purchased included an Optoma Projector for enhanced
    teaching and communication in social studies classes, three power
    supply units for the science laboratory, an electronic lab for science
    classes, dry erase board overlays for use in math and social studies
    classes, and additional copies of a novel for English classes.
    Continuity of Operations Planning
        The evacuation plan and COOP have been reviewed and updated. Pages
    and staff continue to practice evacuating to primary and secondary
    sites. Pages participated in escape hood training.
    Summary of Plans
        Our goals include:
      --Individualized small group instruction and tutoring by teachers on
            an as-needed basis will continue to be offered, as well as
            optional academic support for students preparing to take AP
            tests.
      --Foreign language tutors will provide assistance to students.
      --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 continue to be administered
            to students each semester to assist faculty in determining
            needs of students for usage instruction. Pre- and post-tests
            will be devised to administer to students each semester to
            assist faculty in determining course placement and achievement
            in both math and science.
      --Staff development options include attendance at seminars conducted
            by Education and Training and subject matter and/or educational
            issue conferences conducted by national organizations.
      --The community service project will continue.
      --Continuation of the work for re-accreditation will proceed.
                sos deg.printing and document services
        The Office of Printing and Document Services (OPDS) serves as
    liaison to GPO for the Senate's official printing, ensuring that all
    Senate printing is in compliance with title 44, United States Code as
    it relates to Senate documents, hearings, committee prints, and other
    official publications. The office assists the Senate by coordinating,
    scheduling, delivering and preparing Senate legislation, hearings,
    documents, committee prints and miscellaneous publications for
    printing, and provides printed copies of all legislation and public
    laws to the Senate and the public. In addition, the office assigns
    publication numbers to all hearings, committee prints, documents, and
    other publications; orders all blank paper, envelopes, and letterhead
    for the Senate; and prepares page counts of all Senate hearings in
    order to compensate commercial reporting companies for the preparation
    of hearings.
    Printing Services
        During fiscal year 2011, OPDS prepared 3,568 requisitions
    authorizing GPO to print and bind the Senate's work, exclusive of
    legislation and the Congressional Record. Since the requisitioning done
    by OPDS is central to the Senate's printing, the office is uniquely
    suited to perform invoice and bid reviewing responsibilities for Senate
    printing. As a result of this prepared office's cost accounting duties,
    OPDS is able to review and assure accurate GPO invoicing as well as
    play an active role in helping to provide the best possible bidding
    scenario for Senate publications.
        In addition to processing requisitions, the Printing Services
    Section coordinates proof handling, job scheduling and tracking for
    stationery products, Senate hearings, Senate publications and other
    miscellaneous printed products, as well as monitoring blank paper and
    stationery quotas for each Senate office and committee. OPDS also
    coordinates a number of publications for other Senate offices, such as
    the Curator, Historian, Disbursing, Legislative Clerk, Senate Library,
    as well as the U.S. Botanic Garden, USCP, AOC, and the CVC. 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;
      --The Senate Civil War brochure;
      --The U.S. Senate Leadership Portrait Collection brochure;
      --The U.S. Senate Appropriations Committee brochure;
      --The Senate Manual;
      --Authority and Rules of Senate Committees;
      --2011 Senate Telephone Directory;
      --Senate gallery passes and visitor badges; and
      --CVC 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 to
    ensure 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. During 2011, OPDS provided commercial reporting companies
    and corresponding Senate committees a total of 894 billing
    verifications of Senate hearings and business meetings, a 9-percent
    increase more than fiscal year 2010 levels. More than 62,920
    transcribed pages were processed at a total billing cost of $573,974.
        During fiscal year 2011, the office processed all file transfers
    and billing verifications between committees and reporting companies
    electronically ensuring efficiency and accuracy. Department staff
    continues training to apply today's expanding digital technology to
    improve performance and services.
    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.
    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 7,770 distinct legislative items during the
    first session of the 112th 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, but documents are also made available to the general public and
    other Government agencies. During 2011, more than 10,000 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, document requests, and
    legislative questions. Recorded messages, fax, and email operate around
    the clock and are processed as they are received, as are mail requests.
    The office stresses prompt, courteous customer service while providing
    accurate answers to Senate and public requests.
                On-Demand Publication
        The office supplements depleted legislation when 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, reports and
    other legislation. On-demand publication allows the department to cut
    the quantities of documents printed directly from GPO and reduces
    waste. In particular the decrease in the number of documents routinely
    received by Senate Committees during the last quarter of 2011 increased
    the need for DocuTech services. OPDS anticipates that need to further
    increase over the next year. The office produced 132 on-demand jobs for
    committees during 2011, a 94-percent increase more than the previous
    year. Total jobs run on the DocuTech increased 62 percent more than
    2010. 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 a
    GPO COOP situation.
                Accomplishments and Future Goals
        Over the past year, OPDS has faced challenges by providing new
    services for customers and improving existing ones. Of particular note
    is the office's commitment to help ``green'' the Senate. During 2011
    more than 12.9 million sheets of 100-percent recycled paper were
    ordered by Senate offices, representing a 235-percent increase in the
    use of recycled paper over the previous year. Additionally, the office
    anticipates its print-on-demand capabilities will continue to grow in
    2012, answering the Senate's needs in light of decreased GPO
    distribution of legislative documents. The office works diligently to
    track document requirements, monitor print quantities, and reduce waste
    and associated costs.
        The office continues working with the GPO on behalf of its
    customers to improve efficiency and help answer the evolving needs of
    the Senate. Focus on COOP planning and emergency preparedness will
    continue.
                        sos deg.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 (LDA), 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 2010 through September 2011, 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 email, nor help given to
    lobbyists attempting to comply with the provisions of LDA, as amended.
    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 2011 Accomplishments
        The office continued to implement S. 1, the Honest Leadership and
    Open Government Act, which amended the LDA and the Senate Code of
    Conduct. The office posted two LDA guidance updates and concentrated on
    developing additional research tools to assist with LDA compliance
    issues, referring 305 cases of potential noncompliance to the U.S.
    Attorney for the District of Columbia. The Senate Office of Public
    Records continued to test COOP plans and pandemic response plans.
    Plans for Fiscal Year 2012
        The Public Records office will continue to assess technology
    infrastructure needs, as well as continue to work with the Clerk of the
    House of Representatives (Clerk) and her staff to semiannually review
    and update the LDA Guidance as needed. Additionally, the office will
    work with the Clerk to initiate a review and update of the LDA filing
    system. The office will also continue to develop and implement
    educational information and tools that will help all report filers
    comply fully with the law and assist customers in accessing the
    information they seek.
    Automation Activities
        During fiscal year 2011, the Senate Office of Public Records
    continued to work with SAA to enhance database performance for all
    issue areas and improve public query programs.
    Federal Election Campaign Act, as Amended
        The act requires Senate candidates to file quarterly and pre- and
    postelection reports. Filings totaled 4,740 documents containing
    394,676 pages.
    LDA, as Amended
        The LDA requires semi-annual contribution reports, and quarterly
    financial and lobbying activity reports. As of September 30, 2011,
    there were 4,738 registrants representing 18,510 clients. The total
    number of individual lobbyists disclosed on 2011 registrations and
    reports was 13,609. The total number of lobbying registrations and
    reports processed was 124,849.
    Public Financial Disclosure
        The filing date for Public Financial Disclosure Reports was May 16,
    2011. The reports were made available to the public and press by June
    15, 2011 as required by statute. Public Records staff provided copies
    to the Select Committee on Ethics and the appropriate State officials.
    A total of 3,765 reports and amendments were filed containing 23,923
    pages. There were 293 requests to review or receive copies of the
    documents.
    Senate Rule 35 (Gift Rule)
        The Senate Office of Public Records received 223 Gift Rule/Travel
    reports during fiscal year 2011.
    Registration of Mass Mailing
        Senators are required to file mass mailing reports on a quarterly
    basis. The number of pages submitted during fiscal year 2011 was 380.
                        sos deg.stationery room
        The Senate Stationery Room is the provider of office and
    administrative supplies, health and personal security supplies,
    personalized stationery, and special order items for official
    Government business. The Stationery Room serves all Members, both
    current and retired; support offices, and other authorized
    organizations.
        The Stationery Room fulfills its mission by:
      --Utilizing open market, competitive bid or General Services
            Administration (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 and security of all funds and Government
            assets under our control.

    ------------------------------------------------------------------------
                                                      Statistics
                                         -----------------------------------
                                          Fiscal year 2011  Fiscal year 2010
    ------------------------------------------------------------------------
    Gross sales.........................     $3,535,526.90     $3,343,167.00
                                         ===================================
    Sales transactions..................            36,198            44,626
    Purchase orders issued..............             6,041             6,354
    Vouchers processed..................             6,441             7,022
    Office deliveries...................             6,578             5,986
    Number of items delivered...........           142,132           136,021
    Number of items sold................           351,408           390,528
    Total cartons received offsite......            25,192            22,583
    Total of all items received.........           161,431           149,762
    Average office deliveries per day...                27                25
    ------------------------------------------------------------------------

    Fiscal Year 2011 Overview
                Wireless Point of Sale System
        During fiscal year 2011, the Stationery Room purchased mobile
    point-of-sale licenses for three existing MC-70 handheld computers.
    Used primarily for inventory control and merchandise ordering, the MC-
    70 can now be used as a wireless mobile sales station. These devices
    are used in conjunction with the Stationery Room's retail management
    system (RMS) and can be deployed at times of extremely heavy sales
    volume to shorten checkout lines or to improve customer service with
    ``concierge'' type personal shopping, whereby the sales associate can
    accompany the customer around the store, scan the desired items,
    finalize the sale, and package the order for delivery.
                Credit Card Acceptance
        Continuing to improve customer service, the Senate Stationery Room
    began accepting credit card payments for in-store purchases. The stand-
    alone terminals utilized to process payments via local area network
    connection are secure and compliant with industry standards. No fees
    are incurred by the Stationery Room or the customer. Purchases are
    accepted from all Members, staff, and others who are authorized.
                Credit Card Payment for Flags
        Utilizing the Pay.gov service offered by the Department of the
    Treasury, the Stationery Room began to accept flag requests and
    payments online from constituents. Five offices are currently utilizing
    this service, and feedback has been very positive. Wait time for the
    constituent has been drastically reduced, payment inaccuracies have
    been almost eliminated, and the workload for office representatives is
    much more manageable. The service will eventually be offered to all
    offices.
                Permit Mailing of Flags
        With the assistance and support of SAAs' PGDM branch, the
    Stationery Room has begun the transition from using a postage meter to
    mail flags to a much more economical permit mailing and manifest
    process. PGDM personnel will utilize their experience with this process
    (already in use by several other offices) to mail flags, saving the
    Stationery Room approximately $2,000 per year in fees for rent,
    maintenance, and supplies. Additionally, the Stationery Room will
    realize savings in general postage fees and, while no accurate estimate
    is possible until the process is fully operational, these savings could
    amount to several more thousand dollars each year.
                        sos deg.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;
      --central portions of the Senate Intranet (Webster.senate.gov)--
            available to the Senate Staff; and
      --the Senate Legislative Branch Web site (Legbranch.senate.gov)--
            available to the Senate, House of Representatives, Library of
            Congress, AOC, GAO, GPO, Congressional Budget Office (CBO), and
            USCP.
    The Senate Web Site--Senate.gov

        The Senate Web site content is maintained by more than 30
    contributors from seven departments of the Secretary's office and three
    departments of SAA. Content team leaders regularly 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 Office of Web Technology.
                Major Additions to the Site in 2011
        Civil War Sesquicentennial Exhibit.--This exhibit has provided a
    continuing series of online features exploring the Senate's wartime
    experiences. The components of this exhibit have been updated monthly
    to highlight various events, people, and locations related to the
    Senate during the war and connecting users to rich historical
    information throughout the site.
        Nine featured documents were also added as part of the Civil War
    exhibits. These provide pictures of the original historic documents,
    portable document format versions of the text, and in some instances
    transcripts. These documents are a great primary source reference and
    range in topics from Charles Sumner's speech on the Trent Affair to
    Civil War era petitions.
        http://www.senate.gov/artandhistory/history/common/civil_war/
    CivilWar.htm
        http://www.senate.gov/artandhistory/history/common/civil_war/
    Petitions_
    FeaturedDoc.htm
        http://www.senate.gov/artandhistory/history/common/civil_war/
    TrentAffair_
    FeaturedDoc.htm
        Civil War Chronology Based on the interactive display created for
    the Senate Chronology page, this tab-based exhibit groups Civil War-
    related Senate events on a yearly basis. This page has a great wealth
    of knowledge displayed in a small amount of space with a useful display
    leveraging Web 2.0 technologies that appeals to a wide audience.
        http://www.senate.gov/pagelayout/history/one_item_and_teasers/
    CivilWar_
    chronology.htm
        Civil War Senate Virtual Reference Desk Page.--The virtual
    reference desk provides links to all the various features that
    comprised the Civil War Sesquicentennial Exhibit along with additional
    resources relating to the Senate and the Civil War. The page is useful
    to many different audiences and conveniently organizes this vast
    information set by chronology, featured documents, historical minutes,
    powers and procedures, and Senators.
        http://www.senate.gov/reference/Index/Civil_War_Senate.htm
        Historical Senate Floor Reports.--Legislative floor reports are now
    available for the previous 5 legislative days. An archive of previous
    reports is also now available online and is being incorporated to other
    ongoing projects to increasing their usefulness and accessibility.
        http://www.senate.gov/pagelayout/legislative/
    g_three_sections_with_teasers/legislative_home.htm
        Report of the Secretary of the Senate.--In conjunction with the
    Disbursing Office, Web Technology enabled online electronic access of
    the Report of the Secretary of the Senate. The display housing the
    links will expand nicely to serve as a hub to access various Secretary
    Reports for many upcoming years, while ensuring accuracy and security
    of the information via GPO's electronic certification and hosting.
        http://www.senate.gov/legislative/common/generic/report_secsen.htm
        Executive Calendar Archive.--Web Technology created new display,
    upload method, and automatic updating routines to display historic
    executive calendars. The archive goes back to 1997 and includes star
    prints and multiple versions for the same day when they exist. The
    fully automated system does not require any human intervention for the
    updates to appear nightly.
        http://www.senate.gov/legislative/LIS/executive_calendar/2011/exec_
    calendar.htm
        Custom 404 Page.--The new advanced error page provides more options
    for missing content through providing a listing of current Senators by
    State, access to the search box, webmaster email, and general
    navigation. In revamping the global error page, we provide assistance
    to public users accessing the central, Committee, and Member sites that
    may have lost their way.
        http://www.senate.gov/pagelayout/general/one_item_and_teasers/
    file_not_
    found.htm
        This Week in Senate History.--Senate.gov added an exciting new
    interactive slideshow displaying what happened on a particular date in
    Senate history. The repurposing of this legacy content makes it much
    more interesting for the user, provides more information on a single
    page, links to related content, and utilizes Web 2.0 technologies.
        http://www.senate.gov/pagelayout/history/
    g_three_sections_with_teasers/
    origins.htm
        Officers and Staff.--This revamped historical section includes
    richer content and a more visually pleasing display. Pictures are now
    associated with various categories making browsing more intuitive and
    interesting. Greater depth of content is provided for each officer
    section in an easier to update format.
        http://www.senate.gov/pagelayout/history/one_item_and_teasers/
    officers.htm
        Party Leadership.--Newly developed side-by-side images helped
    rework this historical section and maintain equal emphasis on multiple
    parties. The visually pleasing display presents updated content in a
    useful and interesting way, and the new format is much easier to
    maintain and update for content authors.
        http://www.senate.gov/pagelayout/history/one_item_and_teasers/
    leader.htm);
        Senators.--Leveraging new content templates and organization
    methods, the new historical Senators page provides an even greater
    wealth of information on previous Members than was available online
    before. The new format makes access easier and more logically presents
    information about featured Senators and distinctions.
        http://www.senate.gov/pagelayout/history/one_item_and_teasers/
    senators.htm
        Timepieces.--The Decorative Arts section on Senate.gov was expanded
    to include timepieces of the Senate. These artifacts were added as
    individual pages then grouped using an advanced browse list with a
    searching feature as well.
        http://www.senate.gov/artandhistory/art/common/collection_list/
    Timepieces.jsp
        Information About the Archives.--New pages were added on various
    aspects of archiving in the Senate, related reports, and other useful
    resources for scholars. Complex reports broken down by section
    facilitating quick browsing and more robust searching, making pages
    useful and relevant to a wide audience.
        http://www.senate.gov/artandhistory/history/common/generic/
    Information_
    about_Senate_Archives.htm
        Enhanced Calendars and Schedules Virtual Reference Page.--The
    greatly improved calendars and schedules virtual reference page makes
    finding information on the various Senate calendars much easier for all
    audiences. Also, now included are useful links to similar House
    information and resources to find out more about schedules,
    adjournments, and recesses.
        http://www.senate.gov/reference/Index/Calendars_schedules.htm#
    BrowseExecutiveCalendars
        New Officers and Treaties Virtual Reference Pages.--The virtual
    reference pages continue to be some of the most popular and useful on
    the public site. The new versions of the officers and treaties provide
    a great wealth of information in well-organized and easy to use matter.
        http://www.senate.gov/reference/Index/Officers.htm
        http://www.senate.gov/reference/Index/Treaties.htm
        Senate Art and History Publications.--The new display groups all
    Senate Art and History publications in one place making them much
    easier to locate and take advantage of the cleaner bibliography
    displays.
        http://www.senate.gov/reference/bibliography/Art_History/
    index.shtml
        Privileged Nominations.--The new report lists privileged
    nominations received. Initially, the report is posted as a simple text
    file in the same manner as other nominations on Senate.gov. Web
    Technology is working with the LIS/DMS group to make this XML-based and
    the foundation for a new format for delivering reports that will
    provide greater flexibility for display.
        http://www.senate.gov/pagelayout/legislative/one_item_and_teasers/
    nom_
    priv.htm
        Biographies and Oral Histories.--Seven featured biographies and
    five oral histories conducted by the Senate Historical Office were
    added to Senate.gov this year.
        http://www.senate.gov/pagelayout/history/one_item_and_teasers/
    featured_
    biographies.htm
        http://www.senate.gov/pagelayout/history/
    g_three_sections_with_teasers/oralhistory.htm
        Homepage Feature Articles.--
      --What Happens When a New Congress Begins?
      --Locate Senate Speeches
      --Discover the Senate Chamber Desks
      --Locating Senate Legislation
      --Notable Senate Investigations
      --Focus on the Constitution: The Seventeenth Amendment
      --Learn about the Senate: Officers & Senate Leaders
      --Advice & Consent: Treaties
      --The Senate and the Second World War
    Secretary's Intranet--Webster.senate.gov/secretary

        The Secretary of the Senate intranet (http://webster.senate.gov/
    secretary) continued to expand in information and services offered.
    Web-based order forms were maintained, expanded, and enhanced for the
    requesting of specific legislative documents, class registration, blank
    paper, room reservations, and stationery product suggestions.
        The catalog-based ordering system developed for the Stationery
    Office continues to be a large success. The system is managed with the
    content directly from the Stationery Office's existing Microsoft RMS,
    which underwent several successful inventory updates during this past
    year. For the 2011 calendar year, 145 orders were successfully placed
    and filled using the online order form.
        Web Technology added on-demand videos for required sexual
    harassment courses on the SCCE site on Webster. These videos are
    required to be viewed annually by Senate staff and interns. Having the
    video on the intranet facilities the timely consumption of this seminar
    by all staff.
        A new Archiving in the Senate section adds many useful sources
    regarding archiving. Utilizing Web 2.0 technologies we were able to
    display lots of information in a small amount of space and have it
    still be useful to a wide range of audiences (http://
    webster.senate.gov/secretary/departments/Historical_office/Archiving/
    archiving_services.htm).
        Frontpage, the Web portal for SIS, continued to be heavily
    utilized. Adjustments were made to accommodate information architecture
    changes to guarantee consistent access on and off campus. A newly
    launched interface for news.senate.gov was put in place seamlessly to
    the users and an enhanced class registration system was launched.
        A new survey template was developed and utilized for internal use.
    The survey, http://webster.senate.gov/secretary/library/survey/
    westlaw_survey.htm, was successfully used to collect information on a
    newly launched Westlaw interface. It was designed and developed in a
    way to easily be repurposed for any subject.
    Webster Central Web site--Webster.senate.gov

        In conjunction with SAA, Chaplain, and Senate Committee on Rules
    and Administration, Web Technology continued administering, managing,
    and enhancing the central section of Webster. We were happy to partner
    with the SAA and the Senate Library to add a unique services directory
    search. This was accomplished through the creation of a separate Google
    onebox that enables automated creation of indexes based on XML files.
        Enhancements made to the floor schedule include an RSS feed and
    direct population of the information on the home page from the same
    source file used on Senate.gov. These are both good examples of how
    management of content on the central site continues to be streamlined
    by repurposing additional files that are already updated through
    existing systems on Senate.gov. The expansion of repurposed data
    continues to reduce duplicative efforts, increase consistency,
    relevancy, and timeliness of data displayed on Webster. Standardizing
    XML across both sites and having them integrated into the CMS was
    essential to making this possible.
    Senate Legislative Branch Web site (Legbranch.senate.gov)
        The legislative branch server is accessible by the Senate, House of
    Representatives, Library of Congress, AOC, GAO, GPO, CBO, and USCP. The
    Office of Web Technology maintains a basic Web site for a Capitol Hill
    email 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 2011
        States in the Senate Project. Worked extensively over the past year
    with the Historical Office and GPO in the design and implementation of
    a new stand-alone site for States (http://www.senate.gov/states). The
    interactive exhibit will be useful to many different audiences and
    provides information about each State's history that relates to the
    U.S. Senate in a fun and interesting manner. Links to contact
    information for Senators from each State have contact information
    linked to, which will further aid constituents with connecting to their
    Senators. Dynamic pieces of content are pulled from existing lists,
    making updating much more fluid, timely, and accurate.
        Senate Floor Webcast on Senate.gov. In a joint project with the
    SAA's Chief Information Officer and Senate Recording Studio and the
    Committee on Rules and Administration, launched live streaming video of
    its floor proceedings, along with a searchable archive of previous
    proceedings (http://www.senate.gov/floor). An internal clipping tool
    was also developed for staff, greatly streamlining the process of
    generating and posting a video clip from the Senate floor to a Member's
    Web site or social networking site.
        SCCE Seminar streams added to SCCE internal Web site. The streaming
    service allows for viewing of live events and on-demand viewing of
    previous sessions in a secure manner. Worked in conjunction with SAA,
    Senate Recording Studio, and SCCE to establish procedures to easily
    produce, publish, and control the various streams from yearly seminar
    serious. This is the first system of its kind at the Senate and sure to
    be used for future developments.
        Electronic Report of the Secretary of the Senate available online
    for the first time (http://www.senate.gov/legislative/common/generic/
    report_secsen.htm). Completed a year-long initiative with the
    Disbursing Office, GPO, and the Senate Committee on Rules and
    Administration on the generating, authenticating, securing, and
    publishing of the report. The implemented solution guarantees accurate
    and valid information is available for this first online report and all
    future versions.
        Senate.gov Web Audit. Audited pages regularly; updating, enhancing,
    and correcting pages; verifying content; and reviewing individual page
    designs throughout Senate.gov for accessibility and usability.
    Additionally, attended training on the latest advances in coding
    techniques to ensure accessibility and applied them to our sites.
        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 regarding information such as
    Committee hearing schedules, vote data, and Member contact information.
        Responded to approximately 1,204 emails from the general public
    regarding senate.gov sites. Worked with various content providers, Web
    support groups, SAA, Member, and committee offices to make suggestions
    and resolve issues. This marks a slight increase from the previous
    year.
        Continually reviewed and adjusted search operations and canned
    matches for both Senate.gov and Webster based on user tendencies and
    requests. A major addition was the creation and maintenance of a new
    Google onebox for services (Redbook) recently released. Also,
    investigated other search technologies as alternatives to existing
    searches and as ways to accomplish potential future projects.
        Conducted user testing with Senate staff and interns to increase
    understanding of current Web site interactions, desires, and best
    practices.
        Helped organize Capitol Hill-wide Webmaster meetings, where best
    practices were shared across entities. Regularly gave presentations and
    facilitated conversations during meetings.
        Continually trained and practiced working from remote locations to
    be prepared should the need arise. All staff members are 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. Regardless of which
    staff member uses which laptop, the experience will be ubiquitous and
    consistent with being in the office. Additionally, completed new
    emergency action plan and director completed the eight course Emergency
    Coordinator Certificate Program.
        Aided the Senate Library in aspects of SIS transition. The new
    FrontPage interface exposes many more resources in an easy to use
    manner. In leveraging advances in Web 2.0 technologies we are able to
    take greater advantage of available space and provide robust
    information concisely. Through designing and developing the system in
    XML and leveraging the CMS, it is easy for nontechnical users to update
    and maintain.
        Worked extensively with the Senate Library in the continued
    development, implementation, and maintenance of taxonomies utilizing
    the knowledge base system. Participated in the planning, design,
    development, and administration for including the ``Red Book'' data in
    the knowledge base and then on Webster.
        Maintained virtualized production and development server for the
    Secretary's intranet. Also, maintained virtualized production server
    for the Secretary's dedicated Google onebox server and transfer
    mechanisms to keep indices current.
        Administrated content management system constantly throughout year
    and resolved issues as they arose. Modified existing system for
    enhancement requests and changes in general Senate information
    architecture for both production and development systems. Resolved
    tricky update bug to ensure the CMS worked with most recent security
    updates to our computer systems. Ensured continuity of operations with
    fully functional alternate computer facility system.
        Implemented new coordinated monthly features across Senate.gov,
    highlighting various topics. Worked in conjunction with Historical
    Office, Curator's Office, and the Senate Library to produce and publish
    interesting content about historical events with current significance.
    Generating this fresh content also helped emphasize other sections of
    the public site by incorporating many useful hyperlinks.
        Aided in the generation of a printed cloture brochure containing
    information up to the 110th Congress. Worked in conjunction with the
    Congressional Research Service, GPO, Senate Committee on Rules and
    Administration, and the Senate Library to provide mapping of XML
    content on senate.gov to print version. This marks the first time GPO
    has produced a printed document on XML-based senate.gov content.
    Utilizing the content in XML greatly simplified the overall workflow
    and ensured the accuracy of information across delivery mediums.
        A major architecture change was made to the hosting of the central
    site in 2011. We worked closely with the SAA as a proof of concept for
    a distributed network approach to hosting Senate Web content for the
    public. This project has been highly successful and guarantees greater
    security of our site and even faster response times to users. This
    approach, fine tuned through the central site, is being implemented to
    Member and Committee sites. The change in architecture has made our
    methods for capturing Web statistics obsolete. We are currently
    exploring new ways to capture this information.

        Senator Nelson. Senator Hoeven, are there any opening
    remarks you might like to make?

                        STATEMENT OF SENATOR JON HOEVEN

        Senator Hoeven. Thank you, Mr. Chairman, I would like to
    make some remarks.
        I apologize for being late, and I appreciate the
    opportunity be with you and want to thank all of you for coming
    in today, but also for the really great job you do.
        I've been here only a little more than 1 year, but I have
    to tell you, I am impressed with the work you do and your
    people. They don't treat it as just a job. They care about what
    they do, and it shows. That is a reflection of them and their
    good work, but it is a reflection of your leadership, too.
        So I do thank you for that, and I appreciate it very much.
        As a way of starting my comments, I want to note that this
    will actually be the last hearing that Senator Nelson has as
    chair of the Legislative Branch Subcommittee, so I just want to
    take a minute to recognize him for his service here.
        I actually first got to know Senator Nelson when he was
    elected Governor of his State. He, of course, served two terms
    as Governor of Nebraska. When I met him, he was just
    transitioning from his governorship to coming down here and
    serving in the Senate. I can remember, I was a new Governor or
    maybe I was just running, I'm not sure. But I had come to
    Washington, DC for some event and met him. Our States have a
    lot in common, strong agriculture background.
        But what I would say, having observed Senator Nelson, is
    that he really brings a grounded, common-sense attitude and
    approach, he is easy to work for and with, and he is very
    straightforward in how he handles things. I think as I have
    observed the legislative branch now over the past year, it has
    made for a very, very good working relationship.
        I think that has enabled all of you and others that are in
    the legislative branch to do the outstanding job that you do.
    It has helped support you in that effort, and particularly
    helped do it at a time when it's really tough with the budget
    situation.
        It's one of those situations where we're going to have to
    do more. You're going to have to continue to do more. That is a
    reality, and you know that, and we know that.
        My observation, though, would be that you are doing a good
    job at finding savings, even when it is tough and in these
    circumstances. You're doing a good job.
        My overall sense is that, in terms of discretionary
    spending, you are doing your share and what has to be done to
    address the discretionary spending issues. I think there are
    other drivers of our debt and deficit that are much bigger
    factors, which I won't go into here, but that we're going to
    have to address. We're going to have to try to find ways to do
    more in terms of generating savings to really get on top of the
    challenge we face.
        So, number one, thank you, Senator Nelson, for your
    leadership on the legislative branch. I appreciate the
    opportunity to work with you.
        I appreciate the great job all of you do. We are going to
    have to continue to find more savings. As you know, we will get
    a topline number, and we'll have to work to get there.
        You did it last year, and you did a good job. We'll work
    with you to do the best job again this year in finding savings
    while doing the best job we can with the dollars we have, in
    terms of trying to accomplish all the things, and covering all
    the bases that you have to cover in your very important tasks.
        Senator Nelson. Thank you, Senator Hoeven, for those kind
    remarks. I want to thank the audience for their suppressed
    applause when you said it was my last hearing.
        Before you arrived, I already leaked out the word ``cheap''
    in introducing Chief Morse, so I appreciate you not using that
    word to describe me, but I have been described that way more
    than once.
        I appreciate working with you, because we've created a
    partnership here where we can work together and share ideas.
    Which makes this job a lot easier from this side of the bench,
    and I think it makes it a lot more doable from the other side,
    to know that we are all going to work together to get through
    where we are, because we're all in it together. And if we begin
    to think otherwise, then it is very hard for you to function
    and it is impossible to function over here, so I want to thank
    you very much for those nice remarks.
        Senator Hoeven. Absolutely. Thank you, Senator.
        Senator Nelson. Thank you.
        Sergeant at Arms Gainer, the floor is yours.

                        Sergeant at Arms and Doorkeeper

    STATEMENT OF TERRANCE W. GAINER, SERGEANT AT ARMS
        Mr. Gainer. Thank you very much, Mr. Chairman and Ranking
    Member Hoeven, for the opportunity to appear before you today
    on behalf of the Sergeant at Arms team and to present our
    budget request for fiscal year 2013.
        I do ask that my written testimony be submitted and made
    part of the record.
        Senator Nelson. It will be.
        Mr. Gainer. Thank you.
        Before I begin, in addition to my two colleagues here, I
    would like to acknowledge in the audience House Sergeant at
    Arms Paul Irving, who is new to his position, and Ken Eads, who
    is representing the AOC. They are here because of our
    partnership in our oversight of the police department and here
    to affirm the work that the Chief has been doing.
        As to my office, our primary goals for fiscal year 2013 are
    to maintain a safe and secure environment, to support the
    Senate's information and communications technology
    infrastructure, and to deliver printing, parking, photography,
    mail delivery, and other services to the Senate community in an
    efficient, cost-effective manner.
        The budget request, as you indicated for this year, totals
    a bit more than $205 million. This is an increase of $1.7
    million, or 0.8 percent more than last year's budget.
        As I went through some of the remarks my staff was
    preparing, I noticed that probably every paragraph we mentioned
    something about tough budget.
        I do want to talk a little bit about how we are maintaining
    what we do and our slight budget increase.
        Aside from additional funding for the State office security
    programs, which is $1.2 million, our overall expense budget
    would decline next year. The tragic shooting of Congresswoman
    Giffords and the recent white powder letter event that you
    referred to are just two examples of the necessity for this
    extra security.
        This increase is fully offset within our overall expense
    budget. Mr. Chairman, and Senator Hoeven, as you know, the
    Sergeant at Arms budget was reduced by nearly 7 percent in the
    current fiscal year. We have worked through the impact of that
    reduction. However, continued reductions in our budget will
    eventually have an adverse impact on the way we support our
    customers, especially in the areas of information and
    communications technology.
        We have had to reduce our services, scale back allocations,
    reduce our subsidies for some services, and defer the critical
    improvements that are required to keep pace with continued
    demands for improved technology. At some point, the price will
    be paid.
        And even today, the Stop Trading on Congressional Knowledge
    (STOCK) Act, which the Senate passed this afternoon and sent to
    the White House, places new and expensive burdens on our
    department. This legislation requires the Sergeant at Arms to
    create and deploy a new electronic financial disclosure
    application and database that will allow the public to search,
    sort, and download filers' financial information. As worthy as
    the policy goals of this legislation are, they do come with a
    cost. We estimate that it will cost approximately $1.5 million
    to develop the system and another $200,000 a year to maintain
    it.
        The range of services we provide to the Senate take place
    both here in Washington and in the 454 State offices.
        My written testimony covers our accomplishments and
    challenges during the past year. Allow me to share some
    highlights.
        We are more than one-third of the way through the
    installation of the new Watson phone system and are on track to
    complete the project by the end of this fiscal year. This is
    one of the largest communication projects in the history of my
    office, replacing a more than 30-year-old telephone system. The
    new system is based on modern, expandable, and cost-efficient
    technology.
        The new system's redundancy and flexibility will prove
    invaluable in a continuity of operations event and in
    accommodating the Senate's many changes, while reducing the
    cost by more than $2 million annually. Working with Members and
    other stakeholders, we adopted a schedule that reduced
    installation time from 3 years to less than 1 year.
        We had other major successes in the information technology
    (IT) realm this year, including our ongoing server
    virtualization project, where we reduce energy, maintenance,
    and support costs by running more than 800 servers in a virtual
    environment.
        Our help desk team continued to perform extremely well, and
    they achieved a customer satisfaction rate of 99 percent.
        We successfully processed 356 million email messages during
    the past calendar year while protecting our customers from spam
    and malicious messages.
        We also completed a major upgrade of our messaging
    infrastructure that significantly increased mail storage
    capacity, while reducing overall costs.
        We continue to update and expand the tools available to
    Senators and staff can use to stay connected with one another
    and the people they represent. We are supporting the latest
    Apple and BlackBerry smart phones and tablets as well as
    enhancing email functionality on the Apple iPhone and iPad to
    include file editing and local file storage. These functions
    were demanded by many Members and staff.
        We upgraded our already robust videoconferencing
    capabilities to make it significantly more reliable and
    resilient in the instance of a catastrophic event.
        We also improved our IT security posture. Despite numerous
    and extensive attempts, the Senate has not suffered any major
    compromises of information security over the past year.
        Our emergency plans and procedures ensure the safety of
    Senators, staff, and visitors within our facilities, and equip
    them with the necessary tools to respond to any emergency.
        Mr. Chairman, the SAA always tries to be good stewards of
    the funds appropriated to us. As you know, this subcommittee
    granted us approval 2 years ago to relocate our printing,
    graphics, and direct-mail printing function from Postal Square
    here on Capitol Hill to a new facility in Landover, Maryland.
    From July through September 2011, the relocation was completed
    in a two-part move without any break in service to the Senate.
    This new facility, which was completed on time and under
    budget, projects a net cash flow of $2.8 million, which means a
    3.6-percent return on investment over 20 years.
        Fifty-nine staffers now work in Landover, and they remain
    committed to providing exceptional service in a state-of-the-
    art facility.
        Another cost-saving project involves our cabinet shop,
    which we will move from the basement of Postal Square to a
    space in the Government Printing Office on North Capitol
    Street. This move will not only improve the working environment
    of our employees, it will also generate a saving of $2.4
    million over the first 20 years, reflecting a 64-percent
    reduction in cost.
        The Senate Post Office processed the second-highest volume
    since the year 2000. During the past year, the Senate Post
    Office received and tested 18.5 million items to the Senate
    offices, including U.S. mail, internal mail, packages, and
    courier items.
        During the same time period, the Senate Post Office off-
    site staff intercepted 383 suspicious pieces of mail that were
    addressed to Senators with the intent to disrupt Senate
    business. All suspicious items were reported to USCP and
    investigated by them and their partners.
        Our dedicated postal employees, as you mentioned, Mr.
    Chairman and Mr. Hoeven, did a great job on intercepting those
    pieces of mail, working with USCP, the Senate Post Office, and
    the Federal Bureau of Investigation (FBI) to ultimately bring
    that offender to justice.
        For the convenience of retail customers, our Senate Post
    Office began accepting credit cards, which has improved service
    and increased overall sales.
        Our five Senate appointment desks, processed nearly 200,000
    visitors during this past year, and we have had the second-
    highest issuing of badges for those visits that we've had in 25
    years.
        The Senate Recording Studio produced 1,300 television
    shows, 1,100 radio productions, and 845 Senate committee
    hearings. They also played a vital role in launching a new
    service, the live streaming of the Senate floor to the public
    online at www.senate.gov.
        Our offices work closely with the Secretary of the Senate,
    USCP, AOC, the Senate Committee on Rules, and this subcommittee
    to provide quality of service to the Senate.
        I think our team do an outstanding job. They are
    industrious. They are smart and honest. And I am very grateful
    for the leadership of the Deputy Sergeant at Arms, Martina
    Bradford. And I would just like to acknowledge Chris Dey, our
    chief financial officer (CFO). He has served me and my
    predecessors for more than 20 years. He is an unbelievable CFO.
    This is the fifth agency I have been in, and fourth one in
    which I have had a leadership role. I've never worked with a
    finer individual than Chris. He does a great job.

                               PREPARED STATEMENT

        We're here to serve you and answer any of your questions.
    Thank you.
        Senator Nelson. Thank you.
        [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 the subcommittee today. I am pleased to
    report on the progress the Office of the Senate Sergeant at Arms (SAA)
    has made over the past year and our plans for the coming year.
        For fiscal year 2013, SAA respectfully requests a total budget of
    $205,447,000. This is a modest increase of $1.7 million, or 0.8 percent
    more than the fiscal year 2012 enacted level. This budget will allow us
    to maintain the high level of service we provide to the Senate
    community, while continuing to be good stewards of the public's
    resources. Mr. Chairman, as you know the SAA is currently operating
    under a 7-percent reduction less than last year's funding level. Our
    funding was cut by $4 million in salaries and $11 million in expenses
    from the fiscal year 2011 level. We understand the tremendous economic
    challenges this subcommittee is facing and we are committed to doing
    our part to reduce costs and streamline our operations.
        Although we have taken extraordinary steps to mitigate the impact
    of this reduction, continued decreases in our budget have had an
    adverse effect on the way we support our customers, especially in the
    areas of information and communications technology. We have had to
    reduce services, scale back allocations, and reduce our subsidies for
    some services, as well as defer the capital improvements that are
    required to keep pace with continued demands for improved technology.
    In addition, the pending STOCK Act, S. 4038, would place new and
    expensive burdens on SAA, if enacted. For example, this legislation
    would require us to create and deploy a new electronic financial
    disclosure application and a data-base that will allow the public to
    search, sort, and download filers' financial information. We estimate
    that it will cost approximately $1.5 million to develop the system and
    $200,000 annually to maintain it.
        In developing our proposed fiscal year 2013 budget and our
    operating plans, we are guided by priorities framed in our Strategic
    Plan. These priorities include ensuring the U.S. 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 emergency plans and procedures are designed to ensure the
    safety of Senators, staff, and visitors within our facilities and to
    equip Senate staff with the necessary tools to respond to any emergency
    situation. Throughout 2011 we were committed to improving these
    procedures using industry best practices, training, and lessons learned
    through exercises and scheduled events. We made significant strides to
    ensure staff preparedness through enhanced Emergency Action Plans,
    mobility-impaired evacuation procedures, internal relocation actions,
    and the annual Chamber Protective Actions exercise.
        Our preparedness efforts during the past year placed a premium on
    our interaction with Senate offices. During 2011, 100 percent of Senate
    offices possessed a customized Emergency Action Plan based on their
    unique circumstances and needs. Over this past year, 85 percent of all
    Senate office Emergency Action Plans were reviewed and validated using
    guidelines set forth by the Occupational Safety and Health
    Administration (OSHA) and the Congressional Accountability Act (CAA).
    With a goal of maintaining current levels of protection while holding
    down costs, my office, together with the House SAA, requested an
    analysis of the current supply of emergency escape hoods to determine
    whether their shelf life could be extended. The results of the analysis
    showed the escape hoods were still effective and the procurement of
    replacements could be postponed for another year. This allowed us to
    defer more than $4.5 million in fiscal year 2013.
        This year we continued our server virtualization efforts, whereby
    we reduced energy, maintenance, and support costs by running more than
    800 servers in a virtual environment. Our Help Desk team continued to
    perform extremely well, with a customer satisfaction rating of more
    than 99 percent at the very satisfactory or excellent level. Our
    telecommunications modernization effort has moved into the deployment
    phase; we are now in the process of installing the new Watson phones in
    all Senate offices. We are about one-third complete, including all
    Members' offices in the Russell Senate Office Building. We will
    complete installations in Member offices by Memorial Day, and the
    remainder of all Senate offices by the end of the current fiscal year.
        In addition, we successfully processed 356 million email messages
    during calendar year 2011, while protecting our customers from spam and
    malicious messages. We also completed a major upgrade of our messaging
    infrastructure that significantly increased email storage capacity yet
    reduced overall costs. We continued to upgrade and expand the tools
    that Senators and staff can use to stay connected with one another and
    their constituents. We are supporting the latest Apple and BlackBerry
    smartphones and tablets and enhancing email functionality on the Apple
    iPhone and iPad to include file editing and local file storage. We
    upgraded our already robust video conferencing capabilities to make
    them significantly more reliable and resilient in the event of a
    catastrophic event. We also continued to evaluate new equipment and
    vendors to ensure that office equipment offerings stay current. In
    addition, we launched a new, highly anticipated application that allows
    offices to review their equipment inventories online and submit
    corrections electronically, as well as to report stolen or lost
    equipment and request moves. We also improved our IT security posture,
    to ensure that the Senate does not suffer any major compromise of
    information security.
        I am also pleased to report that the Committee Hearing Room Upgrade
    Project, which began in 2003, will be completed later this year. This
    project provides the Senate community with greater flexibility and
    audio/visual capability for committee hearings. This subcommittee has
    been very generous over the years in allowing us to use end-of-year
    Senate carry-over funds to accelerate this important project. When
    completed in June, your constituents will have far more extensive
    access to Senate committee and subcommittee hearings than ever before.
        Mr. Chairman, as you know, this subcommittee granted us approval 2
    years ago to relocate our Printing, Graphics, and Direct Mail (PGDM)
    main printing function from the Postal Square building, on Capitol
    Hill, to a new facility in Landover, Maryland. In September 2011 the
    two-phase relocation was completed without any break in services to the
    Senate. This new facility, which was completed on time and under
    budget, projects a net positive cash flow of $2.8 million, a 3.6-
    percent return on investment over 20 years. Fifty-nine staffers now
    work in the Landover facility and remain committed to providing
    exceptional service to the Senate from this state-of-the-art facility.
        My organization continues to be a good steward of taxpayers'
    dollars. Our productivity increased to unprecedented levels,
    exemplified by the Senate Post Office processing the second-highest
    volume of mail in the last decade, surpassed only by 2009. This past
    year, 2011, was another busy year within the Capitol and for the SAA
    units that support Capitol operations. From 2007 through 2011, the
    Senate was in session an average of 178 days a year, a 19-percent
    increase more than the previous 10 years. Once again, SAA staff
    responded to this increased activity with professionalism, diligence,
    and outstanding customer service.
        For example, personnel staffing the five Senate Appointment Desks
    processed nearly 195,000 visitors to the Capitol during 2011. The total
    number of visitor badges issued was the second highest in any year
    since the appointment desks were created more than 26 years ago.
    Additionally, our Doorkeepers assisted more than 211,000 visitors to
    the Senate Gallery.
        The Senate Recording Studio helped Senators communicate more
    efficiently with their constituents back home. During 2011, we produced
    1,330 shows from our television studios and more than 1,100 radio
    productions, as well as broadcast coverage of 845 Senate committee
    hearings--all increases from 2010. The Recording Studio also provided
    1,102 hours of gavel-to-gavel coverage of Senate floor proceedings, and
    played a vital role in launching a new service: the live streaming of
    the Senate floor to the public online at www.senate.gov.
        These are just a few examples of how the SAA continues to respond
    to the challenges of more activity and more demands with reduced
    resources. Our customer satisfaction levels remain high.
        As you can see, the SAA team continually works toward the vision of
    our Strategic Plan: Exceptional Public Service. Exceeding the Expected.
        Leading the efforts of the SAA is an outstanding senior management
    team including Martina Bradford, who serves as my Deputy; Republican
    Liaison Mason Wiggins; General Counsel Joseph Haughey; Legislative
    Liaison Nancy Olkewicz; Assistant Sergeant at Arms for Continuity and
    Emergency Preparedness Operations Rich Majauskas; Assistant Sergeant at
    Arms for Intelligence and Protective Services Mike Stenger; Assistant
    Sergeant at Arms and Chief Information Officer (CIO) Kimball Winn;
    Assistant Sergeant at Arms for Operations Bret Swanson; Deputy
    Assistant Sergeant at Arms for Capitol Operations Kevin Morison; and
    Chief Financial Officer Chris Dey. The many goals and accomplishments
    set forth in this testimony would not have been possible without this
    team's leadership and commitment.
        We are grateful for our relationship with USCP. I value the input
    of the other members of the Capitol Police Board--newly appointed House
    Sergeant at Arms Paul Irving, serving as Chairman; Architect of the
    Capitol Stephen T. Ayers; and USCP Chief Phillip D. Morse, Sr., who is
    an ex officio member of the Capitol Police Board.
        SAA 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 (SOS),
    AOC, and the Office of the Attending Physician. 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 greatly appreciate the quality of
    the relationships we have built together.
        I am very proud of all the men and women of the SAA team who help
    keep the Senate running. While serving as Sergeant at Arms, I have seen
    their great work and devotion to this institution. Our employees are
    among the most committed and creative in Government. A perfect example
    of this occurred last August 23, when a 5.8 magnitude earthquake shook
    the Washington, DC, region and forced the evacuation of the Capitol--
    just 30 minutes before a scheduled pro forma session of the Senate.
    Working with leadership and the SOS, our personnel relocated to the
    briefing center at the Postal Square building and made it ready for
    Senate business. Thanks to the hard work, ingenuity, and practice of
    our staff, Senator Coons was able to gavel in the historic session--the
    first routine session of the Senate held outside the Capitol in 197
    years--at just after 3:30 p.m., about 1 hour after the session was
    originally scheduled to start.
        As always, my staff and I are grateful for the support and guidance
    of your subcommittee, the full Committee and the Senate Committee on
    Rules and Administration.
       saa deg.continuity and emergency preparedness operations
    Emergency Planning
        Our emergency plans and procedures are designed to ensure the
    safety of Senators, staff, and visitors within our facilities and equip
    them with the necessary tools to respond to any emergency situation.
    Throughout 2011 we were committed to improving these procedures using
    industry best practices, training, and lessons learned through
    exercises and scheduled events. We made significant strides to ensure
    staff preparedness through enhanced Emergency Action Plans, mobility-
    impaired evacuation procedures, internal relocation actions, and the
    annual Chamber Protective Actions exercise.
        The central document that reflects our preparedness efforts across
    the Senate is the Emergency Action Plan. In 2011, 100 percent of Senate
    offices possessed a customized Emergency Action Plan based on their
    unique circumstances and needs. Over this past year, 85 percent of all
    Senate office Emergency Action Plans were reviewed and validated using
    guidelines set forth by OSHA and CAA. Significant areas of improvement
    included the addition of office-specific shelter-in-place locations,
    emphasis on using the secondary assembly area as an AIRCON assembly
    point, internal relocation actions, and AIRCON threat procedures.
        Accommodating staff with accessibility needs is outlined in each
    office's Emergency Action Plan and is an integral part of our training
    efforts. A major enhancement to our program was the addition of Victim
    Rescue Unit (VRU) public caches at each emergency staging area, with
    each cache containing eight VRUs. The VRU is a special smoke hood that
    is issued to self-declared mobility-impaired staff members and their
    ``buddies'' for use in an evacuation emergency. Another addition to our
    mobility impaired program for 2011 was a new ADA-accessible exit
    located at 1st and C Streets, NE. We trained Senate staff on the
    location of the new exit and have updated all Russell Senate Office
    Building Emergency Action Plans to reflect this new ADA-accessible
    exit. We also collaborate with the House of Representatives to promote
    emergency preparedness among our special needs community. In December,
    we jointly hosted a seminar with the House Office of Emergency
    Management on emergency planning for individuals with access and
    functional needs.
        The protection and preparedness of Senators, staff, and visitors
    within the Senate Chamber continues to be a focus. Each year we test
    and validate the Chamber Protective Actions Guide by conducting a full-
    scale exercise. The guide serves as a comprehensive summary of the
    complementary actions each organization will take if the Chamber is
    required to evacuate, shelter-in-place, relocate, or don escape hoods.
    The 2011 exercise addressed evacuation due to an AIRCON threat and
    procedures to shelter in place. Additional areas of emphasis for this
    exercise included setting up portable comfort stations, Doorkeepers'
    duties in the Capitol Visitor Center (CVC) gallery check-in room,
    fourth floor ALERTUS notification system activation, and transportation
    of mobility-impaired Senators to the briefing center during an AIRCON
    evacuation. The addition of a transportation capability for Senators
    represents a further refinement in our plans and capabilities that was
    previously absent.
    Emergency Communications and Accountability
        We continue to improve notification and communication programs to
    ensure devices and systems are ready to support the Senate during local
    or large-scale emergencies. The Accountability and Emergency Roster
    System (ALERTS) is the primary alert and notification system that
    provides a single interface for delivering emergency email, PIN, and
    voice messages to the Senate community. Key achievements during 2011
    included training 128 Office Emergency Coordinators on ALERTS and
    remote check-in procedures, updating emergency contact information for
    all Member offices, increasing the number of Senators receiving ALERTS
    notifications from 35 to 51, and signing up all Senate chiefs of staff
    to receive ALERTS and be listed on the emergency contact list.
        We conducted monthly emergency notification tests for staff and
    biannual tests for Senators in conjunction with the USCP, SOS, party
    secretaries, and other stakeholders. These tests are designed to ensure
    our emergency messaging system is reaching all intended recipients. We
    conducted monthly communications tests with executive branch agencies
    to verify contact information for each other's continuity sites.
        In 2010, we introduced the ALERTS Dashboard to provide the Senate
    and USCP with real-time accountability data through a user-friendly
    graphic interface. This year we extended this capability to the USCP
    Command Center SAA duty desk. This provides the USCP Command Center
    with real-time accountability data for incidents that occur both after
    hours while the Senate is in session and during normal duty hours. We
    consistently reinforce the importance of accountability with Senate
    staff by conducting remote check-in drills and training using
    BlackBerry devices.
        We provide ``watch standers'' in the USCP Command Center after
    normal business hours when the Senate is in session or during emergency
    incidents and special events. Watch standers are trained to use the
    Senate Dialogic and Chyron systems to assist USCP as necessary and
    provide senior leadership with amplifying information regarding ongoing
    events. Because we rely on these two systems, the Dialogic Communicator
    System was upgraded to improve our voice messaging connectivity to desk
    and mobile phones. Upgrades were made to the Chyron Cable TV Alert
    System to provide the capability to broadcast over digital and high-
    definition channels. We are developing a new Chyron Web interface for
    2012 that will improve our capability to edit and review alert messages
    during an emergency and release them faster to the Senate community.
        We procured and installed WebEOC Mapper Professional, a geospatial
    information system that provides Senate emergency managers with the
    ability to create a dynamic, geographically based operating picture of
    an incident and its effects. Multi-layered mapping has proven to be a
    highly effective emergency management technique for government and law
    enforcement agencies throughout the country, and we successfully used
    this feature during the last State of the Union Address. Recent
    improvements to the core emergency operations center management
    application provide better situational awareness during emergencies and
    special events and were used to a limited degree following the August
    2011 earthquake. These improvements include the ability to track the
    setup of individual rooms in continuity facilities as they become
    available and to track and report on the locations of contingency
    staff.
        Information sharing between legislative and executive branch
    emergency managers was further improved through the installation of a
    Homeland Secure Data Network (HSDN) terminal in February 2011. Our
    mission requires access to classified email, messaging, data analysis,
    and collaboration tools along with law enforcement, emergency
    management, and National Capital Region intranet resources. The use of
    HSDN assists in intelligence gathering, situational awareness,
    decisionmaking, and event reporting.
    Training and Equipment
        Training and outreach programs are designed to provide interactive
    classroom and personalized instruction to the Senate community. These
    valuable programs give staff a wealth of preparedness and life-safety
    awareness information to enhance office and personnel preparedness.
    This year, we conducted 246 training sessions in which more than 5,000
    staff were trained on a variety of preparedness topics. We initiated an
    Office Emergency Coordinator (OEC) certification program in 2008 for
    staff that completed requisite emergency preparedness courses. In 2011,
    15 staff members received this certification.
        The culmination of our emergency preparedness training and outreach
    programs is the Senate's annual National Preparedness Day observance
    held each September as part of National Preparedness Month. This event
    invites members of the National Capital Region emergency management
    community to set up equipment displays, provide program capability
    awareness training, and demonstrate new products. More than one dozen
    regional emergency preparedness partners participated in this past
    year's event.
        One of the keys to our preparedness posture is the continued
    management and support of emergency protection and communication
    equipment in each Senate office. Every office is issued escape hoods,
    emergency supply kits, and wireless emergency annunciators. These
    annunciators allow offices to receive notifications from USCP to
    shelter in place, deploy to their designated internal relocation site,
    receive situational updates, or use specified equipment to evacuate the
    building. The SAA ensures functionality of all equipment through an
    annual inventory and operations check of assigned equipment, and
    replacement of faulty or expired items. More than 270 offices and more
    than 28,000 pieces of equipment were inventoried in the past year.
    Enhancements to the equipment preparedness posture included additional
    emergency equipment for Continuity of Operations vehicles.
        In 2011, we released an updated version of the Roadmap to
    Readiness, which included a condensed Emergency Response Guide and
    portable pocket guide providing concise critical emergency information.
    The Roadmap to Readiness is a comprehensive guide designed to provide
    offices with the necessary tools to create emergency plans for
    Washington, DC, and State offices. It also outlines ways to educate and
    train staff to respond appropriately in emergencies. New Web-based
    training classes on personal preparedness and shelter in place have
    been developed to provide staff with the means to educate themselves
    from the convenience of their desktops. Additionally, we developed a
    new Web site that provides staff with the resources and information
    required to begin preparing for emergencies.
        The Senate Emergency Operations Center (EOC) is utilized during
    emergencies and special events to coordinate information, resources,
    and our response efforts. Training for EOC staff is critical for
    understanding roles and responsibilities. During 2011, two exercises
    and several training classes were conducted to provide staff with the
    opportunity to improve their skills.
    Exercises
        We continue to manage a comprehensive exercise program that ensures
    Senate plans are practiced and validated regularly. The Test, Training,
    and Exercise (TT&E) Program administered by the SAA serves to validate
    our ability to respond in times of crisis as well as identify areas
    where better planning and procedures would be beneficial. As the August
    2011 earthquake event demonstrated, nearly every Senate support
    organization has a role and responsibility that supports successful
    implementation of Senate emergency plans. It is important that each
    organization knows and is able to execute its respective tasks. A
    viable Senate TT&E program provides training and includes practicing
    individual and group responsibilities as well as overall emergency
    plans on a regular basis to ensure preparedness to implement those
    plans. Our program is outlined in an annual guidance document that is
    coordinated with stakeholders and that I sign jointly with the
    Secretary of the Senate. This document provides overarching guidance
    for three TT&E program areas:
      --a 6-year exercise program that focuses on areas relating to our key
            capabilities;
      --regular TT&E-supporting activities that occur throughout the year;
            and
      --a calendar of annual exercises that reflects contingency program
            goals and objectives.
        During 2011, in collaboration with the SOS, we led several joint
    exercises with the USCP, AOC, Office of the Attending Physician, party
    secretaries, and other key congressional stakeholders. Primary among
    these were the Chamber Protective Actions; Briefing Center; Alternate
    Office Space; and alternate Chamber exercises. We completed more than
    20 exercises, tabletops, tests, and guided discussions in 2011,
    covering all aspects of emergency response including Offsite Alternate
    Chamber; Emergency Operations Center; Chamber Protective Actions;
    Briefing Center; Transportation; Contingency Telecommuting,
    Accountability Measures; Evacuation; Internal Relocation; Mass
    Casualty; Alert Notification; Continuity of Government; and Alternate
    Office Space. We successfully exercised an offsite alternate Chamber to
    test our abilities to quickly set up a contingency facility away from
    Capitol Hill in a timely manner. An offsite emergency operations center
    exercise was conducted to test the ability to quickly move staff to a
    location distant from Capitol Hill and begin operations. 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 for each of our
    exercises to document lessons learned for future plan improvement. We
    plan to conduct more than 15 exercises during 2012 in addition to
    numerous training events and smaller-scale tests and drills designed to
    maintain and strengthen existing capabilities while addressing emerging
    needs.
    Continuity of Operations
        In 2011, we focused on developing contingency transportation and
    site-specific plans while continuing to refine and validate other
    existing plans and procedures. We continued collaborating with Member
    offices and committees to develop internal COOP plans and train staff
    accordingly. We acquired new transportation assets and developed
    accompanying activation and operations plans. We worked with our
    counterparts in the House to develop the Personnel Accountability
    System to enhance accountability during contingency transportation. The
    program is now in the final stages of development.
        A full-scale exercise at the Postal Square Briefing Center was
    conducted to validate movement of Members to a safe and secure
    environment in the aftermath of an incident. We also improved plans to
    utilize alternate office space in the event the Senate is no longer
    able to occupy its regular office building work space. COOP materials
    and vital records were placed at contingency facilities and on
    classified networks for convenient access. We acquired space in the
    Ford House Office Building for use as a briefing center should Senators
    evacuate to the House side of the Capitol complex in an emergency. We
    also recently negotiated with the Government Printing Office for use of
    their auditorium and conference rooms for Senate and House briefing
    centers.
        We finalized the first edition of an Alternate Office Space Plan
    that establishes set-up and operational procedures for the COOP space.
    Our focus has been on establishing and validating connectivity to the
    Senate network, and working with USCP security teams on establishing
    access control requirements for the facility when the Senate is
    operating there. We successfully tested our planning assumptions by
    conducting a functional exercise at the alternate site.
        Maintaining a viable COOP program is critical to the Senate's
    ability to continue performing constitutionally mandated functions
    during local emergencies. Our team worked closely with Member offices
    and committees to produce individualized COOP plans utilizing a
    simplified template which was designed and tested within my
    departments. The resulting COOP template is a simplified and proven
    tool for use by Member and committee offices throughout the Senate.
        We conducted an exercise that validated that facilities at our
    offsite location could be used as an alternate Chamber and identified
    additional improvements to enhance the facilities' capabilities.
        We established the COOP Council to assist planners in all SAA
    departments with the development of coordinated plans for our COOP
    sites. The inclusion of key stakeholders in a forum where critical
    decisions may impact our operations during emergencies is essential
    while planning for contingencies.
    Continuity of Government
        To assist in coordinating plans and resolving issues affecting the
    House of Representatives as well as the Senate, we developed a
    Congressional Contingency Planners Group that meets monthly to
    coordinate Continuity of Government planning for the House and Senate.
    That planning group has worked through issues concerning strategy,
    design, and plan implementation. We expect this effort to continue to
    help resolve issues as we encounter them in the joint planning
    environment.
        We are working with the House, USCP, and others to consolidate our
    separate operational plans into a single coordinated plan. Progress has
    been made, but additional work must be done to finalize the plans. This
    will require all parties involved to remain focused on the objective--a
    consolidated operational plan.
        We developed and implemented the concept of a Continuity of
    Government Council to provide invaluable planning guidance and internal
    coordination at the executive level for continuity planners. This has
    been extremely valuable in helping guide the development of site and
    activation plans.
             saa deg.intelligence and protective services
        The Intelligence and Protective Services division of the Office of
    the Sergeant at Arms represents the integrated plans and programs for:
      --Execution of law enforcement support and coordination;
      --Security of the Senate as both an institutional body and a campus;
            and
      --Protection of Members and staff in the District of Columbia and
            their State offices.
    Security Policy and Planning
        The State Office Readiness Program is a single security and
    preparedness resource that mirrors programs currently available to
    Washington, DC offices. Nearly two-thirds of the 450 State offices
    located across the United States occupy office space in commercial
    buildings with no internal security. The remaining offices are located
    in Federal buildings with some level of building security, but may be
    routinely targeted for disruptive activity. Violent incidents in and
    around State offices, including the January 8, 2011, shooting that
    critically injured U.S. Representative Gabrielle Giffords, have
    increased State office awareness of, and participation in, this
    voluntary but critical program. Participating offices are provided with
    a variety of security enhancements including secure reception areas to
    screen visitors, emergency duress buttons, burglar alarm systems, and
    closed-circuit camera systems. SAA pays for installation, maintenance,
    and alarm monitoring services including annual inspections and
    equipment testing.
        During 2011, 333 or 73 percent of State offices received direct
    assistance in completing or updating their Comprehensive Emergency Plan
    (CEP). The CEP combines security, emergency preparedness, and
    Continuity of Government processes into one document. It meets CAA
    requirements and prepares offices to continue services during an event
    with minimal negative impact. A streamlined template and an online
    component to enter preliminary plan information allow us to offer CEP
    assistance to the remaining offices not currently participating in the
    program.
        State office hazard overviews were completed or updated for 349
    offices during 2011; these identify natural or manmade hazards to be
    considered during plan development. Additionally, 79 new State offices
    received program briefings and emergency equipment similar to
    Washington, DC offices. A monthly Office Emergency Coordinator (OEC)
    bulletin is distributed to all State offices and State OECs complete a
    certification program. Online and video teleconferencing security and
    preparedness training is now regularly offered to State office staff.
        Security enhancements were provided for 90 State offices during
    2011. The program has provided security enhancements in 86 percent of
    all State offices including 90 percent of offices located in commercial
    spaces and 76 percent of offices located in Federal buildings.
    Additionally, more than 300 State office alarm systems were tested and
    inspected this year.
        For 2012 the focus of the State Office Readiness Program is on
    using an all-hazard risk assessment to survey State offices and
    offering security enhancements to nonparticipating offices. Site visits
    and collaboration with USCP, GSA, Federal Protective Service, and U.S.
    Marshals Service representatives will continue.
    Police Operations
        The Senate Campus Access Program coordinated inspections of
    construction vehicles and special deliveries with the USCP during
    recent renovations at the Sewell-Belmont House. The program also
    processed 795 special requests for vehicle clearances, deliveries, and
    bus access during 2011. Additionally, we developed the successful
    Committee Hearing Security Assistance Program to provide a single point
    of contact to coordinate USCP coverage at committee hearings. We
    collaborated with USCP and other law enforcement agencies to monitor
    and secure special events such as the State of the Union Address,
    Senatorial party retreats, summer concert series, and various joint
    sessions of Congress.
        The SAA Duty Desk continues to assist in the USCP Command Center by
    utilizing staff to monitor and track security events and incidents
    within the National Capital Region during normal business hours and
    after hours while the Senate is in session. Staff members monitoring
    these events provide direct and timely information necessary to make
    key decisions. The program provides a cost-saving measure as it uses
    existing full-time equivalents (FTEs) with appropriate communication
    training instead of vendor support.
        The January, 2011 shooting of Representative Giffords prompted our
    office to greatly expand monitoring law enforcement investigations
    involving threats to Members. Our goal is to provide updates to
    affected offices from case opening through adjudication. We routinely
    process Senate office requests for local law enforcement assistance at
    public events and coordinate security evaluations and assessments with
    the USCP.
    Intelligence and Threat Assessment
        Our office recognizes the value of identifying potential security
    risks early, so that appropriate awareness, mitigation, and prevention
    strategies can be deployed. The Threat Assessment Program proactively
    identifies and analyzes open-source online information in order to
    detect potential security threats targeting the Senate community and to
    enhance situational awareness of possible security risks. The program
    is fundamentally designed as an effective security and prevention tool
    to assess and mitigate risks in collaboration with the USCP.
        We have been reviewing open-source information and creating daily
    threat reports since December 2011. A total of 283 incidents, an
    average of almost 7 incidents per work day, were reported between
    December 2011 and February 2012. Each incident was reviewed and an
    average of 2 incidents per work day, or a total of 86 incidents in 3
    months, was forwarded to USCP for follow-up investigation. This program
    has allowed us to provide important early warnings and situational
    awareness of possible security risks. It has also guided protection and
    prevention efforts regarding specific threats against Senators,
    possible civil disobedience activities regarding specific topics, and
    cyber threats to online Senate assets.
        The Threat Assessment Program is a tool designed to help us
    collaborate with the USCP and other partner agencies to stay ahead of
    the curve in a constantly changing threat environment. The program was
    initiated as a pilot effort to test processes and evaluate outcomes.
    The next key step is to properly evaluate the program. We have engaged
    the National Academy of Public Administration as an experienced,
    knowledgeable, and independent organization to conduct the formal
    program evaluation.
        Even though a formal evaluation has not been completed, it is clear
    the Threat Assessment Program has elevated situational awareness of
    security-related issues and events among my organization, USCP, and
    Member offices. The program supports the Senate's collective safety and
    prevention efforts.
                    saa deg.information technology
    Enhancing Service, Security, and Stewardship
        We continue to provide a wide range of effective IT 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 of our resources, including the
    funding we are provided, our personnel, and the external resources that
    we consume--in all aspects of our IT operation.
        As we do each year, we have updated, and are performing under, our
    2-year Information Technology Strategic Plan. The current version,
    under which we will be operating in fiscal year 2013, continues to
    emphasize our five strategic IT goals and their supporting objectives
    that drive our programmatic and budgetary decisions:
          Secure.--A secure Senate information infrastructure.
          Customer-Service Focused.--A customer service culture top-to-
            bottom.
          Effective.--IT solutions driven by business requirements.
          Accessible, Flexible, and Reliable.--Access to mission-critical
            information anywhere, anytime, under any circumstances.
          Modern.--A state-of-the-art information infrastructure built on
            modern, proven technologies.
        Our fourth strategic IT goal--Accessible, Flexible, and Reliable--
    may be the most far-reaching of the five goals. This 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 the
    user's location. 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 one-half of the CIO
    organization's fiscal year 2013 request will cover the installation and
    support of the equipment acquired by offices through the economic
    allocation, and for other programs that benefit offices directly. One-
    third will be devoted to providing services at the enterprise level,
    such as information security, the Senate data network, email
    infrastructure, and telephone systems. The remainder is almost equally
    divided between supporting the office of the Secretary of the Senate
    with payroll, financial management, legislative information, and
    disclosure systems; and our own administrative and management systems.
                saa deg.enhancing service to the senate
    Customer Service, Satisfaction, and Communications
        Our IT strategic plan stresses customer service as a top priority,
    and we actively solicit feedback from all levels and for all types of
    services. For instance, we ask for customer feedback on 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. Because of reductions to our budget, we have had to relax the
    service level requirements, reducing services to our customers. During
    the past year, the percentage of on-time arrivals for the IT
    installation team never dropped less than 99 percent. The percentage of
    Help Desk calls that were resolved during the initial call averaged 57
    percent, and 99 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 2013.
        We satisfy our customers' demands for the latest in mobile wireless
    technology by keeping our catalog up to date with the latest offerings.
    Last year, we made available several new models of iPhones, iPads and
    BlackBerry devices, as well as enhanced iPhone and iPad email and tools
    integration that include secure intranet browsing, and document editing
    and storage features. We will continue to offer the Senate community
    the latest smartphone technology as well as add MiFi mobile hotspots to
    our technology catalog in fiscal year 2013. Our CIO staff also
    continues to work extensively with third-party software providers to
    enhance our iPhone and iPad corporate email client. Finally, we
    continue to monitor and test Android devices for support with the goal
    of supporting these devices when we can do so with adequate security.
        In fiscal year 2013 we will continue to communicate effectively
    with our customers through a well-developed outreach program that
    includes IT newsletters, periodic project status reviews, IT working
    groups, weekly technology and business process review meetings with
    customers, and joint 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 robust, reliable, and modern data network and network-
    based services that the Senate relies upon to communicate
    electronically within and among offices on Capitol Hill and in the
    States; to and from other legislative branch agencies; and through the
    Internet to the public, other agencies, and organizations.
        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 to take
    advantage of technological advances to provide a more flexible and
    robust infrastructure. We completed the replacement of the main
    telephone switch this year, and have processed more than 3 million
    phone calls since it came online. We are currently installing up to 250
    new telephones a week in Senate offices and are scheduled to complete
    the Watson phone migration by the end of the current fiscal year.
    Moving forward, we will replace systems such as the cloakroom alerts
    and conference services systems over the coming year. We are securing
    the Watson implementation with the same high level of diligence as we
    secure the whole of the Senate's IT infrastructure. We also conduct
    rigorous vulnerability testing on Watson, which exemplifies our
    proactive and preventive approach to information security.
        Our wired and wireless data network forms the core of our IT
    infrastructure. This past year we improved the ability of Members and
    staff to gain access to the Senate network remotely, which is a
    critical function for our customers and a key to success for our
    support organizations. We integrated client-based and clientless remote
    access services into a single platform. We did this without any
    significant effects on our customers, while improving our internal
    efficiency.
        In 2011, we also enhanced the security of the Senate's wireless LAN
    or ``WiFi'' service by introducing a new network--Odyssey--that
    supports a more secure authentication mechanism and allows us to
    support mobile devices such as the Apple iPhone and iPad. Over the
    course of the next year, we will continue to enhance our wireless
    network by replacing more than 700 access points.
        We continued reducing costs for the wide area network services that
    support State offices, achieving a $200,000 reduction in fiscal year
    2012; less than the fiscal year 2011 cost. A portion of this reduction
    results from better contract pricing for services in Alaska.
        In order to support our new PGDM facility in Landover, Maryland, we
    invested in a direct fiber-optic connection, both to provide high-speed
    service to the location and to save money in the long-term less than
    the cost of a leased connection. We received favorable monthly pricing
    by using the same contract and vendor that provides us ``dark fiber''
    service to the Alternate Computing Facility (ACF) and other locations
    off Capitol Hill. The direct fiber-optic connection to this new
    facility closely matches the connection PGDM had while on Capitol Hill
    and does so at a reduced cost. The monthly rate for our direct
    dedicated connection is approximately 40 percent less than comparable
    shared bandwidth with a contract commitment of 10 years. Because it is
    a private connection, we also eliminated the need for security
    equipment, which is necessary when using a commercial-based service. We
    plan to extend this service to the nearby Senate Support Facility to
    substantially increase the level of network service there.
        We continue to make effective use of our investment in performance
    monitoring equipment to manage service levels on our connections to the
    Internet. This has allowed us to keep service capacity levels constant,
    without sacrificing performance for our customers. However, we will not
    be able to ensure this critical resource meets our customers' demand
    indefinitely without additional funding.
        Because our data network is vital to everything we do, we must
    continue to invest in performance monitoring equipment to proactively
    identify and resolve problems within the network as quickly as
    possible, including before our customers recognize a problem exists.
    This also allows us to use statistical information for trend analysis
    purposes so that we can be in front of the need for additional network
    capacity. With more than 1,500 devices supporting our enterprise data
    network, it is imperative that our CIO organization be well positioned
    to identify problems (fault management), traffic levels (performance
    management) and modifications (change management).
        We use many tools in our efforts to monitor the health of the
    Senate data network, which spans Capitol Hill, more than 450 State
    offices, and two data centers. We processed more than 1,800 incident
    tickets during calendar year 2011 and more than 1,400 network change
    requests associated with data center services. As 2011 was the first
    year of the 112th Congress, with attendant changes in Senate
    membership, we provided 90 new State office connections and
    decommissioned 60 others.
        In partnership with other legislative branch agencies, our CIO
    organization participated in the replacement of the legislative branch
    intranet known as CapNet. This private network provides all legislative
    branch agencies the ability to communicate with each other without
    traversing the Internet. The Senate has been one of the leading voices
    in promoting the value of this network for inter-agency communications
    and business services. The replacement of older technology enables the
    entire legislative branch to maintain existing services and expand into
    new services. Our CIO organization led the effort to develop the
    redundant CapNet solution centered at the Alternate Computing Facility.
    In combination with the new primary network, we are well-positioned to
    support new and expanding inter-agency services in a highly available
    environment.
        Another significant undertaking in 2011 was the upgrade of all of
    the Senate's data network chassis equipment. This upgrade was
    essentially a replacement of 100 chassis units spread across the Senate
    campus to ensure we remained well-positioned for growth within the data
    network. The upgrade also provided additional redundancy and increased
    power supplies to support power over Ethernet for the new Watson
    phones.
        Also in support of telecommunications modernization, we designed
    and implemented a quality of service architecture to ensure that voice
    services are prioritized as they traverse the data network. Due to its
    real-time nature, it is critical to the quality of a phone call that
    the corresponding data traffic be properly processed and not be delayed
    by other non-real-time communications.
        In addition to our robust messaging infrastructure that processed
    approximately 356 million Internet email messages during the past
    calendar year, we also support effective communication through the use
    of videoconferencing. Our videoconferencing infrastructure processes an
    average of 300 video calls per day when the Senate is in session.
    Recent enhancements include the ability to call anyone in the world
    through a secure, publicly available client, as well as to make a
    point-to-point call into a multipoint call regardless of bandwidth or
    whether the system has multipoint capability installed. We are also
    strengthening the resiliency of the core services we currently provide
    by designing and deploying a high-availability infrastructure for those
    core services. This will result in less downtime and increased
    reliability.
        This past year we upgraded the Microsoft Office Communicator
    application to Microsoft's latest product, Lync, enabling a convenient
    multi-party desktop sharing feature and preparing the environment so we
    can deliver additional unified communication capabilities such as
    integrated audio and Web conferencing. More than 5,000 people in 80
    offices take advantage of the service.
        In a more visible effort, we collaborated with the Secretary of the
    Senate and the Committee on Rules and Administration to offer,
    beginning with the second session of the 112th Congress, the ability to
    view Senate sessions live on computers and many common mobile devices
    via senate.gov. The public also will be able to use our video archives
    as a powerful research tool by utilizing keyword searches for topics of
    interest.
        The new streaming capability enhances the ability of Members and
    committees to incorporate video into communications with constituents
    by offering the live video of floor activity on their official Web
    sites. We also introduced a video clipping tool, to enable staff to
    capture video segments from archived sessions to post on their official
    Web sites.
        The Large File Transfer System (LFTS), which has been in use for
    nearly 2 years, has streamlined the process of sending large files.
    Currently, 45 offices use it to correspond with other offices in the
    Senate as well as with external entities, including other government
    agencies, the media, and constituents. For example, during the weeks
    and months following the Deepwater Horizon oil spill in the Gulf of
    Mexico, the Committee on Environment and Public Works used LFTS to send
    and receive video files containing extensive footage of the incident.
    In addition, the Senate Recording Studio uses the LFTS to send video
    files to Senators' offices not only on Capitol Hill, but also in their
    home States. Since January 2011, LFTS has processed more than 3,800
    files with 500 gigabytes of data.
    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. This year we completed
    several enhancements to TranSAAct, giving staff the ability to make
    telecommunications service requests online, and integrating with the
    asset management system to allow administrative managers and chief
    clerks to view the assets assigned to their office. They can report
    inaccuracies and lost or stolen items and generate reports on the fly.
    We also started development of a depot to house the forms and documents
    that chief clerks use, with links to a collection of how-to documents
    and checklists for chief clerks to collaborate on best practices. We
    look forward over the coming months and years to moving additional
    business processes to the Web; delivering increasing functionality to
    administrative staff; and reducing the time, paper, and errors
    associated with the current manual processes.
        We are working in collaboration with the Secretary of the Senate to
    replace the current payroll system with a new one that is built on a
    modern technological platform. It will provide additional capabilities
    to benefit members and employees, office management and the Secretary's
    staff. We plan to implement Phase I of the new system, which replaces
    the current payroll functionality, later this year. Phase II will
    follow that implementation and will provide self-service capabilities
    to Members and employees.
        We expanded the services of other Web-based applications such as a
    program that more than 60 offices use on their Web sites for accepting
    service academy nomination requests, intern applications, budget
    requests and other types of applications and requests. To date,
    constituents have submitted more than 24,000 different requests through
    this system. We also modernized CapFOR, the application that allows
    offices to request services from our Capitol Facilities department.
        We provide numerous Web-based systems to enhance the productivity
    of office staff, such as one for the Placement Office that allows
    external applicants to electronically submit job applications for
    positions in Senate offices. Currently, there are more than 36,000
    accounts in the system. We provided significant enhancements to the
    lobbyist registration application to create more robust search
    functionality as well as improve the application's overall performance.
    Committees extensively use streaming video to broadcast their hearings
    over the Internet. This year we transitioned from Flash video to the
    more ubiquitous MPEG4 video standard. This is a huge improvement--using
    the MPEG4 standard allows us to stream and archive video in high
    definition with only a minimal increase in bandwidth usage.
    Showcasing and Promoting Modern Information Technology in the Senate
        We will continue to highlight new technologies in the Information
    Technology Demonstration Center through demo days, which have been
    well-attended in the past. After products are tested and validated in
    our technology assessment laboratory, they are then available for staff
    to try in the Demo Center. The demo days feature live demonstrations of
    new and emerging technologies.
        In order to perform technology assessments, feasibility analysis,
    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 consideration for
    deployment in the Senate.
        We continue to work toward providing unified communications
    capability, tying together voice, video, and data communications into a
    single tool. This allows the user to choose the best communication
    option available--based on the capabilities of the device they are
    using and the preferred method of communication.
        We will continue these efforts in fiscal year 2013 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.
               saa deg.enhancing security for the senate
    Enhancing Security Through System and Information Resiliency
        As I mentioned earlier, we build security, accessibility,
    flexibility, and reliability into every system and service. We continue
    to test our technology in scenarios in which our primary infrastructure
    and primary work locations have become inaccessible. This includes the
    simulated loss of our primary data and network facilities, as well as
    simulated loss of staff work spaces. All mission-essential Senate
    enterprise information systems continue to be replicated at our ACF,
    using our upgraded optical network and storage area network technology.
    We have created a high-availability videoconferencing infrastructure
    that operates simultaneously at the primary and alternate facilities.
    This allows for automated recovery from a loss of either the primary or
    alternate facility without loss of core videoconferencing network
    services. We also upgraded the redundant active directory domain
    controllers in the ACF to the latest operating system. The new servers
    were deployed in virtual machines, removing more than 20 physical
    servers from the facility. We conduct a variety of exercises to ensure
    we are prepared from an IT standpoint to cope with events ranging from
    a burst water pipe, to a pandemic, to an evacuation of Capitol Hill.
    These exercises demonstrate our ability to support mission-essential
    systems under adverse conditions, and the ability to support
    substantial numbers of people working from home. We continue to
    exercise the ability to support our Senate customers in the event of an
    emergency situation which may limit our ability to get to work. This
    includes weekly and monthly exercises designed to ensure technical
    support is available from the ACF and other remote locations. Our
    diligence in this initiative has proved worthwhile during various
    weather events.
        With the knowledge that the business of the Senate continued and
    that State office locations were not affected by the weather in
    Washington, DC, our staff continued to support the Senate community
    remotely throughout these events. This included answering the phones
    from home-based locations, highlighting the capabilities that our
    current migration to IP telephony will bring to the rest of the Senate.
    Securing our Information Infrastructure
        As I have described in previous testimony, active and aggressive
    adversaries continue to target Senate information and technology
    assets. These adversaries use increasingly sophisticated tools,
    techniques, and procedures; rapidly shift their attack methods in
    response to new countermeasures; and continually refine their targeting
    of Senate information. Our key strategy to meet this threat has been to
    improve our coordination with other Federal agencies to share and adopt
    current best practices. We have greatly improved and expanded our
    relationships with other agencies over the past year. In addition we
    have undertaken a number of other efforts that we will continue
    throughout this fiscal year.
        Training on information security awareness is mandatory for every
    member of my staff. The information we provide in this training helps
    our staff better identify and respond to suspected attempts to gain
    unauthorized access to Senate resources. We have also made this
    training available to the rest of the Senate community, and have
    received positive feedback.
        We continue to develop and conduct individual threat briefings for
    system administrators, office leadership, and other staff to educate
    them on the evolving threat environment and to recommend services that
    we provide at no cost to help them reduce their risk. We incorporate
    current best practices into our general awareness materials that we
    provide through Webster and in-office presentations. In the last year
    our training and awareness briefings have paid off as office staff
    members are better equipped to detect and respond appropriately to
    possible malicious events.
        Last year's inclusion of an IT security briefing in the new system
    administrator training process was a great success. In these briefings
    we inform new system administrators of our services and help them
    enroll, so that they may make the best use of our offerings soon after
    they are hired. We also help system administrators identify critical
    systems under their control that our adversaries would consider high-
    value targets. This asset identification enhances situational awareness
    for continuity of operations by allowing us to focus our efforts on
    protecting IT assets for which we have actionable threat intelligence.
    We work to continuously improve the quality of our training and, using
    office feedback regarding such training, we have improved both content
    and delivery.
        Two other programs that support situational awareness and help us
    maintain a common operating picture (giving stakeholders at all levels
    the same relevant information) are the vulnerability assessment and
    systems management services. Together, these programs help us identify
    and remove threats as quickly as possible.
        Our Systems Management Service (SMS) allows an office to
    automatically apply critical security patches to non-Microsoft
    software, saving staff time and effort and improving the security
    posture of the individual workstations in an office. It has been widely
    accepted with 134 offices enrolled, which is nearly 97-percent
    participation. We saw an immediate decrease in the average security
    vulnerability of systems as the service was implemented. SMS serves as
    an excellent enhancement to our vulnerability assessment (VA) program
    and to Windows Server Update Services, (WSUS) which automatically
    patches Microsoft software. The vulnerability assessment program, SMS,
    and WSUS combine well to serve as a ``success enabler'' for offices by
    giving them the tools they need to continuously assess and improve
    their IT security posture. We are looking at expanding our SMS service
    within the next year to better reach perimeter systems, such as laptops
    that remotely connect to the Senate network. We will also seek to
    provide automated update capability for operating system and third-
    party software security updates to Apple systems.
        Our objectives call for maintaining strong relationships with our
    customers and improving customer care processes. The Senate community
    enthusiastically received both the SMS and the VA programs, which
    operate synergistically to mitigate operational cybersecurity risk. We
    devote considerable effort to helping the Senate community maximize
    their benefit from the VA and SMS programs. We pay careful attention to
    the feedback from offices concerning these vital programs, and this
    attention to detail helps us strengthen our relationships with those we
    serve and protect in the Senate community.
        We also provide our staff and contractors with the tools, training,
    and skills necessary to quickly respond to potential threats. These
    ongoing skill training initiatives support our commitment to develop
    and nurture an agile CIO team. Because we are continuously leveraging
    and augmenting our knowledge base as technologies evolve, we quickly
    and productively respond to the challenges that new technology poses.
        To detect, defend against, and pre-empt threats when possible, we
    are employing new operating concepts to protect networks and systems.
    An example of our evolving conceptual innovation is that we employ and
    continuously monitor a strong core of layered defenses. This defensive
    posture enhances IT security. If our adversaries create a challenge at
    one layer, we have multiple, robust security layers making it difficult
    for them to successfully navigate all the security layers.
        We strongly believe that integrating key concepts from the
    Department of Defense's Active Defense doctrine with our strategic
    goals bolsters our cybersecurity posture. As a result, we awarded a new
    cybersecurity contract to a provider with extensive defense sector
    experience. The new service provider is now applying its security
    experience to the protection of Senate information assets. The
    contractor has already taken the initiative to reconfigure network
    monitoring tools for improved performance.
        As mentioned earlier, we share our awareness material and best
    practices with other agencies and adopt useful material and practices
    they have shared with us. We have achieved improved cybersecurity as a
    result of this cooperation, always with a view toward proactive risk
    prevention. Sharing information with other government agencies and the
    private sector also helps us fulfill our objectives of pre-empting
    threats. Such cooperation enables us to put other agencies' experiences
    to good use in effectively and confidently pre-empting threats that may
    not yet have reached us.
        Using best practices from other Federal agencies also helps us
    ensure that the cybersecurity services we offer are aligned with and
    support the Senate's business needs. We continue to expand our reach in
    partnership with other government agencies and the private sector in
    implementing reciprocal mutual trust mechanisms for exchanging email.
    These mutual trust mechanisms guarantee that we can trust messages that
    originate in participating agencies, and they can trust that our
    messages are genuine as well. We described this trust program in last
    year's testimony, and we continue to expand our exchange of encrypted
    messages with more agencies and public-private partnerships.
        Many Members and committees have embraced social media services and
    technology, and are increasingly using these services to communicate
    with constituents. Consequently, we forged direct partnerships with
    leading social media companies to ensure quick and effective
    communications with them. As a result, we are able to provide the
    quickest possible cybersecurity response when required. In this way we
    enable our community to maintain the confidence of constituents that
    each message is actually from the member or committee.
        We have also faced significant challenges. For instance, last March
    we learned of a security breach associated with the company that is a
    major supplier of user authentication devices, RSA. This affected the
    Senate because we make extensive use of RSA's SecurID tokens and the
    breach compromised the security of these tokens. In June, RSA initiated
    the replacement of all ``hard tokens'', or SecurID devices. We were
    tasked with replacing more than 2,500 SecurID tokens for our customers.
    Additionally, we were able to reduce the number of tokens in service by
    almost 1,100 units, working with each office to identify tokens that
    were no longer being used. This saved the Senate approximately $43,000
    in device costs alone and, by reducing the overall count, allowed us to
    avoid a more costly upgrade in license support.
        In an effort to protect data past the useful life of the systems it
    is stored on, this past year we upgraded our on-site degausser to one
    that is better able to erase data from increasingly denser media and
    which will support future improvements and refinements to tapes and
    disks as the data density increases. The model we have is also the only
    degausser approved by the National Security Administration that can
    accommodate multiple drives per cycle.
        We continued our BlackBerry scanning program designed to detect
    security intrusions on wireless devices used during international
    travel. In fiscal year 2011, we upgraded our scanning software from
    AutoBerry to Fixmo's Sentinel, allowing us to scan up to 10 devices
    simultaneously. This past year, we scanned more than 370 BlackBerry
    devices, some multiple times, and found no discrepancies that we could
    not resolve. In fiscal year 2013 we will continue to seek ways to
    improve and enhance our scanning program.
                     saa deg.enhancing stewardship
        Stewardship of our resources is integral to everything we do. We
    are always looking for ways to improve our processes or technologies so
    that we save time, money, electricity, paper, and other resources. Our
    CIO organization is a good steward of the fiscal resources of the
    Senate, consistently and continuously improving the services offered to
    our customers while seeking only modest increases in funding. Many of
    these initiatives can save an office hundreds or thousands of dollars
    in costs that would otherwise be paid 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. Following are some examples of our efforts
    to enhance fiscal and environmental stewardship:
      --We completed a major upgrade of our messaging infrastructure that
            significantly increased email storage capacity yet reduced
            overall costs. The upgrade also provided for further
            consolidation and virtualization of the Senate's messaging
            environment, reducing by more than half the physical servers in
            use. Improvements in high-availability capabilities have
            further reduced service disruptions for routine maintenance,
            and a change to leverage native email archiving features
            resulted in additional cost savings in software maintenance,
            administrative support, and storage.
      --Our SMS for automated deployment of applications and updates to
            workstations and servers reduces the maintenance burden on
            users and aids in maintaining a secure systems baseline. Almost
            every office currently uses this service.
      --We have continued our virtualization efforts, where we now reduce
            energy, maintenance, and support costs by running more than 800
            of our servers in a secure, virtual environment. We will
            continue an aggressive campaign to virtualize every server that
            can be virtualized.
      --Offices have taken great advantage of our virtual machine
            infrastructure that allows us to centrally host their file and
            application servers on shared hardware at our primary and
            alternate facilities. This 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 and excess heat, and increases usable working area for
            staff. It also removes the single point of failure from
            existing office servers and meets continuity of operations and
            data replication requirements for approximately one-half the
            cost of existing solutions. To date we are providing 97 Member
            and committee offices with a total of 131 virtual servers.
            Virtual servers running in the data center consume only 25
            percent of the energy of a comparable number of physical
            servers. This means a reduction in power consumption and air
            conditioning requirements, saving Senate funds, while enhancing
            our ability to provide reliable and redundant services. Fewer
            servers used by the Senate also mean fewer servers that need to
            be disposed of at the end of their lives. This is greening on a
            national scale.
      --Work continues on offering offices the ability to host their
            constituent support systems and SharePoint collaboration
            systems offsite or in a virtual environment. This will provide
            offices the opportunity to operate without any physical servers
            in their offices. Three offices are currently participating in
            the pilot test for this effort.
      --We continue to use our catalog to highlight the energy-efficient
            aspects of our supported IT and general office equipment, and
            we participated in the Senate Environmental and Energy
            Showcase.
      --We continue our efforts to dispose of surplus electronic equipment
            through such initiatives as the Computers for Schools program.
            Last year we fulfilled 35 Member office requests and packed and
            shipped 775 surplus computers to eligible public schools. We
            send other surplus equipment to the GSA for redistribution or
            resale.
      --We also ensure that the devices we recommend to the Senate meet the
            applicable ENERGY STAR guidelines and, where feasible, the
            guidelines for the responsible manufacture of IT equipment.
                          saa deg.operations
              saa deg.printing, graphics, and direct mail
        PGDM provides high-level, direct customer support to the Senate
    community through photocopying, graphic design, printing, mailing,
    archiving, logistics, and security. During fiscal year 2011, in an
    ongoing effort to continuously improve and serve Senate offices, PGDM
    introduced 10 new products and services:
      --retractable signs;
      --pocket folders;
      --Quick Response (QR) codes;
      --CD/DVD high-level production;
      --transportation of Library of Congress (LOC) books;
      --Constituent Services System (CSS) letter address validation
            reports;
      --full-color CSS letter printing;
      --secure scanning;
      --Section 9 mail imaging; and
      --panel panoramic picture printing.
        As a good steward of fiscal resources, PGDM garnered notable
    savings for the Senate. We saved more than $1.1 million in postage
    costs by pre-sorting 6.9 million pieces of outgoing Senate franked
    mail; $55,000 in postage by using new software to identify 124,960
    undeliverable addresses before they were introduced into the United
    States Postal Service mail stream; and approximately $687,000 by
    producing 7,731 charts in-house for Senate floor proceedings and
    committee hearings.
        PGDM continued to improve operations and responded to 65,810
    individual Senate job requests in fiscal year 2011, an increase of 8
    percent more than fiscal year 2010. PGDM met Senate office demands for
    archiving by scanning and digitizing 3.8 million pages of Senate
    documents during fiscal year 2011, an increase of 23 percent more than
    fiscal year 2010. PGDM recently expanded its document scanning service
    to include special requests for very large volumes of documents from
    Members' storage attics and from the Suitland storage facility. In one
    such request, PGDM converted more than 451,000 documents from paper to
    digital media. This conversion service helps offices organize documents
    from their desktop and reclaim scarce storage space.
        PGDM's document management system, OnBase, continues to gain
    popularity among Senate office staff. This service, which allows
    offices their own private document management space, imported more than
    78,500 documents to individual office accounts during fiscal year 2011
    compared to 27,600 in fiscal year 2010, an increase of 184 percent.
        Senate offices increased requests for CD/DVD production by 16
    percent--PGDM produced 7,383 CDs/DVDs in fiscal year 2011 as compared
    to 6,361 in fiscal year 2010. PGDM offers secure disposal for obsolete
    documents, and during fiscal year 2011, we shredded and disposed of
    4,615 boxes of obsolete documents as compared to 3,898 boxes in fiscal
    year 2010, an increase of 18 percent. Printing volumes PGDM-wide
    totaled more than 30 million printed pages during fiscal year 2011, and
    more than 4 million pages were produced utilizing self-serve copy
    centers. In an effort to assist Member offices to more efficiently
    direct constituent mailings, PGDM can individually address and seal
    mail pieces simultaneously. In fiscal year 2011, PGDM individually
    addressed 1,649,794 mail pieces to target specific constituents, as
    compared to 1,354,304 in fiscal year 2010, an increase of 22 percent.
        PGDM's commitment to teamwork and excellent customer service
    extends to its legislative branch partners as well. Collaborative work
    with AOC fulfilled 94,045 flag requests during fiscal year 2011, an
    increase of 14 percent compared to fiscal year 2010. By working in
    tandem with the Government Printing Office, PGDM delivered more than 2
    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 during fiscal
    year 2011 by receiving 1,006,337 items from the USCP off-site
    inspection facility and transferring them to the Senate Support
    Facility. This process eliminated 460 truck deliveries to the Capitol
    complex, reducing traffic, and allowing the USCP to focus on other
    aspects of safety.
        PGDM is committed to assisting the USCP with innovative methods of
    managing crowds and access for special events taking place on Capitol
    Hill. PGDM provides large format printing of signs and banners for
    major events, plus security enhancements for tickets, badges, and
    placards through the use of hologram foil stamping and clear toner
    technology that cannot be easily reproduced.
        During fiscal year 2011, SAA successfully relocated 2 of the 3
    sizeable sections that make up PGDM. The Logistics and Operations
    section was relocated in early fiscal year 2011 to allow for structural
    renovation on the lower level of the southwest corner of the Russell
    Senate Office Building. Later in the year, the Printing, Mailing, and
    Archiving sections were relocated from the Postal Square building to
    Landover, Maryland, to improve efficiency of production and reduce
    facility lease costs. This relocation will generate substantial savings
    in the years to come.
        During fiscal year 2011, PGDM's Logistics and Operations staff
    worked very closely with the AOC to relocate the PGDM Logistics and
    Operations section from SR-B31F to the Hart Senate Office Building
    loading dock, now SH-B08. Construction of the Hart Senate Office
    Building location began in early January and was completed by early
    April. PGDM and AOC staff collaborated on the design of the space to
    efficiently accommodate material, documents, and staff in less square
    footage than had been available in SR-B31F.
        From July through September 2011, PGDM relocated its main printing,
    mailing, and archiving facility from the basement of Postal Square to
    the new Landover Print Facility (LPF). This facility, which was
    completed on time and under budget, projects a net positive cash flow
    of $2.8 million, a 3.6-percent return on investment over 20 years. All
    equipment and the significant PGDM computer infrastructure was re-
    established at Landover without any break in services to the Senate.
    During this move, PGDM produced more than 1,577,400 mass mailing pieces
    and more than 704,200 town meeting notices as well as standard printing
    requests that happen year-round. Fifty-nine staffers now work at LPF,
    and they remain committed to providing exceptional service to the
    Senate from this state-of-the-art facility.
                      saa deg.central operations
    Smart Card Programs--ID Office
        The implementation of Homeland Security Presidential Directive
    (HSPD) 12, the Policy for a Common Identification Standard for Federal
    Employees and Contractors, will significantly impact Senators and staff
    whose State offices are located in Federal buildings across the
    country. While the legislative branch adoption of HSPD-12 is optional,
    compliance will allow Senators and staff unhindered access to work
    freely within Federal facilities. Staffers from the ID Office and
    Technology Development Services are collaborating with executive branch
    counterparts to implement compatible access cards to paid staff within
    the 112th Congress.
        Although a substantial cost is associated with system architecture,
    we continue to explore advantages of Smart Card deployment.
    Sophisticated Smart Card credentials can provide multiple functions
    beyond current ``flash pass'' identification badges. While maintaining
    proximity technology used in USCP's current physical access control
    system, digital certificates on Smart Cards may be used for encryption
    of personally identifiable information exchanged with executive branch
    agencies in the processing of constituent casework. Other future
    benefits within the Senate community for digital certificates include
    digital signatures on financial documents and a secure, single network
    sign-on.
        The ID Office continues to research the expanding field of
    biometric security and study potential applications for this enabled
    technology.
    Parking Operations
        Having implemented numerous changes to policies and procedures at
    the beginning of the 112th Congress, the Parking Operations team
    continues to seek areas of improvement. Parking Operations has
    increased monitoring of parking usage in order to effectively manage
    the Senate's limited number of spaces and maximize space utilization.
    Enhancements to TranSAAct, SAA request processing application, and
    modifications to SPARK, the Senate Parking Operations' management
    system, have improved customer service experiences for office
    administrators.
        Parking operations continues to accommodate all permit holders,
    even though repair and renovation projects frequently impact parking
    spaces. Projects such as sidewalk replacement, window repair, steam
    tunnel rehabilitation, and building revitalizations resulted in a
    temporary reduction of available spaces in almost every parking area
    during calendar year 2011. Parking operations continues to work with
    USCP and the District of Columbia government to reach viable solutions
    regarding appropriate enforcement measures in order to ensure spaces
    are available to permit holders.
    Transportation and Fleet Operations
        Transportation and fleet operations safely and securely procures,
    manages, and maintains SAA vehicles; provides transportation
    information to offices; and manages the Senate Parking Shuttle service.
    The SAA fleet includes trucks, vans, buses, SUVs, and a handicapped-
    accessible van to support the Senate community. Transportation and
    Fleet Operations is responsible for completing work orders, equipment
    installations, tag/registration renewals, and vehicle inspections for
    all fleet vehicles. Fleet staff transported more than 20,500 passengers
    through the SAA Fleet Shuttle service in fiscal year 2011.
        Transportation and Fleet Operations is a leader in ``go green''
    initiatives with flex-fuel/E-85 vehicles, gas-electric hybrids, all
    electric vehicles, Segway Personal Transports, diesel exhaust fluid-
    certified trucks, and a MAXXFORCE-equipped diesel engine with Exhaust
    Gas Recirculation (EGR) to meet the latest EPA standards.
    Photography Studio
        The Photography Studio provides photography and imaging services
    for Senate offices, capturing more than 74,000 photo images and
    producing more than 95,000 photo prints in fiscal year 2011. The
    studio's popular image archiving service was used to scan, organize,
    and transfer more than 47,000 photo images for archiving purposes in
    fiscal year 2011.
        In fiscal year 2011, the Photo Studio converted photo print
    production to chemical free, inkjet printing systems, eliminating the
    use of photo chemicals for the majority of the photos produced. The
    Photo Browser application continues to provide Senate offices a secure
    location to store and organize photos with the capability to download
    and upload photos, as well as place orders for photo prints through a
    Web-interface.
                    saa deg.office support services
        The Office Support Services team continues to ensure all SAA
    services to Senate offices are provided efficiently through timely
    communication, and consistently meet high-quality standards.
        Office Support Services staff serve as liaison between Senators'
    State offices and the commercial or Federal landlords. The State Office
    Liaison oversees 450 State offices and assists Members in negotiating
    leases for commercial and Federal office space and mobile offices in
    their home States.
        Staff continue to consult Members, leadership, and committees
    regarding the most efficient use of office automation, and analyze
    functional operations and workflow in Senate offices to determine how
    new office technology might improve efficiency and productivity. We
    continue to provide training on Office Application Manager, a secure
    Web-based, user-friendly application that allows Senate office staff to
    create and manage online forms such as service academy nominations,
    flags, internships, and fellowships.
        During fiscal year 2011, Customer Support assisted 16 newly elected
    Senators and one appointed Senator in setting up DC offices. The State
    Office Liaison negotiated 101 leases for State Senate offices,
    including 72 in new commercial space, 27 in new Federal buildings, and
    82 renewals. Customer Support and the State Office Liaison have begun
    preparations for upcoming elections by ensuring all documentation and
    procedures are current.
                      saa deg.senate post office
        The Senate Post Office continues to be a good steward of taxpayers'
    dollars as it continues to elevate performance. Productivity increased
    in unprecedented levels, exemplified by processing the second-highest
    volume of mail since 2000, surpassed only by 2009. For the convenience
    of our retail customers, the Senate Post Office began accepting credit
    and debit cards in February 2011. Our customers have praised this
    service upgrade and overall retail sales exceeded $946,000.
        Mail remains a key medium for constituents to communicate with
    Senators and their staff. During fiscal year 2011, the total volume of
    mail addressed to the Senate's Washington, DC offices was significant.
    The Senate Post Office received, tested, and delivered 18,432,995 safe
    items to Senate offices, including 11,703,600 pieces of U.S. Postal
    Service (USPS) mail; 6,729,395 pieces of internal mail routed within
    the Senate and to/from other government agencies; 72,108 packages; and
    302,122 courier items. Mail received by the Senate has increased
    substantially over the past 3 years as compared to the nationwide trend
    showing USPS mail volumes declining.
        All mail and packages addressed to the Senate's DC offices are
    tested and delivered by Senate Post Office employees. During fiscal
    year 2011, highly trained Senate Post Office off-site mail staff
    intercepted 383 suspicious pieces of mail that were addressed to
    Senators with the intent to disrupt Senate business. All suspicious
    items were reported to USCP and investigated.
        Senate Post Office management has also worked with the Committee on
    Appropriations and the Committee on Rules and Administration to build
    and operate one of the best facilities within the Government to process
    time-sensitive documents delivered to the Senate. The Congressional
    Acceptance Site ensures all same-day documents are xrayed, opened,
    tested, and are safe for delivery to Senate offices. During fiscal year
    2011, more than 300,000 items were successfully tested with zero safety
    incidents. Working in conjunction with the USCP, the Senate Post Office
    was able to upgrade xray technology and redesign monitoring stations to
    improve the flow of mail intake.
        The Senate's method for processing mail has become the model for
    other Government agencies.
        The Senate Post Office has demonstrated its procedures and
    showcased its facilities for some of the Nation's allies, as well as
    other government agencies, including the Department of Defense,
    Department of Homeland Security, FBI, and the Secret Service.
    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.
        Additionally, Senate Post Office staff worked collaboratively with
    its scientific subject matter experts to introduce the first device
    designed to provide Senate staff who work in State offices with a level
    of protection when handling mail. The scientific subject matter experts
    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. The Senate
    Postmaster has requested that all Senate State office staff utilize the
    Postal Sentry mail processing system whenever mail is opened in their
    offices. All newly elected Senators' State offices have been equipped
    with the Postal Sentry and many other Senators have opted for the
    device as well. Currently, 268 State offices have the Postal Sentry, an
    increase of 30 units since 2010.
        The Senate Post Office initiated a recycling program of the Tyvek
    suits utilized by Post Office Mail Specialists when testing the mail.
    To date more than 4,000 pounds of Tyvek suits have been successfully
    recycled.
                      saa deg.capitol facilities
        Capitol facilities serves the Senate community by providing a clean
    and professional work environment through its Environmental Services
    branch. This branch cleans Capitol spaces, moves Capitol furniture, and
    provides special event setups in the Capitol--including 10 event spaces
    in the CVC Senate expansion space among other service requests. To meet
    cyclical customer demands during peak event setups and furniture moves,
    Capitol facilities ensures labor cost efficiency by supplementing the
    full-time workforce with contracted labor in place of additional FTEs.
    This resulted in a third-year cost savings of $150,000.
        During fiscal year 2011, Capitol facilities completed 3,532 special
    event setups in the Capitol and CVC Senate expansion space. Service
    requests from Capitol offices for moving furniture and supplies totaled
    4,735, an increase of nearly 3 percent more than fiscal year 2010.
    Staff also completed 520 service calls to Capitol offices for minor
    repairs, furniture touch-ups, and lock changes by the Cabinet Shop, an
    18-percent increase more than fiscal year 2010.
        The Furnishings branch provides framing services to all Senators
    and committees. Demand for framing services increased by nearly 14
    percent more than fiscal year 2010 with a total of 4,031 orders
    completed. The branch also provides custom cabinets and other high-
    quality furniture, carpeting and draperies to Capitol offices. During
    fiscal year 2011, the Cabinet Shop designed, built, and installed 165
    pieces of furniture including cabinets and a work station in the highly
    visible area outside the Senate Lobby near the Clay painting.
        Capitol facilities, with the assistance of the Senate Curator,
    Senate Historian and other individuals responsible for the appearance
    of the Capitol public spaces, was able to produce a set of furnishing
    standards to ensure a cohesive appearance of furniture built for
    Capitol public spaces in the future. These standards have been approved
    by the Committee on Rules and Administration and are being used for
    other projects. To support SAA ``green'' initiatives, Capitol
    facilities implemented a recycling program for sawdust generated by the
    Cabinet Shop. Sawdust is now converted into compostable material for
    the U.S. Botanic Garden.
                      saa deg.capitol operations
    Senate Appointment Desks
        Personnel staffing our five Senate Appointment Desks collectively
    processed 194,776 visitors during 2011. The total number of guest
    badges issued was the second highest in any year since the appointment
    desks were created more than 26 years ago. Our appointment desk system
    enables visitors to the Capitol to be processed in an efficient, safe
    and customer-friendly manner.
        Capitol Appointment Desk staff alone processed 40,094 guests
    through the North Door in 2011, up more than 7 percent from the 37,577
    guests in 2010. Another 57,499 visitors entered the Capitol through the
    CVC with its state-of-the-art security features and accommodations.
    Processing visitors through the CVC Appointment Desks has improved
    safety, reduced wait time for official business visitors entering the
    Capitol through the North Door, improved visitor flow, and reduced
    congestion within the Capitol proper.
        Assisting guests with getting to the Capitol and CVC from the
    Senate office buildings is an important role of the Senate Appointment
    Desks. In 2011, 88,053 guests entered the Capitol via the Russell
    Appointment Desk, including 69,914 who were destined for the CVC. This
    represented the most badges issued by personnel at the Russell
    Appointment Desk in its history. Another 13,804 visitors entered
    through the Hart Appointment Desk. Begun as a pilot project in May
    2010, the Hart desk was made permanent in 2011. We have worked
    collaboratively with the Senate Committee on Rules and Administration,
    USCP, and the AOC to design a secure and welcoming process for staff
    who escort Senate guests to the Capitol from the Hart building. This
    desk is now contributing to the safe and efficient processing of
    visitors from the Senate office buildings.
                          saa deg.doorkeepers
    Facilitating the Needs of the Senate
        Our Doorkeepers play an important role in supporting the Senate.
    Doorkeepers provide access to those with Senate floor privileges and
    enforce the rules of the Senate while facilitating the needs of
    Senators, Senate floor staff, and Pages. They also assist the tens of
    thousands of people who visit the Senate Gallery each year. Demands on
    our Doorkeepers, and expectations for excellence, have increased in
    recent years. From 2007 through 2011, the Senate has been in session an
    average of 178 days. This represents a 19-percent increase from the 150
    average days the Senate was in session from 1996 through 2006.
        Doorkeepers train and regularly exercise procedures for performing
    their duties outside the Senate Chamber. As a result, when the Capitol
    was evacuated due to an earthquake last summer, our team stood ready to
    support the historic offsite pro forma session that took place that day
    in the Postal Square building.
        Doorkeepers provide exceptional support for a number of special
    events attended by Senators, their families, and special guests. In
    2011, these events included the swearing in of Senators elected for the
    112th Congress, the reenactments that followed in the Old Senate
    Chamber, and the movement and seating of Senators during the 2011 State
    of the Union Address and three Joint Sessions of Congress conducted in
    the House of Representatives. Congressional tributes and Congressional
    Gold Medal ceremonies also require the services of Doorkeepers who
    assisted with professionalism and poise at these historic events which
    included the 50th Anniversary of the Inaugural Address of President
    John F. Kennedy, the September 11th Congressional Remembrance Ceremony,
    the Apollo 11/John Glenn Congressional Gold Medal Ceremony, and the
    Japanese-American World War II Congressional Gold Medal ceremony.
    Improving the Senate Gallery Visitor Experience
        For many people who visit the Capitol, sitting in the Senate
    Gallery is a highlight. Doorkeepers ensure their experiences are
    memorable and safe. Last year, Doorkeepers assisted 211,004 visitors in
    viewing the Senate Chamber both when the Senate was in session and when
    it was in recess. Reopening the Gallery during scheduled recesses has
    provided thousands of people with the opportunity to take in the beauty
    of the Chamber and see where the ``world's greatest deliberative body''
    conducts its business. The increased use of pro forma sessions in
    recent years has also provided our Doorkeepers with the opportunity to
    educate visitors about the practice and purpose of this procedure.
        Doorkeepers routinely collaborate with USCP and CVC representatives
    at working group meetings and information sharing sessions with Senate
    office staff in an effort to provide the best possible experience to
    our visitors. As part of that effort, Doorkeepers have become
    increasingly skilled at welcoming visitors to the Capitol and educating
    them on the history of the Senate Chamber. The visitors' experience has
    improved over the past year as a result of continued training for the
    Doorkeeper staff and the development of handout materials. The feedback
    that we have received from Senate Gallery visitors has been
    consistently positive. Senate Gallery visitors regularly comment on our
    Doorkeepers' ability to process groups in an efficient, friendly, and
    helpful manner.
                    saa deg.senate recording studio
    Expanded Broadcast Capability
        The Senate Recording Studio had another busy and productive year in
    2011. Staff produced a total of 1,330 television shows for Senators, a
    25-percent increase from the year before. Radio productions increased
    as well, from 1,074 in 2010 to 1,108 in 2011. Additionally, last year,
    we provided 1,102 hours of gavel-to-gavel coverage of Senate floor
    proceedings and broadcast coverage of 845 Senate committee hearings.
    Recording Studio staff successfully tested, installed, and commissioned
    eight new high-definition cameras on the Senate floor which replaced
    the first generation high-definition cameras that were installed more
    than a decade ago. In an era of rapidly changing technology, the
    Recording Studio strives to stay abreast of the latest solutions that
    will allow the Senate to stay accessible to the public and enable
    Senators to communicate with their constituents across the country.
    Noteworthy Efforts and Groundbreaking Firsts
        Support of major congressional events is another important role for
    the Recording Studio. This past year, our Recording Studio provided
    full coverage of the Apollo 11/John Glenn Congressional Gold Medal
    ceremony and transmitted the coverage to the National Aeronautics and
    Space Administration (NASA) to air on NASA TV. Similarly, coverage of
    the Japanese-American WWII Veterans Gold Medal ceremony was shared with
    the Department of Defense for airing on the Pentagon Channel, as well
    as to the CVC overflow rooms (Congressional Auditorium, North and South
    Orientation Theaters), allowing more than 1,000 guests to view the
    ceremony. These collaborative efforts highlight the important work of
    the Recording Studio beyond coverage of Senate floor business.
        The Senate Recording Studio demonstrated its flexibility,
    commitment, and expertise on the afternoon of August 23, 2011, when an
    earthquake forced the evacuation of the Capitol complex just 30 minutes
    before a scheduled pro forma session in the Chamber. Recording Studio
    staff quickly assembled at the Postal Square building and were ready to
    capture the extraordinary session when it was gaveled in a short time
    later. Studio staff ensured the continuity of the public's access to
    witness the Senate conduct its business, despite the unique and
    challenging circumstances.
        In 2011, the Recording Studio began providing support for the live
    streaming of the Senate floor, on www.senate.gov. Studio staff played a
    vital role in upfront planning, technical specifications, and
    installing, testing, and maintaining equipment in the Recording Studio.
    They worked closely with the SAA CIO, Senate Committee on Rules and
    Administration, and the contractor to make sure this innovative service
    went online smoothly and on time. Now, anyone with access to a computer
    can witness the Senate at work with the click of a mouse.
    Reducing Costs by Leveraging Technology
        The Committee Hearing Room Upgrade Project, which began in 2003,
    continued through 2011. This project provides the Senate community with
    greater flexibility and audio/visual capability for committee hearings.
    State-of-the-art technology being installed includes digital signal
    processing audio systems and broadcast-quality robotic camera systems,
    improved speech intelligibility, and software-based systems that are
    configured based on individual committee needs. This project is
    scheduled for completion in June of this year.
        In conjunction with the Committee Hearing Room Upgrade Project, the
    Recording Studio installed technologies to enhance our ability to
    provide broadcast coverage of more hearings simultaneously without
    having to add staff. As a result of these efficiencies, staff has been
    cross-trained in several areas of the Recording Studio's operation in
    an effort to maximize the talents of each individual and do more
    without adding staff.
                        saa deg.media galleries
        The Senate Media Galleries comprise the Senate Daily Press Gallery,
    the Senate Periodical Press Gallery, the Press Photographers' Gallery,
    and the Senate Radio and Television Gallery. The unique structure of
    the four Media Galleries requires them to work closely with their
    respective Standing and Executive Correspondents' Committees, SAA,
    USCP, and the Senate Committee on Rules and Administration in order to
    facilitate media arrangements and credentials for the more than 7,000
    members of the media who cover Senators, Senate committees, and related
    media events on Capitol Hill.
        The growth of 24-hour news outlets and Web sites, and the explosion
    of social media, has made the demand for news constant. As a result,
    the Congress is being covered more vigorously and in greater depth than
    ever before. Given this new dynamic, the staff of the Media Galleries
    has worked hard to accommodate the ever-changing technology environment
    that shapes how the news media do their job and how Americans get their
    news. For example, the four Media Galleries worked with the office of
    the SAA CIO to upgrade the technical infrastructure, including
    incorporating Wi-Fi in all four galleries and across the Senate campus.
    This wireless system is secure, and can be accessed only through a log-
    in script. Committee press secretaries, in particular, appreciate that
    the wireless system aids in the press coverage of their hearings. In
    addition, the credentialing process has been enhanced, taking into
    account recent technological advances in the media industry and the
    security needs of the Capitol.
    Senate Daily Press Gallery
        Our Daily Press Gallery staff provides the growing ranks of
    reporters with background information on legislation on a daily basis.
    Chief among their responsibilities is assisting Senators and staff in
    making information available to the public and generally assisting the
    press dedicated to covering the Congress. Our Daily Press Gallery staff
    monitors Senate floor activities and schedule changes, prepares for big
    events and ceremonies, and researches and assesses the flood of new
    credential applicants in conjunction with the Standing Committee of
    Correspondents. Any given day, the Daily Gallery staff will monitor and
    assist with access on the Capitol's second floor and other locations
    where news is breaking, facilitate coverage of major hearings, and
    answer numerous press inquiries on legislation, floor action, and
    parliamentary procedure from media and Senate staff.
        Reaccreditation of Gallery members occurs every year, and in 2011
    approximately 1,800 reporters were credentialed for the Daily Press
    Gallery alone. As we head into a Presidential election year, the
    Gallery is gearing up to credential reporters for the Democratic and
    Republican national conventions. This past year, staff conducted site
    visits to each city where the respective conventions will be held.
    Gallery staff must have intimate knowledge of the locale and the
    positions their members will have to cover the events. Planning for the
    2013 Inaugural ceremonies, which draws more interest and requests for
    credentials than in a non-Presidential election year, has also begun.
    Senate Periodical Press Gallery
        The Senate Periodical Press staff focuses much of its work on
    supporting media arrangements and logistics for Senate committee
    hearings. In 2011, Gallery staff worked with new committee and
    Senators' press secretaries to familiarize them with the Gallery's
    functions at committee hearings. Regular collaboration allows 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, and Senate Committee on
    Appropriations events. In addition to hearings, Senate Periodical Press
    Gallery staff also works to monitor press conferences, stakeouts,
    Rotunda events and various other media events in the Capitol and Senate
    office buildings throughout the year.
        The Periodical Press Gallery staff maintains a daily Senate floor
    log on its Web site, which has become a valuable resource to both
    Gallery members and Senate staff. The log tracks legislative activity,
    votes, and schedule updates in order to assist reporters covering the
    Senate and staff monitoring floor activity. In the past 2 years, the
    Gallery's Web site has attracted nearly 140,000 page views from more
    than 53,000 unique visitors. Traffic to the Web site continues to grow,
    with an all-time high of 16,000 page views in January 2012.
        The Senate Periodical Press Gallery handles press accreditation for
    the National Presidential Nominating Conventions. This is a year-long
    process that involves logistical planning and coordination with the
    Executive Committee of Periodical Correspondents and the Democratic and
    Republican Convention Committees. Immediately following the
    conventions, the Senate Periodical Press Gallery manages press
    accreditation for the Presidential Inaugural Ceremonies.
        Coordination between the Executive Committee of Periodical
    Correspondents, Gallery staff, Senate Committee on Rules and
    Administration staff, and Senate Sergeant at Arms staff has already
    begun.
    Press Photographers Gallery
        The primary role of the Press Photographers Gallery is to
    credential photographers and to assist at news events at the Senate.
    Gallery 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 dramatically in recent years, as Web-
    based publications have expanded and social media has gained in
    popularity. Today, deadlines for images are immediate, 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. Ten years ago, a ``big'' event might attract 10 to 12
    photographers. Today, it is standard to have 10 photographers at a
    routine event while a popular hearing will draw between 20 and 30
    photographers, and a large event, such as the State of the Union
    Address, can attract more than 50 photographers.
        The Press Photographers Gallery was involved with a number of
    events in 2011 including the State of the Union Address; a portrait
    unveiling ceremony for Senator Frist in the Old Senate Chamber; three
    Joint Sessions of the Congress with Australian Prime Minister Julia
    Gillard, Israeli Prime Minister Benjamin Netanyahu, and the President
    of the Republic of Korea, Lee Myung-bak; debt ceiling meetings
    involving Vice President Biden, as well as numerous hearings in both
    the House and Senate on the subject; and two Congressional Gold Medal
    Ceremonies in Emancipation Hall.
    Senate Radio and Television Gallery
        The staff of the Radio and Television Gallery works closely with
    Senate staff and more than 3,600 credentialed members of the electronic
    media to facilitate coverage of Senate news and events in and around
    the Capitol. Senate staff relies on Radio and Television Gallery
    personnel for information on legislative business and press conference
    details in the Gallery's state-of-the-art studio.
        In an effort to address new requirements for electronic media
    coverage of Senate events, improvements were made in 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 18 Senate
    committee rooms. Several meeting rooms in the Capitol and the Senate
    wing of the CVC were also outfitted with fiber optic cable. This
    project allows reporters and Senate staff ease and flexibility with
    transmitting information during meetings, hearings, and media events.
        In 2011, Gallery staff, along with the staff of the Senate
    Committee on Rules and Administration, AOC, and media representatives,
    finalized installation of fiber connectivity in the Russell Rotunda
    media area. The scope of the project not only encompassed the
    installation of new fiber optic cable but also the upgrading of the
    rotunda's electrical infrastructure. The Russell Rotunda media area is
    used daily by Senators for conducting interviews and has become a
    favored interview location for Senators following the State of the
    Union Address and other major events.
        The Radio and Television Gallery was given an opportunity to
    demonstrate its technical prowess and organizational acumen in 2011,
    when on July 27, Brian Williams and several NBC News camera crews were
    granted unprecedented access to the Capitol to produce a special report
    entitled, ``Taking the Hill: Inside Congress''. Working with the
    Committee on Rules and Administration, Radio and TV Gallery staff
    organized the placement of cameras throughout the Senate campus and
    provided the necessary oversight with respect to broadcast coverage
    rules. Along with interviewing Members, NBC's crews chronicled a ``day-
    in-the-life'' of Senate staff while they performed their essential
    services in supporting Capitol operations.
            saa deg.senate office of education and training
        The Senate Office of Education and Training provides training and
    development opportunities for Senate staff in Washington, DC and the
    States. There are two branches within the office:
      --the Education and Training branch; and
      --the Health Promotion branch.
        The Education and Training branch provides training opportunities
    for all Senate staff in areas such as management and leadership
    development; human resources management; legislative and staff
    information; new staff and intern orientation; and training support for
    approved software and equipment used in Washington, DC, and State
    offices. This branch also coordinates and provides major training
    events for State and DC staff.
        Training and education are provided through instructor-led classes;
    one-on-one coaching sessions; specialized vendor-provided training;
    Internet and computer-based training; webinars; video teleconferencing;
    informal training and support services; documentation, job aides; and
    quickcards.
        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
    throughout the year.
    Capitol Hill Training
        The Office of Education and Training offered 1,058 classes and
    events in 2011, drawing more than 12,000 participants. This office's
    registration desk handled more than 25,000 email and phone requests for
    training and documentation.
        The above total includes 160 customized training sessions for 2,667
    staff members. These sessions ranged from in-depth training of Senate
    office system administrators to conflict resolution and organizational
    development. We provided individual consultation on Web site
    development and office systems training. We provided specialized
    training for many of the newly elected Senators' offices.
        The Senate's Intern Program is also a focus of the office. We
    provide training for intern coordinators as well as ten orientation and
    training sessions for approximately 1,225 interns.
        Annually, we provide a Senate Services Expo for Senate office
    staff. This year we had 36 presenters from our office as well as the
    offices of the Secretary of the Senate, AOC, USCP, and LOC providing an
    overview of their services to 260 staff. This is part of the
    orientation for new staff and the aides to the Senators-elect. During
    the first quarter of this year, we held eight orientation sessions for
    chiefs of staff and administrative directors with a total attendance of
    105.
    State Office Training
        The Office of Education and Training provided 94 learning
    opportunities to State offices for which 2,625 State staff registered.
    Our office continues to offer the State Training Fair Program and video
    teleconferencing and webinars as a means to train State staff. In 2011,
    a session of a State Training Fair was attended by 40 State staff. We
    also conducted the State Directors Forum, which was attended by 42
    State administrative managers and directors, and a Constituent Services
    Forum attended by 57 State staff. We introduced a conference for
    outreach staff that was attended by 41 staff. We also provided advanced
    all-staff meeting facilitation to more than 30 offices; more than 500
    staff members attended. Additionally, the office offered 20 video
    teleconferencing classes, for which 718 State staff registered, and
    offered 22 webinars that were attended by more than 200.
        We provide sources of Internet-based training covering technical,
    professional, and language skills and an online research library of
    30,000. This allows staff in both DC and the States to take training at
    their convenience. To date, 826 DC and State office staff have
    registered and accessed 1,780 different lessons and publications using
    this training option. Education and Training also provides 64 Senate-
    specific self-paced lessons that have been accessed more than 4,800
    times.
    Health Promotion
        In the Health Promotion area, 2,000 staff participated in 64 health
    promotion activities throughout the year. These activities included
    lung function and kidney screenings, eight blood drives, the Health and
    Fitness Day, seminars on health-related topics, and the Annual Senate
    Health Fair. We also coordinate Weight Watchers, yoga, and Pilates
    sessions using the revolving fund for health promotion.
        We continue to develop job-specific training and resources for
    Senate staff. Currently we are developing training for Legislative
    Directors, Legislative Correspondents, Schedulers, and Chief Clerks. We
    are also developing training specifically for those who regularly
    interact with Senate floor staff.
        We will be working with the SAA technical staff to develop and
    build a new Learning Management System. This will provide Senate staff
    with a user-friendly method for finding and registering for training.
    It will become a part of our Education and Training portal which will
    provide a variety of means for staff to obtain the training they need.
        We will expand online training options for Hill and State staff. We
    are planning for additional training for security and mental well-being
    in the State offices, job-specific training and, as the need arises,
    training on floor policy and procedures.
    Cost-Saving Impacts
        The Office of Education and Training reduced each of our DC-based
    State training sessions by one-half day to reduce per diem costs to the
    offices without sacrificing quality. We have added self-paced training
    modules to our catalog to allow State and Hill staff to learn at their
    own time and place. Video-conferencing and webinar training offerings
    have also been expanded.
                  saa deg.employee assistance program
        Our Employee Assistance Program (EAP) offered a variety of services
    to pages, interns, staff, and their family members. In 2011, nearly 1
    in 20 Senate employees utilized the services of an EAP counselor; 170
    employees took a mental health on-line screening; 3,489 employees
    attended an EAP training activity; and 1,489 employees accessed
    resources for personalized information and referrals addressing
    childcare, parenting, adult care, aging, education, legal concerns, or
    financial issues.
        Early problem recognition and referral is a critical component of
    the EAP. To that end, EAP counselors work closely with Senate managers
    and supervisors. Through presentations, handouts, and individual
    consultations, the EAP supports managers and supervisors who are
    addressing challenging employee or staff issues. In 2011, EAP consulted
    with more than 175 managers or supervisors.
        An invaluable characteristic and goal of EAP services is to utilize
    outreach to effectively reach our client base. Working toward this goal
    in 2011, EAP renovated our Web site, providing a more interactive and
    user-friendly resource. These changes included confidential mental
    health screenings, an increased number of self-paced training modules,
    and greater access to mental health, management, and trauma response
    resources. In addition to refining our Web site, EAP continued to
    update materials on a wide array of mental health topics while offering
    a variety of time-sensitive and community-focused training programs,
    including video teleconferencing programs for State offices. Last year
    EAP also continued to hone, expand, and utilize the skills of the 32-
    member Senate Peer Support Team through a series of presentations,
    trainings, and informational lectures.
        With regard to specific incidents in 2011, EAP responded to a
    multitude of events, including the emotional needs and concerns that
    arose from the shooting of Representative Giffords; the 10th
    anniversary of 9/11; the offices impacted by the May tornadoes; the
    offices impacted by the June floods; the deaths of employees and the
    family members of employees; and employees who requested support after
    other critical incidents.
        saa deg.appendix a--financial plan for fiscal year 2013

                         OFFICE OF THE SERGEANT AT ARMS--UNITED STATES SENATE--EXECUTIVE SUMMARY
                                                 [Dollars in thousands]
    ----------------------------------------------------------------------------------------------------------------
                                                                                        Fiscal year 2013 vs. fiscal
                                                                                                 year 2012
                                                        Fiscal year     Fiscal year  -------------------------------
                                                        2012 budget    2013 request                      Increase/
                                                                                          Amount         decrease
                                                                                                       (percentage)
    ----------------------------------------------------------------------------------------------------------------
    General operations and maintenance:
        Salaries....................................         $73,000         $75,274          $2,274             3.1
        Expenses....................................          79,874          79,567           (307)            -0.4
                                                     ---------------------------------------------------------------
          Total, general operations and maintenance.         152,874         154,841           1,967             1.3

    Mandated allowances and allotments..............          44,786          44,414           (372)            -0.8
    Capital investment..............................  ..............  ..............  ..............  ..............
    Nondiscretionary items..........................           6,062           6,192             130             2.1
                                                     ---------------------------------------------------------------
          Total.....................................         203,722         205,447           1,725             0.8
                                                     ===============================================================
    Staffing........................................             959             957             (2)            -0.2
    ----------------------------------------------------------------------------------------------------------------

        To ensure that we provide the highest levels and quality of
    security, support services, and equipment, we submit a fiscal year 2013
    budget request of $205,447,000, an increase of $1,725,000 or 0.8
    percent compared to fiscal year 2012. The salary budget request is
    $75,274,000, an increase of $2,274,000 or 3.1 percent, and the expense
    budget request is $130,173,000, a decrease of $549,000 or 0.4 percent.
    The staffing request is 957.
        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
    $75,274,000, an increase of $2,274,000 or 3.1 percent compared to
    fiscal year 2012. The salary budget increase is due to a cost-of-living
    adjustment, merit funding, and other adjustments.
        The general operations and maintenance expenses budget request for
    existing and new services is $79,567,000, a decrease of $307,000 or 0.4
    percent compared to fiscal year 2012.
        The mandated allowances and allotments budget request is
    $44,414,000, a decrease of $372,000 or 0.8 percent compared to fiscal
    year 2012. This budget supports State office rents, $18,022,000;
    purchase of computer and office equipment, $11,504,000; voice and data
    communications for Washington, DC and State offices, $7,035,000;
    procurement and maintenance of Member office constituent services
    systems, $4,115,000; State office security enhancements, $2,147,000;
    and wireless services and equipment, $1,351,000.
        No capital investments are requested in fiscal year 2013.
        The nondiscretionary items budget request is $6,192,000, an
    increase of $130,000 or 2.1 percent compared to fiscal year 2012. The
    request funds projects that support the Secretary of the Senate:
      --contract maintenance for the Financial Management Information
            System, $3,283,000;
      --support for the payroll system, $2,299,000; and
      --maintenance and necessary enhancements to the Legislative
            Information System, $610,000.

                          UNITED STATES CAPITOL POLICE

    STATEMENT OF PHILLIP D. MORSE, SR., CHIEF
        Senator Nelson. Chief Morse.
        Chief Morse. Chairman Nelson, Ranking Member Hoeven, I am
    honored to be here today, and I appreciate the opportunity to
    present the United States Capitol Police (USCP) budget request
    for fiscal year 2013. I also ask that my written testimony be
    entered into the record.
        Senator Nelson. It will be.
        Chief Morse. First, I would like to thank the subcommittee
    for its sustained and unwavering support for the men and women
    of the USCP. You and your staffs have continued to generously
    support both our mission as well as our personnel.
        Due in large part to your support and the support of the
    Capitol Police Board, the department continues to successfully
    execute our mission with a strong operational presence and
    under established business practices, controls, and
    efficiencies.
        Our fiscal year 2013 budget request provides for those
    critical mission and mission support requirements necessary for
    the department to address the security of the Congress, so that
    it may conduct its constitutional responsibilities in an open
    and safe manner without disruption from crime or terrorism.
        Our mission-focused request is grounded in USCP strategic
    goals that describe our mission and help us frame our budget
    planning: assessing the threat to the Capitol community; taking
    proactive measures to mitigate the threat so as to prevent
    disruption to the legislative process, responding in the event
    of a disruption so the Congress can continue to operate; and
    supporting USCP missions 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 in initiatives to address identified risks and
    threats. Yet it is flexible enough to achieve and maintain
    solid mission-critical results with efficient use of the
    resources provided to the department.
        In addition, it contains requests for a few new initiatives
    that provide additional security for the Capitol. Finally,
    there is an emphasis in this request to ensure the necessary
    level of training for the department staff in 2013, which has
    been deferred in previous fiscal years.
        The department's fiscal year 2013 request totals $374
    million and represents an overall increase of 10 percent, or
    $34 million more than the fiscal year 2012 enacted funding
    level of $340 million.
        This request includes salary funding to support 1,775 sworn
    and 370 civilian employees, as well as overtime funding to
    support mission requirements that exceed the utility provided
    by our funded personnel to include the 2013 Presidential
    Inauguration.
        The second area of detail that I wish to provide today is
    an overall net increase in our requested general expense
    budget. It includes hiring, outfitting, and training new sworn
    personnel; supplies and equipment; life-cycle replacement for
    critical systems and assets; and, management systems.
        While we are requesting an overall increase more than the
    fiscal year 2012 funding levels, a portion of this general
    expense funding increase is related to new initiatives totaling
    $4.9 million.
        Additionally, we are requesting $800,000 in general expense
    funding to support security and law enforcement activities
    associated with the 2013 Presidential Inauguration.
        The department continues to use management and budget
    planning methodology, which we call force development process.
    It provides for a transparent decisionmaking process, including
    reviews and approvals by an investment review board made up of
    key agency management, and provides a structure that is
    results-driven and based on meeting operational needs.
        In addition, in order to ensure the accuracy of our budget
    request, the fiscal year 2013 budget went through multiple
    layers of review and validation, and is traceable to supporting
    documentation for each budget element.
        I'm pleased to report that we recently received an
    unqualified or clean opinion on our fiscal year 2011 financial
    statements.
        In addition, my staff and I have worked with the Office of
    Inspector General over the past 5 years to close audit
    recommendations to improve our programs and operations. We had
    189 recommendations. We have 38 remaining, and we closed 27
    just in the past 6 months.
        Finally, operationally for this fiscal year, the department
    has screened nearly 3 million visitors to the Capitol complex.
    It has effected more than 300 arrests, conducted more than
    54,000 K-9 sweeps, and screened more than 13,000 vehicles. In
    fiscal year 2011, the department screened more than 10 million
    visitors, effected 900 arrests, and conducted more than 160,000
    K-9 sweeps.
        These are just a few examples of the many operational
    elements that are conducted daily to ensure the success of the
    department's core mission. I want to thank all the men and
    women of the USCP for their dedicated service.
        We are well aware and we understand the economic climate
    that affect our country, the legislative branch, and the entire
    Federal Government. I want to assure you that the USCP will
    successfully adapt our resources and continue to safeguard the
    congressional community with the resources available.

                               PREPARED STATEMENT

        Again, I want to express my appreciation for allowing me to
    appear today, and I will be glad to answer any questions that
    you have at this time.
        [The statement follows:]
                  Prepared Statement of Phillip D. Morse, Sr.
        Chairman Nelson, Ranking Member Hoeven, and members of the
    subcommittee, I am honored to be here today, and I appreciate the
    opportunity to present the United States Capitol Police (USCP) budget
    request for fiscal year 2013. I am joined here today by Assistant Chief
    Thomas Reynolds, who was recently promoted to lead our operational
    elements of the USCP, and Mr. Richard Braddock, our Chief
    Administrative Officer, as well as some of the members of my executive
    management team.
        First, I would like to thank the subcommittee for its sustained and
    unwavering support for the men and women of the USCP. You and your
    staffs have continued to generously support both our 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 not only 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 U.S. Capitol complex every year. Due in large part to your
    support and that of the Capitol Police Board, the USCP continues to
    successfully execute our mission with a strong operational presence and
    under established business practices, controls and efficiencies.
        Specifically, I would like to express our appreciation to the
    subcommittee and the Congress for providing the necessary salaries and
    general expenses funding for fiscal year 2012 to support our personnel
    and operations, while absorbing several activities within our base
    funding, such as the conventions and pre-Presidential Inauguration
    planning.
        As I begin my testimony, I would like to emphasize that my
    management team and I are keenly aware of the economic situation our
    Nation continues to face. I understand the responsibility I have to
    submit a budget request that is not only accurate, but that is
    reasonable, based on only critical requirements necessary to mitigate
    and address threats and risks. Our fiscal year 2013 budget request
    provides for those critical mission and mission-support requirements
    necessary for USCP to address the security of the Congress, so that it
    may conduct its constitutional responsibilities in an open and safe
    manner without disruption from crime or terrorism.
        To do so, USCP utilized our Force Development Business Process,
    which develops our budget based on analysis of threats and risks, while
    involving multiple levels of the organization in the process, to
    include coordination and vetting of our budget with the Capitol Police
    Board.
        Our mission-focused request is grounded in the USCP strategic goals
    that describe our mission and frame our budget planning:
      --assessing the threat to the Capitol community;
      --taking proactive measures to mitigate the threat so as to prevent
            disruption to the legislative process;
      --responding in the event of a disruption so that the Congress can
            continue to operate; and
      --supporting the 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 to address identified risks and threats--yet
    it is flexible enough to achieve and maintain solid mission-critical
    results with efficient use of the resources provided to USCP.
        The proposed fiscal year 2013 budget contains a base budget that
    will address and mitigate identified security challenges that may
    potentially affect the safety of the Capitol complex and our ability to
    keep up with the changing security environment and threat level. In
    addition, it contains requests for a few new initiatives that provide
    additional security for the Capitol. Finally, there is an emphasis in
    this request to ensure the necessary level of training for USCP's staff
    in fiscal year 2013.
        Over previous fiscal years, USCP has greatly reduced its training
    activities in order to meet other mission requirements within available
    funding. Training has been limited to only those areas that are
    critical and mandatory as required by law, rule, or regulation; or
    necessary to meet core mission activities. This budget includes the
    overtime funding that specifically relates to the training needs of
    sworn staff to give them the time needed to be offline and receive
    training in a number of key areas. In addition, training costs are
    being requested for what USCP has deemed as mandatory or mission-
    essential training. This includes resources to develop a qualified pool
    of eligible succession sworn and civilian candidates. With this
    emphasis, USCP will ensure that the workforce is prepared to address
    our mission using current and emerging methods, as well as be well
    suited to address leadership needs into the future.
        We realize that USCP's funding levels have grown in recent years,
    as opposed to other legislative branch entities, due to requirements
    set forth to support an expanding mission load, such as the merger with
    the Library of Congress (LOC) police to include absorbing the
    jurisdiction over LOC buildings and grounds, and the opening of the
    Capitol Visitor Center. Both of these activities resulted in additional
    protection responsibilities for the security operations of this
    critical addition to the Capitol. In the upcoming year, we will also be
    gaining an additional protective responsibility with the opening of the
    Federal Office Building 8 (FOB8) scheduled to reopen in fiscal year
    2013. An additional fiscal dynamic we are managing is our
    implementation of a complex Radio Modernization Project. Further, USCP
    is managing the need to implement critical life-cycle replacement for
    key security and technical systems within limited available funding. We
    realize that the subcommittee has limited resources with which to
    support all legislative branch entities and will continue to prudently
    request and execute the resources needed to meet this challenge.
        At this time, I would like to offer the subcommittee an overarching
    summary of our fiscal year 2013 request. I will follow this summary
    with a discussion of specific budget items of particular significance
    to you and USCP.
        USCP's fiscal year 2013 request totals $374 million and represents
    an overall increase of 10 percent, or $34 million more than the fiscal
    year 2012 enacted funding level of $340 million.
        The first subject area for which I would like to provide more
    detail is in the area of personnel salaries and overtime.
        USCP's fiscal year 2013 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.
        To operate within our current budget, we are currently carrying out
    our mission requirements with 1,775 of our 1,800 sworn positions and
    370 of our authorized 443 civilian positions, and with only limited
    training. Much of our overall increase allows the USCP to operate at
    our current staffing levels.
        With regard to our funding request related to personnel, we are
    requesting an overall increase of 9 percent more than the fiscal year
    2012 enacted funding levels, which include funding for two new civilian
    positions for the Office of Inspector General, as well as new sworn
    positions to address operational requirements.
        USCP's current sworn strength does not entirely provide the
    necessary resources to meet all our mission requirements within the
    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 postcoverage, 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.
        Thus, mission requirements in excess of available personnel must be
    addressed through the use of overtime, identification of efficiencies
    such as postrealignment and/or reductions, technology, and cutbacks
    within the utility, such as reductions in the number of hours provided
    for training. To address some of these mission drivers, we continue to
    work closely with the Capitol Police Board and our oversight committees
    to review such options to offset mission requirements where possible,
    such as closing lower-priority doors, which will reduce the total hours
    at posts and overtime costs needed to perform those activities.
        Over the last 2 years, we have also been very strategic in the
    hiring of civilian positions to best align our resources to our needs.
    In particular, vacancies in the civilian ranks are reviewed biweekly to
    prioritize requirements for backfilling operational and mission-support
    vacancies. Through this process, USCP continually monitors and
    justifies the needs of every civilian position as it becomes available.
    With this comes increased responsibility of onboard staff and a greater
    need to invest in training to gain and maintain skills needed to
    perform these duties.
        With that in mind, our requested fiscal year 2013 personnel costs
    support the current funded staffing levels of 2,145 positions, as well
    as a request for 19 sworn and civilian positions previously mentioned.
    This will result in an increase from 2,145 to 2,164, which is still
    less than our authorized levels.
        At current staffing levels, USCP's fiscal year 2013 basic and
    Inauguration overtime projection of approximately $36.5 million
    reflects an increase more than the $33.4 million that was provided for
    basic and convention overtime in fiscal year 2012. This increase
    primarily is a result of operating at fewer officers than our current
    authorized strength.
        Other requested increases to overtime include an additional $1.5
    million in funding to take staff offline for additional training
    requirements, and $400,000 for the overtime needed for the FOB8 initial
    operations until new officers are trained and deployed. These items
    bring the total fiscal year 2013 overtime request to $38.4 million
    which is an increase of $3.3 million more than the total fiscal year
    2012 overtime level of $35.1 million.
        The second area of detail that I wish to provide today is an
    overall net increase in our requested general expenses budget, which
    includes hiring, outfitting, and training of new sworn personnel;
    supplies and equipment; life-cycle replacement for critical systems and
    assets; and management systems; et cetera. While we are requesting an
    overall increase more than the fiscal year 2012 funding levels, much of
    the increase request is for new initiatives to address identified
    threats and risks, and for support of the 2013 Presidential
    Inauguration.
        A portion of this general expense funding increase is related to
    new initiatives totaling $4.9 million. Additionally, we are requesting
    $800,000 in general expense funding to support security and law
    enforcement activities associated with the 2013 Presidential
    Inauguration.
        With your support, USCP continues to successfully perform our
    operational mission and has achieved several key accomplishments over
    the last year that have resulted in greater efficiencies for USCP,
    which include addressing several administrative challenges and
    improving corresponding business practices.
        Operationally, so far this fiscal year, USCP has screened more than
    3 million visitors to the Capitol complex; affected more than 300
    arrests; conducted more than 54,000 K-9 sweeps; and screened more than
    13,000 vehicles. In fiscal year 2011, USCP screened more than 10
    million visitors, affected more than 900 arrests; and conducted more
    than 160,000 K-9 sweeps. These are just a few examples of the many
    operational elements that are conducted daily to ensure the success of
    USCP's core mission.
        As I mentioned briefly, USCP continues to use a management and
    budget planning methodology which we call the ``Force Development
    Process''. It provides for a transparent decisionmaking process,
    including reviews and approvals by an Investment Review Board made up
    of key agency management, and provides a structure that is results-
    driven and based on meeting operational needs. We also expanded the
    process for program evaluations for selected existing programs. For the
    process that led to the fiscal year 2013 budget request, the Investment
    Review Board reviewed an additional 20 of USCP's existing programs than
    were selected in the previous fiscal year. In addition, in order to
    ensure the accuracy of our budget request, the fiscal year 2013 budget
    went through multiple layers of review and validation, and is traceable
    to supporting documentation for each budget element.
        Further, we continue our work to close audit recommendations and to
    address our material weaknesses from prior audits by working closely
    with our Inspector General to address issues which have arisen and by
    providing the evidence necessary to close findings. In particular, I am
    pleased to report that we recently received an unqualified or ``clean''
    opinion on our fiscal year 2011 financial statements. Further, we are
    working on the resolution of a number of recommendations in order to
    achieve efficiency and effectiveness of our administrative programs
    through long-term resolution of areas of concern. The long-term
    resolution of the remaining recommendations related to internal
    controls, business processes, and material weaknesses remain of the
    highest importance to our management team.
        As I mentioned in the beginning of my testimony, 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 USCP will successfully adapt our resources and continue
    to safeguard the congressional community within the resources
    available.
        I appreciate the opportunity to appear before you today and would
    be glad to answer any questions you may have at this time.

        Senator Nelson. Thank you very much, Chief Morse.
        Why don't we do 5-minute questions, if that is okay,
    Senator Hoeven?
        Senator Hoeven. Sure.
        Senator Nelson. Ms. Erickson, first of all, again, I want
    to commend you for taking extraordinary steps to control costs
    and submitting such a lean budget.
        You took on the SIS Program in fiscal year 2011 at a
    funding level of $4.2 million, and you have been able to hold
    that funding to the same level in fiscal year 2012.
        Can you give us some ideas of what the impact, positive or
    negative, of holding to such a no-growth level has had on the
    implementation of the program?
        Ms. Erickson. Sure. Well, the historic cost for this
    program has been an average of 3- to 5-percent increase every
    year.
        And I just want to say, I am extremely proud of our Senate
    library staff as well as Terry's procurement staff, who have
    been tough negotiators with these online vendors that provide
    our services to the Senate.
        And the contracts that we negotiate are on a calendar year
    basis, not on a fiscal year basis, so for example, we were
    negotiating a 5-year contract with these vendors during fiscal
    year 2011 when we were in a continuing resolution, so as a
    result, the SIS program was subject to the 5-percent cuts. We
    were working with less money, and as a result, we had to cut
    two information services from the program, limiting business
    and economic resources for Senate staff.
        I think it's fair to say that we are providing core
    services right now, and I think the Senate is getting a very
    good deal.
        To give you an example, one of the services that we cut was
    charging the Senate $25 per user. The industry rate is $12,000
    per user. If your office manager now wants to purchase this
    information service for their Senate office, they will be
    charged $900 per user. So you can see that the enterprise model
    produces a good deal for the Senate.
        We expect a $27,000 shortfall in fiscal year 2013. We
    anticipate that since our funding is multiyear, the cost
    savings we achieved in the past 2 years will be able to make up
    that difference.
        But I have to say, going forward in fiscal year 2014, we
    welcome sitting down with your subcommittee, as well as the
    Rules Committee, to have a discussion about the long-term
    future of this program.
        Senator Nelson. Well, I would agree that you can make some
    adjustments to get to where you are, but going forward, it is
    going to require some discussion back as to what the real
    demands and needs are, so I appreciate that.
        On the payroll replacement project, first, you and Terry
    may want to respond. The disbursing office and the SAA
    technical support division have been implementing a new payroll
    project. How is this working? Is it working very well?
        First, Nancy.
        Ms. Erickson. Sure. Well, as you know, we're replacing a
    system that uses mainframe technology. And I was reminded
    recently by one of Terry's staff, who told me that nowadays
    when they hire people in their technology departments, they
    can't find people anymore who have training and experience in
    mainframe technology.
        It is very complex project that we are working on together,
    jointly. I believe we have gone about it in a very methodical
    manner.
        In 2008, we worked with the Sergeant at Arms office and
    Booz Allen Hamilton in identifying more than 1,000 requirements
    for our payroll system. In 2009, through a competitive bid
    process, we selected the PeopleSoft software for the system.
    And in 2010, we selected an integrator, which is basically the
    implementer who is working with us on the project.
        We've set an aggressive 18- to 24-month schedule for
    launching the new payroll system. We've said all along that
    before we can launch, the following milestones must be
    achieved. The pension piece, which is probably the most
    problematic right now, is the ability for the Disbursing Office
    to calculate individual retirement records. We have to have the
    budgeting piece in place, which allows the Disbursing Office to
    provide payroll projections to Senate offices. We need the
    successful conversion of employee work history records;
    training of Disbursing Office staff, not just the payroll
    staff, but the front office staff and the benefits staff; and
    then successful parallel testing with the current system.
        We should have a better idea of our launch schedule after
    the May user acceptance testing by the Disbursing Office staff.
        I think the project will probably end up costing the SAA,
    and Terry can speak to this, probably a little bit more money
    than they had originally anticipated.
        The vendor has indicated they need more time to work on the
    pension piece of the project. And I understand that the SAA is
    also factoring in extra contract support after we launch,
    because of the fact that they have limited staff to work on
    this.
        When we started the project, we met with our colleagues on
    the House side, who had also launched a payroll system, to get
    their lessons learned. And one of the things they told us is do
    it right, don't set premature deadlines. And I think it's fair
    to say that we all understand the high stakes with this project
    and the need to watch costs. But I also think it's important
    that we make good decisions now that won't cost us more money
    down the road.
        Mr. Gainer. Mr. Chairman, I would strongly agree with
    Nancy's remarks.
        It is a very complicated system, and our best estimate is
    that it is going to require additional funding. We are working
    with your staff and Ranking Member Hoeven's staff, to identify
    some of those funds. It will likely come from our prior year
    unobligated balances.
        Nancy hit the nail right on the head, being slow and
    methodical and getting this right will pay long dividends for
    the Senate for many years.
        Senator Nelson. Those are my questions.
        Senator Hoeven.
        Senator Hoeven. Thank you, Mr. Chairman.
        I would start with Ms. Erickson, and also commend you for
    the good work you've done on the budget. Clearly, you've worked
    hard to submit a good budget, a thoughtful budget, which is not
    an easy thing to do, but you've already done a great job.
        Essentially, my questions are going to be, if we have to
    find further savings, describe how you would go about doing
    that.
        Then also the second question that I have, which kind of
    follows on, is: Are you getting any pushback now in terms of
    services, having Members say to you, we miss this service or
    miss that service, or why am I not getting it? Where are you
    getting push back?
        If we do have to find some further savings, what do you
    anticipate in terms of impacts?
        Ms. Erickson. Well, I just want to say as a South Dakotan,
    I think South Dakotans from my State, like North Dakotans and
    Nebraskans, would approve of the fact that they have been good
    stewards of our limited resources.
        And we have made tough decisions. And I want to single out
    the fact that beginning in 2010, we suspended our merit bonus
    program. So for the past 2 years, going on 3 years now, our
    staff have not received any bonuses for outstanding merit
    performance. And I have to say that has been one of the
    toughest decisions that I have had to make as an administrator,
    that coupled with the----
        Senator Hoeven. May I ask, how did that bonus system work,
    formerly?
        Ms. Erickson. Well, we have a formal evaluation process
    annually for our employees. And depending on the rating that an
    employee received, they would get--and I want to say, these
    were small bonuses, ranging anywhere from 1 to 3 percent. I
    think the highest an individual would get was 5 percent. So it
    was a very small program.
        But it was an important way to recognize people who work
    extremely hard. And like I said, that coupled with the fact
    they haven't had a cost of living adjustment (COLA) for 2
    years, I admire the fact that their positive attitudes and
    their work ethic and commitment to this institution haven't
    wavered.
        We are a small operation. We, between fiscal year 2008 and
    2011, had a $2 million operating budget that hadn't increased.
        We're down to small potatoes in the bigger scheme of
    things, but cutting newspaper subscriptions for legislative
    staff and our executive office achieved roughly $5,500 in
    savings.
        Our Office of Public Records moved a post office box from
    Alexandria to Union Station--that is where we receive our
    certificates of election and our campaign committee reports
    from candidates--saving $200.
        Our curators canceled $1,000 in magazine subscriptions.
    They trained their staff in repairing the gilded mirrors in the
    Capitol, so we wouldn't have to bring a conservator onsite to
    do those repairs.
        And in fact, the Curator's Office recently reused another
    office's discarded furniture, saving the SAA between $30,000
    and $45,000 in new furniture.
        And with respect to the SIS program, again, our staff was
    able to cut program costs the last 2 years by 1.5 percent,
    which had never happened before in the history of this program.
        I do have some concerns, like Terry, in terms of our
    ability to continue to serve the Senate. We also have
    responsibilities under the STOCK Act in putting the STOCK Act
    transactions on the Internet within 90 days and implementing
    the e-filing of financial disclosures.
        The Congressional Budget Office has estimated that those
    responsibilities will cost our office $424,000.
        Other priorities that I will likely have to postpone is a
    precedents database for our Parliamentarian's Office, which
    would be utilized by Senate staff, captioning software for
    continuity purposes, supplies for Conservation and Preservation
    Office.
        I am also concerned that this will be the first year that
    we are unable to set aside money for repairs to our historic
    furnishings and artwork in the Capitol.
        Senator Hoeven. Thank you.
        Really, that's the only question I have. I do recognize
    that you are doing a very good job within your budget, and I
    appreciate it.
        Senator Nelson. Thank you. What you have identified are the
    steps that have to be taken in order to do the work. The
    discussion on the floor of the Senate, the discussion outside
    the Beltway, is always about cutting. But the details are where
    things really begin to happen.
        It is not easy. It is hard work, and it is hard all the
    time to do it. We commend you for your efforts in that regard.
        It's easy to say, you'll find additional ways to cut, and
    perhaps so. But they will never be easy decisions to make.
        With the new STOCK Act, on the floor of the Senate, the
    discussion is never about what does it cost for all these
    additional reports. It is just assumes that somewhere, once
    they are filed, they will end up somewhere and somebody will do
    something with them and they will be available, and nobody will
    spend the time to identify in advance what the costs are for
    that.
        So it is more than an inconvenience to elected officials.
    It is a cost to the taxpayer to have this additional
    information.
        We have a couple questions.
        Terry, you requested, for salaries, it's about $2.3 million
    more than fiscal year 2012, which is a 3.1-percent increase, I
    understand about one-half of that request increase is for the
    COLA and merit funding. Could you tell us what the other $1.1
    million increase in funding for salaries would consist of?
        Mr. Gainer. Yes, Mr. Chairman. Approximately one-half of
    that increased funding will pay for additional political
    appointments or patronage positions. Last year, we budgeted
    less funding for that purpose in the hopes that we could
    convince those in charge of those positions to reduce the
    number of them. That was not very successful.
        With the workload and commitments that were made, the
    patronage positions were completely filled, and this is really
    to make up for the cost of all those.
        Senator Nelson. Excuse me, could you give me an example or
    two of what that might consist of, these positions?
        Mr. Gainer. They range from elevator operators, to some
    Post Office positions, to the largest group, the doorkeepers.
        They are all vital to our mission, even if the word
    ``patronage'' sometimes takes on a negative connotation.
        We looked at whether the elevator operator system ought to
    be eliminated, and everybody could work the elevators by
    themselves like they do in so many places. But there's also a
    problem and a consequence to that, with the speed with which
    votes come up and the Members have to move. It is easy to say
    that it looks like low-hanging fruit, but it makes working
    around here more difficult when you witness the number of
    visitors we have.
        The other portion of that salary increase $540,000, is for
    increased overtime in connection with the Inauguration. We,
    like the Rules Committee and others, the police department, are
    already deep in the midst of preparing for that. So we are
    anticipating those costs.
        Senator Nelson. Another area in your relatively flat budget
    that has grown a little bit in the last couple years is the
    intelligence and protective services account. You are asking
    for a $2.6 million increase, which is about a 62-percent
    increase more than the current year. Under that account, your
    proposed funding level for State office security enhancements
    would increase by 125 percent from $950,000 to $2.1 million.
        Maybe you can help us understand more about that and why we
    would need to expect that kind of increase.
        Mr. Gainer. Yes, Mr. Chairman.
        Over the years, the usage of the funds by the offices for
    those security measures continued to drop. After the shooting
    of Congresswoman Giffords, there was a lot more attention on
    the 454 State offices. We helped force that attention by
    working with the police department, the USCP, the local police,
    the FBI, and others to review what was going on in those
    offices. More of the offices that are taking advantage of our
    security surveys and recommendations of the different tools
    that they can utilize to make their office safer. That is a
    large part of it.
        Senator Nelson. That's understandable. I think having
    accessed help in one of our offices in Nebraska, I appreciated
    it. So I understand the additional need for that.
        I have already, and I know my colleague and all of our
    colleagues agree about the very professional way in which you
    responded to the powder mail issue. Without revealing
    information that would probably be better discussed behind
    closed doors, can you give us some idea of what kind of
    increase, let's say an operation tempo increase that you may
    have internally within the office in dealing with threats to
    the Members and to the staff and to the offices?
        Mr. Gainer. Yes, Senator.
        There has been an increase. It has not been dramatic. Last
    year, at the same time we were doing the healthcare debates, we
    saw some tremendous spikes that affected what we and USCP were
    doing.
        The offices are much more sensitive now at our direction
    and urging, to be mindful of threatening calls, threatening
    emails, and threatening letters. That has increased the
    workload a bit. As I mentioned in our testimony, the amount of
    mail we are receiving in our Washington office is substantially
    higher.
        In the local offices, we had developed the Postal Sentry
    program with the approval of the Rules Committee and working
    with many of you and your staff. Initially, it was not very
    well received, and there were some complaints about it, mainly
    that it was too big, too noisy, and took up too much space. it
    might have been too noisy
        Again, after some of these recent postal scares, the
    requests for the Postal Sentry program--those have gone up--and
    we have deployed the program to all of the offices. Many of us
    visit those offices. I do not think they are all in use, and we
    are in the midst of developing a newer, smaller model that we
    hope will make the offices a bit safer.
        Senator Nelson. Thank you very much.
        Senator Hoeven.
        Senator Hoeven. Thank you, Mr. Chairman.
        Mr. Gainer, again, I also want to commend you on the work
    you've done on your budget. But the same question, if we have
    to find some more savings, how would you go about doing that?
    Would you look to staff, your IT systems, your data processing,
    or even your security initiatives? What would be affected? How
    would you go about looking for more savings if required to do
    so?
        Mr. Gainer. Senator, I do not believe it will be prudent to
    scale back the security measures. That is a primary
    responsibility, and we would have to turn to other initiatives.
        Like Nancy and her staff, we have not had a cost-of-living
    increase. We factor that in as well as some merit pay or bonus-
    type opportunities. Clearly, we would have to look at that and
    try to somehow balance the effect that has on the morale of the
    staff. That is the quick, easy, low-hanging fruit.
        I think we would try to help change the expectation of the
    Members and their staffs about our responsiveness with the
    services we provide. Clearly, the largest portion of our budget
    is in the IT area, and we have standards for which we respond
    to problems. Some of those responses are as quick as 60 minutes
    or 2 hours when a problem comes up on IT, and by scaling back
    those types of responses, you can save money. But that requires
    Members and staff to be a bit more patient with us.
        We can continue to defer the purchase of the equipment and
    the replacement of equipment, and we can probably get away with
    that for another year or so. By not keeping up with this
    technology, there will be negative impacts.
        I am reminded, and I think both of you having been
    Governors will respect this, of having run a State police
    agency for Governor Edgar in Illinois for some 8 years. The way
    we always seemed to save money was by not purchasing or
    replacing cars, and we drove their mileage up. Well, in the
    midst of my tenure, we suddenly had a large fleet that we could
    not drive.
        While it seems to be so sensible today, it is going to
    impact someone tomorrow. So we would work closely with you and
    your staffs to figure out where we are, but I really do think
    we are at that point now that if we fail to invest in our
    infrastructure, then we are going to be in the very position
    that Nancy was referring to before when we have mainframes and
    no one around who knows how to use them.
        Senator Hoeven. What is your feeling about the overall
    security situation today in terms of your system, both in terms
    of people, but also as far as your data-processing integrity
    and all those kinds of things in general, your sense of the
    security?
        Mr. Gainer. I think they do a great job, and Kim Winn, who
    runs that end of the operation, is involved with about 31 other
    Federal agencies in sharing information and sharing ideas. We
    feel we are very much on top of what is going on.
        I would like to put in context the type of battle we are
    fighting and the success we have. Our information security
    staff responded to an average of 33 confirmed security
    incidents each month, and we successfully resolved those. Our
    firewalls have rejected 10 million connection requests each
    month. Our anti-virus controls detected and countered nearly
    90,000 virus-related events. Our client computer-based
    firewalls detected some 23,000 exploited events. We experienced
    some 202 spear phishing attacks on our computers. We fought and
    defeated those, and referred some to the proper authorities to
    investigate.
        I think we are a model agency because over the years you
    have allowed us to invest in the technology and hire the right
    people to accomplish the mission.
        Senator Hoeven. Are there any things that you feel you
    particularly need in that area, in either cybersecurity or
    people-related security that are big expense items that you are
    looking at?
        Mr. Gainer. No, Kim Winn, our CIO, has crafted a good long-
    term plan. I think we are where we want to be. There are some
    things we did not ask for in this budget. Deferring purchases
    is another interesting way that we have saved. I would have to
    collaborate more with my technologists to evaluate the
    downstream impact of deferring purchases.
        I think we are in a good position as we work with other
    Federal agencies nationwide in the prevention area.
        Senator Hoeven. All right. Thank you.
        Senator Nelson. Thank you.
        I understand that you have been working on an initiative
    for some time to issue smart ID cards. Maybe you can give us
    some idea of what the benefit of the program would be and how
    we could use it, let's say back in the State offices as well.
        Mr. Gainer. The State offices will be one of the primary
    beneficiaries, because around 200 of our 454 State offices, are
    in Federal buildings. As the Federal Government goes to a
    secure ID process, it has been getting more difficult in those
    various Federal buildings to get your State employees in and
    out.
        So I think they will be the ones who will see the benefit
    of that soon.
        Eventually with these new smart ID cards will be
    incorporated into new systems or processes, including payroll
    electronic signatures on vouchers, and electronic ordering via
    the catalogs, making them more secure. Another important
    benefit for the Members and their staff, is the ability to
    encrypt casework messages that are developed for your
    constituents in your various offices and to feed those into the
    executive branch.
        It is a cutting-edge system, that I admit we seem to have
    struggled with over the years. But our ID card processing
    department, operations under Bret Swanson, and the CIO
    organization under Kim Winn, have pledged to me that we are
    very close. By the fall, it will be in full swing in the State
    offices.

       USCP deg.UNITED STATES CAPITOL POLICE PRIORITIES UNDER A
                                 FUNDING FREEZE

        Senator Nelson. Chief Morse, you are requesting a 9-percent
    increase in funding for salaries and a 12-percent increase in
    funding for general expenses for fiscal year 2013. Obviously,
    we are talking about watching the growth in funding, but if you
    had to sustain a freeze as opposed to these increases, what
    would be your priorities for fiscal year 2013?
        Chief Morse. Well, I think that first I should say that we
    strive to have as lean a budget as we possibly can. And in my
    opening statement, I remarked about how we do our budgets. It
    really starts there with zero-based budgeting, a force
    development process, where we're looking at environmental
    assessment. We are building our budget around detecting,
    deterring, responding, and mitigating threats. And I think that
    having a lean budget specific to our mission starts right
    there.
        Some of the things that we have been doing with the
    resources that you have provided, we constantly are scrubbing
    programs. We have testified in previous hearings of savings
    that have come from that. We are currently working on a project
    where technology will reduce overtime. It will reduce the
    number of vehicles that we use with our truck interdiction and
    monitoring programs.
        So we continue to scrub our programs and find savings.
        The other thing that we have been doing is working with our
    partners. We work at the direction of the Capitol Police Board,
    and their assistance and support in committees of jurisdiction,
    to look at hourly changes, door closures, and things of that
    nature, to make savings where we don't disrupt the flow of
    business, but we also at the same time have some level of
    savings.
        We have also deferred, and Mr. Gainer spoke about deferring
    life-cycle replacement and things of that nature, life-cycle
    replacement. We have deferred training for our police officers.
    And although, again, we could, in fact, perhaps limp our way
    through 1 more year. If we were to do that, it's really at a
    critical time where life-cycle replacement is something we can
    no longer defer.
        And the training of our officers, we can't defer any
    longer. The degradation of their proficiencies may impact
    critical response to defending this campus. So we can continue
    to make the tough decisions. But many of the decisions we're
    making now do impact security. And that is one thing that we
    pledge that we won't do if we don't have to. And certainly, we
    can prioritize the risks. We can prioritize the necessity of
    the programs that provide a level of security. But I think that
    we have to be just cautious that we don't want to defer those
    much longer than we already have in order to stay abreast of
    the current and emerging threats that we face.
        Senator Nelson. If you're going to close any of the
    entrances, Senator Hoeven hopes you won't do it in Russell
    Senate Office Building and I don't want it done over in Hart
    Senate Office Building.
        Mr. Gainer. That leaves 98 other Senators in trouble.

                       USCP deg.NEW INITIATIVES

        Senator Nelson. You have got four new initiatives that you
    are talking about. Could you help us a little bit more with
    those four initiatives, and tell us how any kind of a reduction
    in the request or a freeze would affect those initiatives?
        Obviously, it would impact, but maybe you could tell us
    about the initiatives and give us some idea of what impact it
    would have.
        Chief Morse. Once again, the initiatives are derived from
    an environmental assessment or threat assessment or emerging
    threats. They're also derived from how we might better mitigate
    any the threats that may be out there that we don't see.
        Much like physical security, we want to detect the threat
    before it gets here, and so that is what a lot of our physical
    security is all about, before the threat gets to the campus and
    before it gets to the building.
        One of our threat initiatives is the threat assessment.
    This enables us to have another tool to detect threats against
    Members of Congress, Members of the United States Senate,
    before any actionable violence takes place.
        The threat assessment initiative is one that also we're
    requesting additional personnel to support, but my partners,
    the Capitol Police Board, we are looking at other options as
    well, because we have Federal partners who do the same type of
    work. So we are working with our Federal partners assisting us
    with maybe existing infrastructure and sort of economizing how
    we go about finding the threat to our Members and to our
    Government officials and to our community.
        So we are very mindful that increases are there and a part
    of these initiatives, but we are also, on the other hand,
    looking for ways to make them the most efficient using some of
    our partners.
        And let me just say, the increase of personnel related to
    the threat assessment initiative is not a growing of the police
    department but simply asking for more funding within our
    current authorized strength of 1,800, because we are working at
    1,775, currently, which is 25 personnel less than that level.
        Another initiative is related to the opening of a Federal
    Office Building 8 (FOB8) in the southwest area of the campus.
    And the security model is one that we follow throughout the
    campus. And obviously, it would follow there.
        But again, we're working with the Capitol Police Board to
    minimize the number of personnel or assets and resources that
    we need to make security happen there.
        Garage security is a campus-wide issue. It enables us to
    stop any sort of incursion very quickly through our garages. We
    have, obviously, the ability to detect that now and mitigate
    it, but this enhances that ability. And I think it's something
    that is very, very important to the security of our facilities.
        And then we have an Alternate Computer Facility, which
    houses assets and resources for our police department, our new
    radio modernization project. It supports the House and the
    Senate. Therefore, we have to ensure that the security there is
    robust and defends the facility and the assets and resources
    that we have provided there.
        In addition to that, one of the reasons that we have had to
    increase some of the security there through our assessment is
    because some of our neighbors who were leasing there have
    departed and now the building is more vulnerable to access than
    it has been in the past.
        So those are the four initiatives related to safety and
    security.
        And then some of our increases related to overtime that I
    would consider a new initiative is related to our training. And
    we have about 24,000 hours of training in what we call
    mandatory and priority training, which are liabilities, risks,
    and certifications.
        And we have absorbed that 24,000 hours, but the increase
    that we're asking for is related to the practical exercise, the
    proficiency of our officers, getting them in actual situations
    that they would see here daily, keeping them up-to-date on the
    security screening equipment that we have, the emerging threats
    that we're seeing that are being detected across the country
    that we are sharing with our partners. All this is necessary
    for our officers to stay the best in this country to defend
    this place.
        And so we're asking for funding to go beyond where we have
    been and what we have deferred. And we can't absorb the costs
    of that any further because of the increase in salaries.
        So that is where we are right now. And we will continue to
    work with your subcommittee and your staff and the Capitol
    Police Board to make this as lean as possible without any
    degradation of training for our police officers or security of
    the campus.
        Senator Nelson. Thank you, Chief. I will come back to the
    overtime in my next round.
        Senator Hoeven.
        Senator Hoeven. Unless you would like to now.
        Senator Nelson. No, go ahead.

                   USCP deg.INAUGURATION PREPARATION

        Senator Hoeven. Chief, I appreciate very much the work that
    you do and recognize the challenges that go with it.
        As far as preparing for the Inauguration, is most of the
    cost in this fiscal year budget, 2013? Pretty much all of the
    costs are included in this budget cycle?
        Chief Morse. Yes. We have, I believe it is about $1.6
    million in overtime for moving toward the Inauguration and the
    Inauguration itself. And then there is an $800,000 cost
    associated with security equipment, screening equipment, and
    things that we can't take off-line for the Inauguration.
        But I wanted to add that, once that is purchased, the plan
    obviously is to integrate that into our life-cycle replacement.
    So that only happens every 4 years, but that is in fact what we
    do with the equipment that we purchase for the Inauguration
    itself.

                   USCP deg.IMPACT OF A FLAT BUDGET

        Senator Hoeven. If you had to get back to essentially a
    hold-even budget with the exception of perhaps some of the
    expenses that are associated with the Inauguration and so
    forth, how would you go about doing that? What would be the
    impacts? And how would the Members see that in terms of
    services and so forth?
        Chief Morse. Well, if we were to freeze, what we would do
    is back to deferring life-cycle replacement, deferring
    training, some of the things that we could probably stand to
    do, but not recommend to do for another year.
        We would continue to scrub our budget or our programs and
    operations. We would continue to look for efficiencies with
    respect to the operation of the campus.
        But at this time, anything that we do is going to degrade
    or impact security or the operations of the Congress, because
    we would have to pick between security and operations. And so
    we would be first reducing our force, which we have already
    done through attrition, being about 100 personnel under our
    authorized strength--25 for sworn and around 73 or 74 for
    civilian.
        And I would just note that, even today, my staff in my
    office, I reorganized my own office and my staff. Some of my
    staff is moving today, moving out, because we have
    consolidated. We have been able to take some of their expertise
    and put them in other areas of the police department to save
    contracting money, to make my office smaller and to sort of be
    efficient as we possibly can, even in my office.
        So that is how far down into the weeds that we are getting
    to make sure that we save money, and we are operating as
    efficiently and effectively as I can.
        So when I left my office, there were people who have been
    with me for 5 years. And when I go back after this hearing,
    they will be in other places in the police department.
        Let me just say, they went very proudly, and they're
    willing to make those sacrifices. So that's really where we are
    with making sure that we do the right thing with the taxpayers'
    money.
        If we went below just a flat budget, we would be looking at
    further personnel cuts, or we would be looking at further
    security program cuts, or we would be looking at further
    operational cuts, or a combination of all three.
        So we're at bare-bones at this time, and I think we have
    done a good job of getting us there. But any further cuts
    definitely will impact those things that I mentioned.

                        USCP deg.NEW POSITIONS

        Senator Hoeven. Now go through what the roles are of the 17
    new sworn and two civilians and where they are stationed and so
    forth.
        Chief Morse. The two civilians are requests for the Office
    of Inspector General. And the threat initiative is for eight
    sworn positions, and that is based on a work analysis that was
    done during the testing period of the threat assessment
    initiative. And then the remaining number would be for active
    police patrol and response at the new FOB8.
        Senator Hoeven. Which is what?
        Chief Morse. It is a new building, supporting the Congress
    that is next to the Ford House Office Building down on Second
    Street, Second and D Street, Southwest. And it is going to be
    federally protected by FPS. There are a number of floors in
    that building that will house congressional staff in the
    community.
        Senator Hoeven. That new facility comes online when? This
    year? In the next fiscal year?
        Chief Morse. In fiscal year 2013.
        Senator Hoeven. So about one-half of them pertain to that
    new facility and the other one-half pertain to the threat
    initiative?
        Chief Morse. Yes, Sir.

                      USCP deg.THREAT ASSESSMENT

        Senator Hoeven. How is the threat initiative going? I mean,
    do you feel like it is working well and making a difference?
        Chief Morse. Well, yes. The threat initiative or
    assessment----
        Senator Hoeven. Threat assessment, I'm sorry.
        Chief Morse. Yes, it is something that is really in an
    evaluation stage. It is something that we have been working
    very hard to make sure that it's very specific to our needs,
    that it meets the Department of Justice (DOJ) criteria for a
    threat, and that we can get it to where it is most beneficial
    to detecting a threat before it gets here to the campus, so
    that we can go out and interdict, interview, and investigate
    any criminal statements that are made in the public domain.
    Therefore, we could potentially stop an attack against this
    campus and/or Members, staff, or the community.
        So I think it is a worthwhile initiative for the types of
    threats that we face, the type of individuals that commit these
    types of crimes, and we simply are trying to be as imaginative
    as we could. And, therefore, this initiative was born.
        It is not something that is new in the law enforcement
    community. Many of our Federal partners use this tool. And like
    I said, we want to try to levy that as much as we can to be as
    efficient as we can without duplication of effort.
        Senator Hoeven. I do have one follow-up, but I could----
        Senator Nelson. Go ahead.
        Senator Hoeven. Okay, the final follow-up would be, so this
    is being done on the five senior Members. Is it your
    expectation or intention to extend it? If so, what is it going
    to require in terms of resources, because you are fairly
    people-intensive already when you're talking seven or eight
    people?
        Chief Morse. Well, first, we are evaluating it, and we
    will, you know, have to tweak it as we go, to make sure it is
    the most efficient and effective as we can get it.
        But when it comes to people, because other agencies that we
    interact with currently on threats against Members use this
    type of investigative tool, we are looking at partnering with
    them so that we don't duplicate effort or have to increase the
    number of people that we have.
        So it's something that we are currently discussing. And it
    is not finalized yet, but I think that we have sort of a
    strategic plan of making that happen. And perhaps this request
    will be less than it is, and we will utilize the people within
    the organization that we currently have by leveraging the other
    assets and resources of our Federal partners.
        It also benefits them, because we jointly work, as you see
    with the Inauguration, we work at the events, all these events
    throughout the country. We utilize each other's assets and
    resources all the time, so this is really not something that is
    out of line with what we currently do when we share in security
    initiatives with other events or protection of our Members.
        Senator Hoeven. Thank you, Chief.
        Senator Nelson. Before we go into overtime, just for a
    second, could you give us an example of what you would do for
    this kind of threat assessment? What kind of threat would you
    hear about or would come to somebody's attention then that is
    brought to your attention?
        Chief Morse. First, a threat against a Member is clearly
    defined in statute. There are certain criteria, prosecutorial
    criteria, that have to be met. We follow a DOJ standard. And
    basically, that is what we look for. Someone has to actually
    make that threat, meet that criteria, and show that there is a
    potential for violence. And that is when we would investigate
    that.
        Senator Nelson. Would it be most likely reported to you by
    someone else, because you're not going to be outside of this
    area in communities to pick it up? How would it come to your
    attention? In what way or ways would come to your attention?
        Chief Morse. Well, there are companies that do this and
    have the ability to do this on a very large scale, and that is
    part of the request, as well as the people to actually perform
    the analysis of that, to ensure that it meets the criteria of a
    threat against a Member.
        And then, in fact, we would investigate that threat against
    a Member with our partner agency, the FBI.
        Now many times, and currently, people who are here,
    Members, staff, family, or community, will send us information
    that is in the public domain, that is what they believe is
    threatening or of interest or suspicion. And we do the same
    thing. We would analyze that. We would determine whether or not
    it was a threat, if there was any potential for violence, and
    then we would act accordingly within the law.
        The other thing that we have, and just I want to bring out
    some of the other resources associated with this, is we have
    embedded personnel, special agents who are within all of our
    intelligence communities. But we also have an agent who is with
    the behavioral science section with the FBI.
        We also have a staff psychologist who performs a function
    for us of reviewing direction of interest cases. Whether they
    be in an email, whether they be on a voicemail, or in person,
    they evaluate whether or not there is a potential for violence.
    And that also gives us a direction.
        So there are many things that we do to review this
    material, analyze it. And when we believe that a crime is being
    committed, or we believe that there is a potential for
    violence, we quickly interdict, so that we can deter that from
    happening.
        Senator Nelson. Okay, thank you.

        USCP deg.OVERTIME AND ARCHITECT OF THE CAPITOL PROJECTS

        On overtime, during the conference last December, we agreed
    with the House on a modified version of House language to
    transfer overtime costs associated with AOC projects to the
    AOC. And at that time, we had some concerns about the approach
    being used to hide the true extent of what USCP overtime costs
    were.
        We conceded and went with the House's point about getting a
    true accounting with a major construction project like the dome
    rehabilitation project that we are looking at. So we
    compromised.
        I don't know how we can continue, because you're asking for
    an increase of $3.2 million, or 9.3 percent in overtime. When
    you add the estimated $1.8 million in USCP overtime that will
    be paid for by the AOC, then the total increase in your
    overtime budget is actually 14.6 percent.
        How do we make that work? It looks to me like we've got two
    trajectories going now. One with the AOC and one just with the
    regular USCP, but you need to tie them together to get the true
    costs.
        Chief Morse. Well, first I want to say that our base
    overtime--in other words, what USCP uses to do our mission each
    day--if you look at the last three fiscal cycles, you will see
    that has stabilized and that is something that has been managed
    very closely by us. And at the request of the committees and
    their concerns, we wanted to make sure that happened. And we
    did.
        In addition to the increases, once again we have the
    training increase that we're asking for, because the number of
    officers that we have, the utility that we have, does not meet
    the mission, so there's a gap. And in that gap is an overtime
    gap.
        One of the things that is very similar to overtime related
    to AOC projects is the Library of Congress reimbursable events.
    So with the overtime related to AOC projects, I believe it
    simply made it easier to reimburse versus perhaps overrun into
    other fiscal years of the project delays and things of that
    nature.
        So what we have done is we have simply mirrored and are
    mirroring our memorandum of understanding with the AOC, to
    mirror that with the memorandum of understanding with the
    Library of Congress so that the transfer of funds will happen
    efficiently and, in fact, when the work is actually
    accomplished.
        But the other overtime is related to some of the other
    initiatives and things that are beyond our control. For
    instance, the $1.6 million associated with the Inauguration,
    the money that is associated with backfill overtime until we
    would be able to bring on 17 new personnel to fill the roles in
    those two new initiatives that we briefed on.
        So the overtime increases are not core or base, but they
    are related to the Inauguration, some training initiatives that
    we have deferred and believe that we can't defer any longer,
    and they are related to the backfilling of personnel for those
    two initiatives.
        Senator Nelson. Well, in the case of the Architect and the
    AOC projects, who has the final say in determining overtime
    requests? Would it be you or the Architect? Or is it done
    jointly or some other way?
        Chief Morse. It depends on what the project is, and we
    would assess the level of security that would need to be
    provided. And certainly, that can be adjusted, so that gives us
    a level of flexibility throughout the project to adjust that
    level of security.
        And you know, the planning of it and things of that nature
    makes it more flexible. And I would say or hope to say that it
    would help us manage that easier.
        So we would give them an assessment of what it takes to
    secure that facility and provide that, and then we would tell
    them how much it costs. And through the process, we would be
    reimbursed for that.
        Senator Nelson. Okay.
        Senator Hoeven.
        Senator Hoeven. I have concluded my questions for the
    Chief. Again, I want to thank not only the Chief but all three
    of you for. We have more work to do here, but you have all done
    good work.
        Tell all your folks we really appreciate the job you do.
    Thank you.

                 USCP deg.RADIO MODERNIZATION PROJECT

        Senator Nelson. Let me add my appreciation as well, but I
    have one more question, and that is about how are we doing on
    the radio modernization project. Maybe just a quick update.
        Chief Morse. Okay, I will be very quick, but I do have to
    thank people, because our successes so far have been because of
    our partnerships. I have to thank the Capitol Police Board for
    their direction and support throughout this project; the
    Architect of the Capitol, Stephen T. Ayers, who is here today
    supporting me; the House Sergeant at Arms, Paul Irving, who is
    also behind me, supporting me.
        We recently went to NAVAIR and reaffirmed our partnership
    and thanked them for their efforts. I just wanted to thank Rear
    Admiral Randy Mahr, USN and Vice Admiral David Architzel, USN
    for all the support in this project.
        And also good friends at the Government Accountability
    Office (GAO), Dr. Hai Tran has been incredibly supportive of us
    throughout this process and has helped us in so many ways with
    respect to the technical difficulties of a project of this
    magnitude.
        Currently, we finished our construction and build-out of
    our primary and secondary mirror sites. There are a couple
    punch-list items, that are left, but they are prepared to take
    on the technology once that order is complete.
        Outdoor infrastructure is at least 98-percent complete. Our
    indoor infrastructure, depending on which area you are
    referring to, could be anywhere between 54 and 65 percent
    complete, and on target to be completed in time for receiving
    the technology.
        We have two final procurements. One we call the larger of
    our procurement, which is the technology and the handhelds,
    along with a smaller request for proposal that is out there.
        But we want to thank the subcommittee for giving us the
    flexibility to use the money, any savings that we derive from
    the hard work of the people that I just thanked, for other
    areas of the project.
        And I feel like right now we are in a very good place with
    this project, and I think that going live--and the definition
    of going live is--testing is complete, it is turned on, the
    officers are trained, our dispatchers are trained, and the
    system is operational, will be in the spring or summer of 2013.
        And we have done some great work here and great success.
    And like I said, I feel like we're in a really good spot, and
    it is because of all the hard work of those people that support
    us, so I want to thank you for that.
        Senator Nelson. Well, thank you for the update. With all
    the people you had to thank, I think it was obviously a timely
    question for me to ask.
        I thank them as well. We understood the nature of this
    project, multiyear, very expensive, but very necessary. So we
    appreciate the progress that is being made.
        Before we conclude, is there anything else that any of the
    three of you might want to add to what we have asked or what we
    didn't ask? Is there anything else?
        Mr. Gainer. No.
        Senator Nelson. Well, you have our best wishes and our
    gratitude for what you have been able to do. And of course, we
    wouldn't be doing our job if we didn't ask you to continue to
    find these ways to work together and improve the quality of the
    service at the same time watching the costs of delivering them.

                             CONCLUSION OF HEARINGS

        Senator Nelson. So thank you so very, very much. I
    appreciate it.
        We're recessed.
        [Whereupon, at 4:05 p.m., Thursday, March 22, 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, Hon. Stephen T., Architect of the Capitol, Architect of
      the Capitol....................................................
      1..............................................................
        Prepared Statement of........................................
          5..........................................................
        Summary Statement of.........................................
          4..........................................................
    Billington, Hon. James H., Librarian of Congress, Library of
      Congress.......................................................
      28.............................................................
        Prepared Statement of........................................
          29.........................................................
    Chrisler, Tamara E., Esq., Executive Director, Office of
      Compliance.....................................................
      57.............................................................
        Prepared Statement of........................................
          59.........................................................
    Dodaro, Gene L., Comptroller General, Government Accountability
      Office.........................................................
      73.............................................................
        Prepared Statement of Gene L. Dodaro.........................
          77.........................................................
        Question Submitted to........................................
          112........................................................
        Summary Statement of.........................................
          75.........................................................
    Elmendorf, Douglas W., Ph.D., Director, Congressional Budget
      Office.........................................................
      93.............................................................
        Prepared Statement of........................................
          94.........................................................
    Erickson, Nancy, Secretary of the Senate, Office of the
      Secretary,
      U.S. Senate
      113
        Prepared Statement of........................................
          116........................................................
        Summary Statement of.........................................
          114........................................................
    Gainer, Terrance W., Sergeant at Arms, Sergeant at Arms and
      Doorkeeper.....................................................
      185............................................................
        Prepared Statement of........................................
          188........................................................
    Hoeven, Senator John, U.S. Senator From North Dakota:
        Prepared Statement of........................................
          19.........................................................
        Questions Submitted by..........................24, 43, 55, 65, 112
        Statements of...........................................18, 84, 183
    Mazanec, Mary B., Director, Congressional Research Service,
      Prepared Statement of..........................................
      31.............................................................
    Morse, Phillip D., Sr., Chief, United States Capitol Police......
      213............................................................
        Prepared Statement of........................................
          214........................................................
    Nelson, Senator Ben, U.S. Senator From Nebraska:
        Opening Statements of....................................1, 73, 113
        Prepared Statements of.......................................
          3, 75......................................................
    O'Keefe, Ambassador John, Executive Director, Open World
      Leadership Center..............................................
      46.............................................................
        Prepared Statement of........................................
          47.........................................................
    Pallante, Maria A., Register of Copyrights and Director, United
      States Copyright Office, Prepared Statement of.................
      33.............................................................
    Vance-Cooks, Davita, Acting Public Printer, Government Printing
      Office.........................................................
      87.............................................................
        Prepared Statement of........................................
          88.........................................................

                                 SUBJECT INDEX

                                  ----------

                            ARCHITECT OF THE CAPITOL

                                                                       Page

    Architect of the Capitol:
        Accomplishments..............................................    16
        Injury and Illness and Lost Time Rates.......................    13
        Meeting Energy Reduction Goals...............................    14
    Additional Committee Questions...................................    24
    Capitol Dome Skirt Project.......................................    19
    Depreciation Fund................................................    22
    Ensuring a Safe Workplace........................................    13
    Financial Management Systems.....................................    20
    Fiscal Year:
        2011 Facility Condition Index by Facility....................    10
        2013 Budget:
            Increase.................................................    21
            Request..................................................     1
            Requests.................................................    26
        2016 Facility Condition Index by Facility....................    10
        Budget Requests..............................................     3
    Historic Preservation Fund.......................................    23
    Overtime/Work Schedules..........................................     4
    Project:
        Administration...............................................     4
        Planning and Prioritization..................................     7
    Providing Extraordinary Services and Inspiring Experiences.......    15
    Realizing Significant Efficiencies and Savings...................     6
    Saving Energy and Taxpayer Money through Sustainable Practices...    14
    Union Square Renovation..........................................    22
    United States Capitol Police.....................................    18
    Utility Tunnels..................................................    23
    Visitors to the U.S. Capitol.....................................    15
    Voluntary Early Retirement Authority/Voluntary Separation
      Incentive Payment..............................................    25
    Zero-Based Budgeting.............................................    24

                          CONGRESSIONAL BUDGET OFFICE

    Additional Committee Question....................................   111
    Congressional Assistance.........................................   109
    Funding History..................................................    95
    Impact on Services...............................................   108
    Infomation Technology Requirements...............................   107
    Nonpay Reductions................................................   108
    Some Details of the Congressional Budget Office's Fiscal Year
      2013 Budget Request............................................    96
    Staffing.........................................................   106
        Reduction....................................................   108
    Work Process.....................................................   110

                        GOVERNMENT ACCOUNTABILITY OFFICE

    Actions Taken To Reduce Operational Costs........................    79
    Appendix:
        IV: Government Accountability Office's Strategic Plan
          Framework..................................................    84
        I: How the Government Accountability Office Assisted the
          Nation, Fiscal Year 2011...................................    81
        III: Government Accountability Office's 2011 High-Risk List..    82
        II: Selected Testimony Topics, Fiscal Year 2011..............    82
    Continuing Congressional Demand for Government Accountability
      Office Services................................................    98
    Fiscal Year 2013 Budget Request Would Help Restore Essential
      Capacity.......................................................    79
    Impact of a:
        Flat-Line Budget.............................................   102
        Hold-Even Budget.............................................    99
    Legislative Branch Opportunities for Cost Savings................   101
    Managing With Constrained Resources..............................    76
    Positive Results From External Organizations.....................    80
    Reducing Costs Through Zero-Based Budget Review..................    99
    Restoring Capacity To Serve the Congress.........................    76
    The Government Accountability Office Supports Congressional
      Decisionmaking, Saves Resources and Helps Improve Government...    78
    Troubled Asset Relief Program....................................   100

                           GOVERNMENT PRINTING OFFICE

    Congressional Printing and Binding Appropriation.................    92
    Fewer Full-Time Equivalents at the Government Printing Office....   105
    Fiscal Year 2013 Appropriations Request..........................    91
    Government Printing Office:
        and:
            Digital Information Technologies.........................    89
            Open, Transparent Government.............................    90
        in Partnership With Industry.................................    90
    Need for the Government Printing Office..........................   103
    Potential for Additional Savings.................................   105
    Reduction in Congressional Printing..............................   104
    Revolving Fund...................................................    92
    Salaries and Expenses Appropriation of the Superintendent of
      Documents......................................................    92
    Zero-Based Budgeting.............................................   102

                              LIBRARY OF CONGRESS

    Acquisitions.....................................................    35
    Additional:
        Budget Reductions Potentially Devastating....................    42
        Committee Questions..........................................    43
    Affordable Accommodations for Library Visitors...................    37
    Budgetary Constraints and the Deferral of Priorities.............    37
    Challenges of the Current Fiscal Environment.....................    36
    Copyright and the Economy........................................    33
    Digital Presence.................................................    42
    Fees for Services................................................    36
    Fiscal Year 2013 Budget:
        Request......................................................    32
        Requests.....................................................    45
    Funding for Fort Meade...........................................    38
    Gratitude for Chairman Nelson's Leadership.......................    28
    Impact of:
        Cuts to Preservation Services................................    42
        Reduced Acquisitions.........................................    41
    Law and Policy...................................................    34
    Library Priorities and Funding Reductions........................    39
    Licensing........................................................    34
    Loss of Crucial Staff Through Retirement Incentives..............    39
    National Patrimony...............................................    43
    New Library Leadership...........................................    28
    Priorities for a 21st Century Copyright Office...................    35
    Program Overview.................................................    33
    Public/Private Capital Investments...............................    38
    Registration and Recordation.....................................    34
    Staffing Cuts....................................................    42
    Support for the Congress.........................................    31
    Voluntary Early Retirement Authority/Voluntary Separation
      Incentive Payment..............................................    44
    Zero-Based Budgeting.............................................    43

                              OFFICE OF COMPLIANCE

    Additional Committee Questions...................................    65
    Agency Overview..................................................    67
    Confidential Dispute Resolution..............................67, 71, 72
    Cost-Cutting Measures............................................    58
    Education and Outreach.......................................68, 70, 72
    Funding Request..................................................    58
    History of the Congressional Accountability Act of 1995 and the
      Office of Compliance...........................................    59
    Necessary Funding for Fiscal Year 2013...........................    60
    Our Cost-Cutting Measures........................................    61
    Safety and Health............................................68, 71, 72
    The Value of Office of Compliance Services.......................    59
    Voluntary Early Retirement Authority/Voluntary Separation
      Incentive Payment..............................................    66
    What We:
        Have Not Requested in the Past...............................    60
        Will Do With Requested Funding...............................    61
    Zero-Based Budgeting.............................................    65

                        OPEN WORLD LEADERSHIP CONFERENCE

    Additional Committee Questions...................................    55
    Breadth and Depth of Open World Leadership Center Programming....    48
    Budget Request...................................................    51
    Highlights of Calendar Year 2011 Programming.....................    50
    Open World Leadership Center:
        Ability To Work Outside the Former USSR......................    54
        Activities in 2012...........................................    48
        And Serbia...................................................    53
        As Part of the Legislative Branch............................    55
        Expansion to Egypt...........................................    53
        Fundraising Efforts..........................................    52
        In America...................................................    49
        Plans for 2013...............................................    48
        Programming in Fiscal Year 2012..............................    47
        Results in Russia and Other Countries........................    46
    Other Program Highlights.........................................    50
    Voluntary Early Retirement Authority/Voluntary Separation
      Incentive Payment..............................................    56
    Zero-Based Budgeting.............................................    55

                          UNITED STATES CAPITOL POLICE

    Impact of a Flat Budget..........................................   227
    Inauguration Preparation.........................................   227
    New:
        Initiatives..................................................   225
        Positions....................................................   228
    Overtime and Architect of the Capitol Projects...................   230
    Radio Modernization Project......................................   231
    Threat Assessment................................................   228
    United States Capitol Police Priorities Under a Funding Freeze...   224

                                  U.S. SENATE

                            Office of the Secretary

    Administrative Offices...........................................   139
    Bill Clerk.......................................................   119
    Captioning Services..............................................   120
    Chief Counsel for Employment.....................................   139
    Conservation and Preservation....................................   141
    Curator..........................................................   142
    Daily Digest.....................................................   121
    Disbursing Office................................................   127
    Education and Training...........................................   148
    Enrolling Clerk..................................................   124
    Executive Clerk..................................................   124
    Financial Operations.............................................   127
    Gift Shop........................................................   149
    Historical Office................................................   150
    Human Resources..................................................   156
    Implementing Mandated Systems....................................   117
    Information Systems..............................................   157
    Journal Clerk....................................................   125
    Legislative:
        Information System Project...................................   160
        Offices......................................................   119
    Library..........................................................   162
    Office of Interparliamentary Services............................   160
    Official Reporters of Debates....................................   126
    Page School......................................................   172
    Parliamentarian..................................................   126
    Presenting the Fiscal Year 2013 Budget Request...................   117
    Printing and Document Services...................................   173
    Public Records...................................................   175
    Stationery Room..................................................   176
    Web Technology...................................................   177

                        Sergeant at Arms and Doorkeeper

    Appendix A--Financial Plan for Fiscal Year 2013..................   212
    Capitol:
        Facilities...................................................   206
        Operations.................................................203, 206
    Continuity and Emergency Preparedness Operations.................   190
    Doorkeepers......................................................   206
    Employee Assistance Program......................................   211
    Enhancing:
        Security for the Senate......................................   199
        Service to the Senate........................................   196
        Stewardship..................................................   201
    Information Technology...........................................   195
    Intelligence and Protective Services.............................   194
    Media Galleries..................................................   208
    Office Support Services..........................................   204
    Operations.......................................................   202
    Printing, Graphics, and Direct Mail..............................   202
    Senate:
        Office of Education and Training.............................   210
        Post Office..................................................   205
        Recording Studio.............................................   207